This system is located in the Division of Enforcement in the Commission's principal office and regional offices. See "The Location of Systems of Records."

a. Persons found or alleged to have, or suspected of having, violated the Commodity Exchange Act or the rules, regulations or orders of the Commission adopted thereunder.

b. Persons lodging complaints with the Commission.

c. Agency referrals.

An index system to CFTC-14 Matter Files and CFTC-16 Case Files, including:

a. The matter register. A file number is assigned to each case and the record is filed according to that number. The register also indicates the date opened, the disposition and status, the date closed, and the staff member assigned.

b. The matter register also includes reports recommending opening and closing of investigations.

Section 8 of the Commodity Exchange Act, 7 U.S.C. 12.

See "General Statement of Routine Uses."

Storage:

Paper records in file folders, loose-leaf binders, computer memory, computer printouts, and index cards.

By name of investigation.

General building security. In appropriate cases, the records are maintained in lockable file cabinets.

The records are destroyed when no longer needed.

Director, Division of Enforcement in the Commission's principal office and Regional Counsel in New York, Chicago and Los Angeles. See "The Location of Systems of Records."

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

Persons submitting complaints to the Commission, and miscellaneous sources including customers, law enforcement and regulatory agencies, commodity exchanges, trade sources, and Commission staff generated items.

This system is located in the Commission's principal offices at 1155 21st Street, NW, Washington, DC 20581.

Persons corresponding with the Commission, directly or through their representatives. Persons discussed in correspondence to or from the Commission.

Incoming and outgoing correspondence and indices of correspondence, and certain internal reports and memoranda related to the correspondence. This system includes only those records that are part of a general correspondence file maintained by the office involved. It includes correspondence indexed by subject matter, date or assigned number and, in certain offices, by individual name of the correspondent.

44 U.S.C. 3101.

See "General Statement of Routine Uses."

Storage:

Paper records in file folders, in loose-leaf binders, on index cards, computer memory and printouts, and related indices on magnetic disk.

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.

Secured rooms or on secured premises with access limited to those whose official duties require access.

Maintained indefinitely depending on the policies and practices of the offices involved.

Office of the Secretariat; Director, Office of Public Affairs; Director, Office of Legislative and Intergovernmental Affairs; Executive Director; General Counsel; Director, Division of Enforcement; Director, Division of Trading and Markets; and, Director, Division of Economic Analysis. All are located at 1155 21st Street, NW, Washington, DC 20581.

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

Persons corresponding with the Commission and correspondence and memoranda prepared by the Commission.

This system is located in the Office of Proceedings, Proceedings Clerk's Office, Commodity Futures Trading Commission, 1155 21st Street, NW., Fourth Floor, Washington, DC.

All persons involved in any CFTC proceeding.

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.

The Commission is authorized or required to conduct hearings under several provisions of the Commodity Exchange Act. These files are a necessary concomitant for the conduct of orderly hearings. See also 44 U.S.C. 3101.

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.

Storage:

Paper records in file folders, computer memory, computer printouts, index cards, and microfiche.

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

Only items that the Commission or the presiding officer has directed be kept nonpublic are segregated. Precautions are taken as to these items to assure that access is restricted to authorized personnel only.

Maintained in the Office of Proceedings with the presiding officer until disposition by the presiding officer, and then the entire record of the proceeding is forwarded to the Proceedings Clerk's office for maintenance.

Proceedings Clerk, Office of Proceedings, 1155 21st Street, NW., Fourth Floor, Washington, DC 20581.

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

Commission staff members; opposing parties and their attorneys; proceeding witnesses; and miscellaneous

The information in the system is kept in the CFTC offices in which the employee described by the records is located. Information is also kept centrally on the computer system located in the Department of Agriculture's National Finance Center, New Orleans, Louisiana.

All CFTC employees.

Various records reflecting CFTC employees' time and attendance and leave status, as well as the allocation of employee time to designated budget account codes.

5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 44 U.S.C. 3101.

a. In response to legitimate requests, this information may be provided to other federal agencies for the purpose of hiring or retaining employees, and may be provided to other prospective employers, to the extent that the information is relevant to the prospective employer's decision in the matter.

b. The information may be provided to the Justice Department or other federal agencies or used by the Commission in connection with any investigation, or administrative or legal proceeding involving any violation of any federal law or regulation thereunder.

Storage:

Hard copies of time and attendance worksheets, leave request slips and signed printouts; diskettes; mainframe computer (NFC).

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

Lock boxes and/or locked file drawers. Password required for access to diskettes and NFC computer system.

Hard copy records, including leave slips, signed printouts from the PC-TARE system, overtime approval slips and budget account code worksheets are retained for six years, then destroyed. Diskettes are written over on a 12 month rotating cycle.

Office of Human Resources, 1155 21st Street, NW, Washington, DC 20581.

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

The individual on whom the record is maintained.

This system is located in the Office of Human Resources at 1155 21st Street, NW., Washington, DC 20581.

All CFTC employees.

General records relating to the employee including information from the notification of personnel action (SF-50) and other related sources, employee name, Social Security or other employee number, birth date, veteran's preference, tenure, leave group, insurance coverage, type of employment, date service commenced and ended, grade and step, base salary, duty station, various computation dates, leave codes and status, employing office and other miscellaneous information.

Payroll related information for CFTC employees, including payroll and leave data for each employee relating to rate and amount of pay, leave and hours worked, and leave balances, tax and retirement deductions, life insurance and health insurance deductions, savings allotments, savings bonds and charity deductions, mailing addresses and home addresses, and copies of the CFTC time and attendance reports as well as authorities relating to deductions.

The records maintained in the principal office for all employees include: a. Forms required and records maintained under the Commission's rules of conduct and the Ethics in Government Act; b. Pre-employment inquiries not included with "exempted employee background investigation materials" ; c. Various summary materials received in computer printout form; d. Awards information; and e. Training information.

The official personnel records maintained by the Commission are described in the system notices published by the Office of Personnel Management, and are not included within this system.

44 U.S.C. 3101, 5 U.S.C. APP. (Personnel Financial Disclosure Requirements).

a. In response to legitimate requests, this information may be provided to other federal agencies for the purpose of hiring or retaining employees, and may be provided to other prospective employers, to the extent that the information is relevant to the prospective employer's decision in the matter.

b. The information may be provided to the Justice Department, the Office of Personnel Management or other federal agencies, or used by the Commission in connection with any investigation or administrative or legal proceeding involving any violation of federal law or regulation thereunder.

c. Certain information will be provided, as required by law, to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services Federal Parent Locator System (FPLS) and Federal Tax Offset System to enable state jurisdictions to locate individuals and identify their income sources to establish paternity, establish and modify orders of support, and for enforcement action.

d. Certain information will be provided, as required by law, to the Office of Child Support Enforcement for release to the Social Security Administration for verifying social security numbers in connection with the operation of the FPLS by the Office of Child Support Enforcement.

e. Certain information will be provided, as required by law, to the Office of Child Support Enforcement for release to the Department of Treasury for purposes of administering the Earned Income Tax Credit Program (Section 32, Internal Revenue Code of 1986) and verifying a claim with respect to employment in a tax return.

Storage:

Paper records in file folders, computer memory, and computer printouts.

By the name or social security number of the employee.

Lockable cabinets for paper records. Computer records accessible through password protected security system.

Maintained according to retention schedules prescribed by NARA for each type of personnel/payroll record.

Office of Human Resources, except for records maintained under the Commission's rules of conduct and the Ethics in Government Act, for which the General Counsel is the system manager. See "The Location of Systems of Records."

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

Individual on whom the record is maintained; personnel office records; and miscellaneous sources,

This system is located in the Commission's office at 1155 21st Street, NW, Washington, DC.

Any Commission member, employee, witness, expert, advisory committee member or non-CFTC employee traveling on official business for the Commission.

Contains the name, address, destination, itinerary, mode and purpose of travel, dates, expenses, miscellaneous claims, amounts advanced, amounts claimed, and amounts reimbursed. Includes travel authorizations, travel vouchers, copies of government transportation requests, receipts and other records.

5 U.S.C. 5701-5752; 31 U.S.C. 1, et seq; 44 U.S.C. 3101.

The information may be provided to the Justice Department or other federal agencies or used by the Commission in connection with any investigation, or administrative or legal proceeding involving any violation of federal law or regulation thereunder.

Storage:

Paper records in file folders, computer memory and computer printout.

By the name of the Commission member, employee witness, expert, advisory committee member or CFTC employee traveling on official business for the Commission, and by Commission identification number.

Access to the computer records is protected by a security system. General building security limits access to paper records kept in files of support staff in the offices of travelers and in the Travel Office.

Records are retained for three years after the period covered by the account.

Accounting Officer and Network Manager, 1155 21st Street, NW, Washington, DC 20581.

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

The individual on whom the record is maintained.

This system is located in Office of Human Resources at 1155 21st Street, NW., Washington, DC 20581.

Applicants for positions with the CFTC.

Contains the application and/or the resume of the applicant.

44 U.S.C. 3101.

Information about these records is used in making inquiries concerning the qualifications of the applicant.

Storage:

Paper records in file folders.

By job announcement number. Summary information of applications is also available to staff of the Office of Human Resources through an automated applicant tracking system.

Lockable cabinets for paper records. Access to applicant tracking system granted only to appropriate personnel.

Most applicant records are retained for two years, then destroyed. Job announcements that are filled through examining authority delegated from the Office of Personnel Management (OPM) are kept for 5 years, then destroyed.

Office of Human Resources, 1155 21st Street, NW., Washington, DC 20581.

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

The individual on whom the record is maintained.

This system is located in the Office of Human Resources at 1155 21st Street, NW., Washington, DC 20581.

Employees and prospective employees of the CFTC.

Investigatory material complied for the purpose of determining suitability, eligibility, or qualifications for CFTC employment obtained under an express promise that the identity of the source would be held in confidence.

44 U.S.C. 3101; 5 U.S.C. 552a(k)(5).

See "General Statement of Routine Uses" except that general routine use number (3) is not applicable. Disclosure pursuant to the other routine uses may be subject to the consent of the person furnishing the information.

Storage:

Paper records in file folders.

By employee name.

Lockable cabinets in secured offices or buildings.

These records are retained for three years, then destroyed.

Security Officer, Office of Human Resources, 1155 21st Street, NW., Washington, DC 20581.

The records in this system have been exempted by the Commission from certain provisions of the Privacy Act, 5 U.S.C. 552a(k)(5), and the Commission's rules promulgated thereunder, 17 CFR 146.12. These records are exempt from the notification procedures, record access procedures, and record contest procedures set forth in the system notices of other record systems, and from the requirement that the sources of records in the system be described.

This system is located in the Commission's principal and regional offices. See "The Location of Systems of Records."

a. Individuals whom the staff has reason to believe have violated, are violating, or are about to violate the Commodity Exchange Act and the rules, regulations and orders promulgated thereunder.

b. Individuals whom the staff has reason to believe may have information concerning violations of the Commodity Exchange Act and the rules, regulations and orders promulgated thereunder.

c. Individuals involved in investigations authorized by the Commission concerning the activities of members of the Commission or its employees based upon formal complaint or otherwise.

d. Individuals filing applications with the Commission for their own registration or registration of a firm.

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.

Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C. 3101; 5 U.S.C. 552a(k)(2).

See "General Statement of Routine Uses" except that general routine use number (5) is not applicable.

Storage:

Paper records in file folders, disks, computer memory, computer printouts. A summary index of material is also stored on the computer.

By assigned case number or case title. Cases filed by number are cross-indexed by case title.

In addition to normal office and building security, certain of these records are maintained in locked file cabinets. All employees are aware of the sensitive nature of the information gathered during investigations.

Maintained until exemption is no longer necessary, then returned to the appropriate nonexempt system.

Director, Division of Enforcement, except for those records maintained under the Commission's rules of conduct and the Ethics in Government Act, for which the General Counsel is the system manager. See "The Location of Systems of Records."

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

Records for floor brokers and floor traders with respect to matters commenced prior to August 1, 1994: Division of Trading and Markets, 1155 21st Street, NW, Washington, DC 20581. Records for futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, their respective associated persons and principals, with active registration status in any capacity on or after October 1, 1983; leverage transaction merchants and their associated persons and principals with active registration status as such on or after August 1, 1994; floor brokers and floor traders with active registration status as such on or after August 1, 1994: National Futures Association (NFA), 200 West Madison Street, Suite 1400, Chicago, Illinois 60606-3447. (See also "Retention and Disposal," infra.)

Persons who have applied or who may apply for registration as floor brokers, floor traders, as associated persons, and principals (as defined in 17 CFR 3.1) of futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors and leverage transaction merchants.

Information pertaining to the fitness of the above-described individuals to engage in business subject to the Commission's jurisdiction. The system contains information in computerized and hardcopy format including registration forms, schedules and supplements, fingerprint cards, correspondence relating to registration, and reports and memoranda reflecting information developed from various sources. In addition, the system contains records of each fitness investigation.

Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1)-(5), 8a(10), 8a(11), 17(o) and 19 of the Commodity Exchange Act as amended, 7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1), 12a(1)-(5), 12a(10), 12a(11), 21(o) and 23 (1988 and Supp. IV 1992).

The routine uses applicable to all of the Commission's systems of records, including this system, are set forth under the "General Statement of Routine Uses." In addition, information contained in this system of records may be disclosed by the Commission as follows:

1. Information contained in this system of records may be disclosed to any person with whom an applicant or registrant is or plans to be associated as an associated person or affiliated as a principal.

2. Information contained in this system of records may be disclosed to any registered futures commission merchant with whom an applicant or registered introducing broker has or plans to enter into a guarantee agreement in accordance with Commission regulation 1.10 (17 CFR 1.10).

NFA may disclose information contained in those portions of this system of records, but any such disclosure must be made in accordance with Commission-approved NFA rules and under circumstances authorized by the Commission as consistent with the Commission's regulations and routine uses. No specific consent is required by an applicant or registered introducing broker to disclosure of information to the futures commission merchant with whom it has or plans to enter a guarantee agreement.

Storage:

Paper records in file folders, computer memory, computer printouts, index cards, microfiche.

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

General office security measures include secured rooms or premises and, in appropriate cases, lockable file cabinets with access limited to persons whose official duties require access. Access to computer systems is password protected and limited to authorized personnel only.

Hard copies of applications, biographical supplements, other forms, related documents and correspondence are maintained, as applicable, for two years after the individual's registration(s), or that of the firm(s) with which the individual is associated as an associated person or affiliated as a principal, becomes inactive. Hard copy records are then stored at an appropriate site for an additional eight years before being destroyed. CFTC-held records are stored in the Federal Records Center, and NFA-held records are to be stored either on NFA's premises or in appropriate fireproof off-site facilities. Since 1991, NFA has scanned, indexed and stored hard copy records on the computer via imaging software so the information may be retrieved and printed. Like the hard copy records, these imaged records are maintained by NFA for 10 years after the individual's registration(s), or the registration of the firm(s) with which the individual is affiliated as an associated person or principal becomes inactive.

NFA also maintains an index and summary of the hard copy records of this system in a data base, the Membership, Registration, Receivables System (MRRS). The MRRS records are maintained permanently on CFTC's or NFA's premises, as applicable, and are updated periodically as long as the individual's application is pending for registration in any capacity or affiliated with any registrant in any capacity. MRRS records on persons who may apply may be maintained indefinitely; microfiche records, when produced, are maintained permanently on the CFTC's or NFA's premises.

Assistant Director for Registration, Division of Trading and Markets, at the Commission's principal office, or a designee. For records held by NFA, the systems manager is the Vice President for Registration, National Futures Association, 200 West Madison Street, Suite 1400, Chicago, Illinois 60606-3447, or a designee.

Individuals seeking to determine whether this system of records contains information about themselves, seeking access to records about themselves in this system of records or contesting the content of records about themselves should address written inquiry to the FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581. Telephone (202) 418-5105. Individuals may also request registration information by telephone directly from the NFA information center at 1-800-676-3570 or the NFA Disciplinary Information Access Line at 1-800-676-4632. NFA will query the computer database about the individual's current registration status and registration history, and provide instructions on how to make written requests for copies of records.

The individual or firm on whom the record is maintained; the individual's employer; federal, state and local regulatory and law enforcement agencies; commodities and securities exchanges, National Futures Association and National Association of Securities Dealers; foreign futures and securities authorities and INTERPOL; and other miscellaneous sources. Computer records are prepared from the forms, supplements, attachments and related documents submitted to the Commission or NFA and from information developed during the fitness inquiry.

Files are kept in the office responsible for preparing the interpretation letter, including the Division of Trading and Markets, the Office of the General Counsel, and the Division of Economic Analysis. Copies of the interpretation letters without the supporting documentation are also kept in the Secretariat and the Office of Public Affairs. All offices are located at 1155 21st Street, NW, Washington, DC 20581.

Persons who have requested the Commission to provide them with its interpretation of provisions of the Commodity Exchange Act or various rules and regulations adopted by the Commission. The requests may have been made directly by the individual, or through the individual's attorney or other representative.

Interpretation letters furnished, the request for an interpretation, and any related internal memoranda and supporting documents.

Section 2(a)(4) of the Commodity Exchange Act, 7 U.S.C. 4a(c), 44 U.S.C. 3101.

a. Pursuant to the Commission's rules, 17 CFR 140.98, interpretation letters and the related requests for interpretation that discuss matters of general applicability are made public and published by the Commission. Portions of such letters or information will be deleted or omitted to the extent necessary to prevent a clearly unwarranted invasion of personal privacy or to the extent they otherwise contain material considered nonpublic under the Freedom of Information Act and the Commission's rules implementing that Act.

b. Information in these files may be used as a reference in responding to later inquiries from the same party or in following up on earlier correspondence involving the same person.

c. Also see "General Statement of Routine Uses."

Storage:

Paper records in file folders.

By futures commission merchant, floor broker, commodity pool operator, commodity trading advisor or associated person if the request is made by them or on their behalf. If it is made on behalf of another individual, it will be filed by the name of the individual. If the identity of these persons is not known, the record will be maintained in the name of the attorney or other representative filing the request.

Access limited to the offices where the records are maintained.

Maintained permanently (on premises for 5 years then transferred to the Federal Records Center). After 20 years, offered to the National Archives and Records Service.

Chief Counsel, Division of Trading and Markets; the General Counsel; Director, Division of Economic Analysis; the Secretary to the Commission; and the Director, Office of Public Affairs. All system managers are located in the Commission's principal office. See "The Location of Systems of Records."

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

Individuals, proprietorships, corporations, other business organizations, or representatives seeking interpretation of the provisions of the Commodity Exchange Act or Commission rules.

This system is located in the Commission's principal and regional offices. Pending investigation files may be located in the office that is conducting the investigation. See "The Location of Systems of Records."

a. Individuals whom the staff has reason to believe have violated, are violating, or are about to violate the Commodity Exchange Act and the rules, regulations, and orders promulgated thereunder, or the rules and regulations of any board of trade designated as a contract market.

b. Individuals whom the staff has reason to believe may have information concerning violations of the Commodity Exchange Act and the rules, regulations, and orders promulgated thereunder, or the rules and regulations of any board of trade designated as a contract market.

c. Individuals involved in investigations authorized by the Commission concerning the activities of members of the Commission or its employees based upon formal complaint or otherwise.

d. Individuals filing an application for registration as associated person, floor trader or floor broker Form 8-R (biographical information questionnaire) in connection with an application for registration with the Commission.

e. Individuals indicted or convicted for criminal violations of the Act or other commodity related violations.

Anything obtained during the course of an investigation including data from Commission reporting forms, account statements and other trading records, exchange records, bank records and credit information, business records, reports of interviews, transcripts of testimony, exhibits to transcripts, affidavits, statements by witnesses, registration information, contracts and agreements. Also contains internal memoranda, reports of investigation, orders of investigation, subpoenas, warning letters, stipulations of compliance, correspondence and other miscellaneous matters. The nature of the personal information contained in these files varies according to what is considered relevant by the attorney assigned based on the circumstances of the particular case under investigation, and may include personal background information about the individual involved, his education and employment history, information on prior violations, and a wide variety of financial information, as well as a detailed examination of the individual's activities during the period in question.

Section 8 of the Commodity Exchange Act, 7 U.S.C. 12; 44 U.S.C. 3101.

See "General Statement of Routine Uses." Information concerning traders and their activities may be disclosed and made public by the Commission to the extent permitted by law when deemed appropriate to further the practices and policies of the Commodity Exchange Act. Information collected during the investigation may be included in a public report issued by the Commission following an investigation, to the extent that this is authorized under section 8 of the Commodity Exchange Act, 7 U.S.C. 12.

Storage:

Paper records in file folders, disks, computer memory, computer printouts. A summary index of material is also stored on the computer.

By assigned matter title, person or firm.

In addition to normal office and building security, certain of these records are maintained in locked file cabinets. All employees are aware of the sensitive nature of the information gathered during investigations.

In the principal office, opening and closing reports, complaints, and significant orders are kept permanently. Once an investigation is closed without institution of a case, the files, other than the materials described above, are shipped to off-site storage within ninety days of closing. Records of preliminary inquiries closed without further action, are forwarded to off-site storage within a year following closure. Records are maintained in off-site storage for 5 years, then destroyed. In the regional offices, records are maintained on the premises for 3 years after the matter is closed, then sent to the Federal Records Center for 5 years before being destroyed.

If an investigatory matter is not closed, but becomes a Commission injunctive or administrative action, the matter files become part of the case files described in CFTC-16.

Director, Division of Enforcement in the Commission's principal office. Regional Counsel of the region where the investigation is being conducted. See "The Location of Systems of Records."

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

a. Reporting forms and other information filed with the Commission; b. boards of trade; c. persons or firms covered by the Commission's registration requirements; d. federal, state and local regulatory and law enforcement agencies; e. banks, credit organizations and other institutions; f. corporations; g. individuals having knowledge of the facts; h. attorneys; i. publications; j. courts; and k. miscellaneous sources.

The copies of original reports and related correspondence are located in the CFTC office where filed. See further description below. Ancillary records and information (computer printout) may be located in any CFTC office. See "The Location of Systems of Records."

Individuals holding reportable positions.

1. Reports filed by the individual holding the reportable position:

a. Statements of Reporting Trader (CFTC Form 40) contains information described in part 18 of the Commission's rules and regulations, including the name, address, number, and principal occupation of the reporting trader, financial interest in and control of commodity futures accounts, and information about the trader's business associations;

b. Large trader reporting form (Series 03 Form). Contains information described in part 18 of the Commission's rules and regulations, including the trader's identifying number, previous open contracts, trades and deliveries that day, open contracts at the end of the day, and classification as to speculation or hedging (available on a non-routine basis by special call);

c. Large trader reporting form (Series 04 Form). Contains information described in part 19 of the Commission's rules and regulations, to be filed by merchants, processors and dealers in commodities that have federally imposed speculative position limits. Includes trader's identifying number, stocks owned, fixed price sale and purchase commitments. These reports are filed in the CFTC office in the city where the reporting trader is located. If there is no CFTC office in that city, the reports are filed according to specific instructions of the CFTC.

2. Reports to be filed by futures commission merchants, members of contract markets, foreign brokers and for large option traders by contract markets.

a. Identification of "Special Accounts" (CFTC Form 102). Contains material described in part 17 of the Commission's rules and regulations. Includes the name, address, and occupation of a customer whose accounts have reached the reporting level. Also includes the account number that the futures commission merchant uses to identify this customer on the firm's 01 report (see next paragraph), and whether the customer has control of or financial interest in accounts of other traders.

b. Large trader reporting form (Series 01 Form). Contains material described in part 17 of the Commission's rules and regulations, for each "special account." Shows customer account number, reportable position held in each commodity future and information concerning deliveries and exchanges of futures for physicals by persons with reportable positions. These reports are filed, mostly in machine readable form, in the CFTC office in the city where the contract market involved is located. If there is no CFTC office in that city, they are filed in the office where the CFTC instructs that they be filed.

3. Computer records prepared from information on the forms described in items (1) and (2) above. The computer system is located in Chicago. Printouts may be located in some or all of the Commission's offices.

4. Correspondence and memoranda of telephone conversations between the Commission and the individual or between the Commission and other agencies dealing with matters of official business concerning the individual.

5. Other miscellaneous information, including intra-agency correspondence and memoranda concerning the individual and documents relating to official actions taken by the Commission against the individual.

6. Reports from contract markets concerning futures and options:

a. Positions and Transactions of Clearing Member Firms. Information is provided in machine readable form and contains the data prescribed in part 16 of the Commission's regulations. The information includes an identification number for each clearing member, open contracts at the firm for proprietary and customer accounts and transactions such as trades, exchanges of futures for cash, delivery notices issued and received, and transfers and option exercises. The information is filed in the city where the exchange is located or as instructed by the Commission. Data is transmitted to the CFTC computer system and printouts are available at all CFTC offices

b. Large Option Trader Data. Information is provided in machine readable form and contains the data prescribed in Commission Rule 16.02. Shows customer account number and reportable option positions as specified in Rule 16.02. Machine readable media is delivered to the Commission office in which the contract market is located or as instructed by the Commission. The data is transmitted to the CFTC computer system and printouts of the data are available in each Commission office.

Sections 4g, 4i, and 8 of the Commodity Exchange Act, 7 U.S.C. 6g, 6i, and 12.

See "General Statement of Routine Uses." In addition, information concerning traders and their activities may be disclosed and made public by the Commission to the extent permitted by law when deemed appropriate to further the practices and policies of the Commodity Exchange Act.

Storage:

Paper records in file folders, computer memory, and computer printout.

Form 40, Form 102, correspondence and other miscellaneous information are maintained directly under the name of the reporting trader. The series 01, 03, and 04 forms are maintained by identifying code number. However, information from these forms is included in the computer and retrievable by individual name from the computer.

General office security measures, with recent trading reports stored in lockable file cabinets. Access is limited to those whose official duties require access.

CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are retained on the premises until the account has been inactive for 5 years and are then destroyed. Form 01, 03, and 04 reports are maintained for 6 months on the premises and then held at the Federal Records Center for 5 years before being destroyed. The computer file is maintained for 10 years for Form 01, 03, and 04 reports and large trader options data reported by contract markets. Clearing member positions and transactions are maintained for 2 years. Trader code numbers and related information are maintained for 5 years after a trader becomes nonreportable. Account numbers assigned by an FCM are maintained on the system for 1 year after the account is no longer reported.

Chief, Surveillance Branch, in the region where the records are located. See "The Location of Systems of Records."

Individuals seeking to determine whether this system of records contains information about themselves, or seeking access to records about themselves in this system of records, or contesting the content of records about themselves contained in this system of records should address written inquiry to the FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581. Telephone (202) 418-5105. Include code number assigned by the Commission for filing reports, the name of the futures commission merchant through whom traded, and the time period for which information is sought.

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.

This system is located in the Commission's principal and regional offices. Pending litigation files may be located in other participating offices. See "The Location of Systems of Records."

Persons or firms against whom the Commission has taken enforcement action based on violations of the Commodity Exchange Act or the rules and regulations promulgated thereunder.

Copies of various papers filed by or with the Commission or the courts in connection with administrative proceedings or injunctive actions brought by the Commission. It includes, as a minimum, a copy of the complaint and the final decision and order, and may contain other documents as well, including records described in CFTC-14, Matter Files, as well as pleadings and litigation correspondence.

These files are necessary for the orderly and effective conduct of litigation authorized under the Commodity Exchange Act and other federal statutes. See, e.g., section 6c of the Commodity Exchange Act, 7 U.S.C. 13a-1, authorizing injunctive actions, and various provisions in that Act authorizing administrative actions.

See "General Statement of Routine Uses." The information in these files is generally a matter of public record and may be disclosed without restriction.

Storage:

Paper records in file folders or binders, disks, computer memory, computer printouts. A summary index of material is also stored on the computer.

By case title or in some instances by docket number.

General office security measures including secured premises with access limited to those whose official duties require access.

After an action is complete, the complaint, final decision, and order are kept indefinitely at the headquarters office. The remainder of the litigation file is shipped to off-site storage 90 days after the case is completed. Most case files are destroyed after 15 years; unique precedent setting cases are destroyed after 20 years.

Director, Division of Enforcement at the Commission's principal office and Regional Counsel for the region where the records are located. See "The Location of Systems Records."

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

The parties, their attorneys, the Commission's Proceedings Clerk's Office, the relevant court, and miscellaneous sources.

This system is located in the Office of the General Counsel at 1155 21st Street, NW, Washington, DC 20581.

Parties involved in litigation with the Commission or litigation in which the Commission has an interest including, but not limited to:

a. Administrative proceedings before the Commission;

b. Injunctive actions brought by the Commission;

c. Other federal court cases to which the Commission is a party;

d. Litigation in which the Commission is participating as amicus curiae; and

e. Other cases involving issues of concern to the Commission, including those brought by other law enforcement and regulatory agencies and those brought by private parties.

Papers, disks, computer memory or computer printouts comprising or included in the record of the case, and briefs and correspondence related to that action. May also include internal memoranda and other documents pertaining to the matter being litigated.

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

The information in these files is generally a matter of public record and may be disclosed without restriction. Also see "General Statement of Routine Uses."

Storage:

Paper records in file folders, as well as disks, computer memory and computer printouts.

Alphabetically by caption of the case.

General office security measures including secured rooms or premises with access limited to those whose official duties require access.

Maintained in the active files until the action is completed, including final review at the appellate level. Thereafter, transferred to the inactive case files, where a skeletal record of pleadings, briefs, findings, and opinions and other particularly relevant papers may be maintained. These records are maintained on premises for five years, then transferred to the Federal Records Center. A copy of some of the documents may be kept in precedent files for use in later legal research or preparation of filings in other matters.

General Counsel, 1155 21st Street, NW, Washington, DC 20581.

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

The court or regulatory authority before whom the action is pending, the attorneys for one of the named parties, and miscellaneous sources.

This system is located in the Commission's Chicago and New York regional offices. See "The Location of Systems of Records."

Individuals who have exceeded speculative limits in a particular fiscal year.

A listing, by year, of the violations of speculative limits imposed by the Commission and the exchanges. It includes the trader's assigned code number, the commodity involved, the name of the trader, the type of violation, the date of the violation, the date the violation ceased, and the action taken. Copies of warning letters and replies pertaining to the violation listed are maintained with the logbook.

Sections 4i and 8 of the Commodity Exchange Act, 7 U.S.C. 6i and 12.

See "General Statement of Routine Uses."

Storage:

Paper records in file folders.

By fiscal year, and within each year by the name of the violator.

General office security measures including secured rooms or premises with access limited to those whose official duties require access.

Maintained on the premises for 5 years, then held in Federal Records Center for 15 years before being destroyed.

Chief, Surveillance Branch, 233 South Wacker Drive, Suite 4600, Chicago, Illinois 60606; Chief, Surveillance Branch, One World Trade Center, Suite 4747, New York, New York 10048.

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

Series 03 reports filed by traders. Correspondence prepared by the Commission or by the individual or individual's representative.

National Futures Association (NFA), 200 West Madison Street, Suite 1400, Chicago, Illinois 60606-3447.

Persons who have applied for registration as floor brokers, floor traders or as associated persons, and principals (as defined in 17 CFR 3.1) of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators, and leverage transaction merchants.

Information pertaining to the registration and fitness of the above-described individuals to engage in business subject to the Commission's jurisdiction. The system includes applications for registration forms, schedules, and supplements; fingerprint cards; correspondence relating to registration; and reports and memoranda reflecting information developed from various sources.

Computerized systems, consisting primarily of information taken from the registration forms, are maintained by NFA. Computer records include the name, date and place of birth, social security number (optional), exchange membership (floor brokers and floor traders only), firm affiliation, and the residence or business address, or both, of each associated person, floor broker, floor trader and principal. Computer records also include information relating to name, trade name, principal office address, records address, names of principals and branch managers of futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisors, and leverage transaction merchants.

Directories, when produced, list the name, business address, and exchange membership affiliation of all registered floor brokers and the name and firm affiliation of all associated persons and principals. These directories, as well as registration forms and biographical supplements, except for any confidential information on supplementary attachments to the forms, are publicly available to any person for disclosure, inspection and copying.

Sections 4f(1), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10) and 19 of the Commodity Exchange Act as amended, 7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1), 12a(1), 12a(5), 12a(10), and 23 (1988), as amended by the Futures Trading Practices Act of 1992, Pub L. 102-546, 106 Stat. 3590.

See "General Statement of Routine Uses." In addition, information contained in this system of records may be disclosed by the Commission as follows:

1. Information contained in this system of records may be disclosed to any person with whom an applicant or registrant is or plans to be associated as an associated person or affiliated as a principal.

2. Information contained in this system of records may be disclosed to any registered futures commission merchant with whom an applicant or registered introducing broker has entered or plans to enter into a guarantee agreement in accordance with Commission regulation 1.10 (17 CFR 1.10).

NFA may disclose information contained in those portions of this system of records maintained by NFA, but any such disclosure must be made in accordance with Commission-approved NFA rules and under circumstances authorized by the Commission as consistent with the Commission's regulations and routine uses. No specific consent is required by an applicant or registered introducing broker to disclosure of information to the futures commission merchant with whom it has or plans to enter a guarantee agreement.

Storage:

Paper records in file folders, computer memory, computer printouts, indexed cards, and microfiche.

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

General office security measures including secured rooms or premises and, in appropriate cases, lockable file cabinets, with access limited to those whose official duties require access.

Hard copies of applications, biographical supplements, other forms, related documents and correspondence are maintained on the NFA's premises, as applicable, for two years after the individual's registration(s), or that of the firm(s) with which the individual is associated as an associated person or affiliated as a principal, becomes inactive. Hard copies of records are then stored at an appropriate site for an additional eight years before being destroyed. Records are to be stored either on NFA's premises or in appropriate fireproof off-site facilities.

NFA also maintains an index and summary of the hard copy records of this system in a data base, the Membership, Registration, Receivables System (MRRS). The MRRS records are maintained permanently and are updated periodically as long as the individual is pending for registration, registered in any capacity or affiliated with any registrant as a principal. MRRS records on persons who may apply may be maintained indefinitely.

Assistant Director for Registration, Division of Trading and Markets, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581, and Vice President for Registration, National Futures Association, 200 West Madison Street, Suite 1400, Chicago, Illinois 60606-3447.

Individuals seeking to determine whether this system of records contains information about themselves, seeking access to records about themselves in this system of records, or contesting the content of records about themselves contained in this system of records, should address written inquiry to the FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581. Telephone (202) 418-5105. Individuals may also request registration information by telephone from the NFA information center at 1-800-676-3570 or from the Disciplinary Information Access Line at 1-800-676-4632. NFA will query the MRRS system about current registration status and registration history, and provide instructions on how to make written requests for copies of records.

The individual or firm on whom the record is maintained; the individual's employer; federal, state and local regulatory and law enforcement agencies; commodities and securities exchanges, National Futures Association and National Association of Securities Dealers; foreign futures and securities authorities and INTERPOL; and other miscellaneous sources. The computer records are prepared from the forms, supplements, attachments and related documents submitted to the NFA and from information developed during the fitness inquiry.

Records in this system are maintained at the Commission's principal and regional offices. See "The Location of Systems of Records."

Persons who have been suspended, expelled, disciplined, or denied access to or by a self-regulatory organization (SRO).

Letters of notification of disciplinary or other adverse action taken by an exchange that include the name of the person against whom such action was taken, the action taken and the reasons therefore.

Section 8c(1)(B) of the Commodity Exchange Act, 7 U.S.C. 12c(1)(B).

See "General Statement of Routine Uses."

Storage:

Loose-leaf binders, computer memory, and computer printouts.

By chronological order according to the self-regulatory organization that took the disciplinary or other adverse action that is the subject of the notice and by the name of the individual.

General office security measures.

Retained indefinitely.

Assistant Director, Contract Markets Section, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

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

Self-regulatory organizations notifying the Commission of disciplinary or other adverse actions taken.

This system is located in the Office of Proceedings, 1155 21st Street, NW, Washington, DC 20581.

Individuals filing customer reparation complaints, as well as the firms and individuals named in the complaints.

Reparation complaints, answers, supporting documentation and correspondence filed with the Office of Proceedings. If the complaint is forwarded for decision by an administrative law judge or proceedings officer, records become part of CFTC-3, Docket Files.

Section 14 of the Commodity Exchange Act, 7 U.S.C. 18.

These records are used in the conduct of the Commission's reparation program. Also see "General Statement of Routine Uses."

Storage:

Paper records in file folders, computer memory, computer printouts.

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

General office security including secured rooms and, in appropriate cases, lockable file cabinets, with access limited to those whose official duties require access.

The records are maintained for 10 years after the case is closed, except that complaints, decisions, and Commission opinions and orders, are retained indefinitely.

Office of Proceedings, Complaints Section, 1155 21st Street, NW, Washington, DC 20581.

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

Persons or firms filing reparation complaints or answers.

This system is located in the Office of the Secretariat, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

Persons who are the subject of discussion at a Commission meeting open for public observation.

Information pertaining to the individuals who are the subject of discussion at an open Commission meeting.

Government in the Sunshine Acts, 5 U.S.C. 552b(f) and Commission regulations at 17 CFR 147.7.

The information in these files is a matter of public record and may be disclosed without restriction. Also see "General Statement of Routine Uses."

Storage:

Paper records in file folders or microfiche; audio cassette tapes.

The indices to the recordings, transcripts, and minutes of all Commission meetings are organized by year in chronological order. Each yearly index is further indexed in alphabetical order according to subject matter, including the names of individuals, firms, exchanges or other topics that are discussed at the meetings.

General office security measures, with access limited to persons whose official duties require access.

Maintained on the premises for at least the statutory period required by the Sunshine Act and Commission regulations (i.e., at least two years after each meeting or at least one year after the conclusion of any agency proceeding with respect to which the meeting or portion of the meeting was held, whichever is later); then retired to the National Archives or stored on the premises.

Secretary of the Commission, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

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

1. The information recorded during Commission meetings concerning individuals who are the subject of discussion at the meetings is generated by the staff in one or more Divisions.

2. The indices are prepared from the recordings, transcripts and/or minutes.

This system is located in the Office of the Secretariat, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

Persons who are the subject of discussion at a closed Commission meeting.

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.

Government in the Sunshine Act, 5 U.S.C. 552b(f), and Commission regulations at 17 CFR 147.7.

See "General Statement of Routine Uses."

Storage:

Paper records in file folders, microfiche, and audio cassette tapes.

The indices to the recordings, transcripts, and minutes of all Commission meetings are organized by year in chronological order. Each yearly index is further indexed in alphabetical order according to subject matter, including the names of individuals, firms, exchanges or other topics, which are discussed at the meetings.

General office security measures, with access limited to persons whose official duties require access.

Maintained on the premises for at least the statutory period required by the Sunshine Acts and Commission regulations (i.e., at least two years after each meeting or at least one year after the conclusion of any agency proceeding with respect to which meeting was held, whichever is later); then retired to the National Archives or stored on the premises.

Secretary of the Commission, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

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

Office of the Inspector General, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581.

Individuals who are part of an investigation of fraud and abuse concerning Commission programs or operations.

All correspondence relevant to the investigation; all internal staff memoranda, copies of all subpoenas issued during the investigation, affidavits, statement from witnesses, transcripts of testimony taken in the investigation and accompanying exhibits; documents and records or copies obtained during the investigation; and opening reports, progress reports and closing reports.

Pub. L. 95-452, as amended, 5 U.S.C. App. 3.

1. The information in the system may be used or disclosed by the Commission in any administrative proceeding before the Commission, in any injunctive action, or in any other action or proceeding authorized under the Commodity Exchange Act or the Inspector General Act of 1978 in which the Commission or any member of the Commission or its staff participates as a party or the Commission participates as amicus curiae.

2. In any case in which records in the system indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records may be referred to the appropriate agency, whether Federal, foreign, state or local, charged with enforcing or implementing the statute, regulation, rule or order.

3. In any case in which records in the system indicate a violation or potential violation of law, whether civil, criminal or regulatory in nature, the relevant records may be referred to the appropriate board of trade designated as a contract market by the Commission or to the appropriate futures association registered with the Commission, if the OIG has reason to believe this will assist the contract market or registered futures association in carrying out its self-regulatory responsibilities under the Commodity Exchange Act, 7 U.S.C. 1 et seq., and regulations, rules or orders issued pursuant thereto, and such records may also be referred to any national securities exchange or national securities association registered with the Securities and Exchange Commission, to assist those organizations in carrying out their self-regulatory responsibilities under the Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., and regulations, rules or orders issued pursuant thereto.

4. The information may be given or shown to anyone during the course of an OIG investigation if the staff has reason to believe that disclosure to the person will further the investigation. Information may also be disclosed to Federal, foreign, state or local authorities in order to obtain information or records relevant to an OIG investigation.

5. The information may be given to independent auditors or other private firms with which the OIG has contracted to carry out an independent audit, or to collate, aggregate or otherwise refine data collected in the system of records. These contractors will be required to maintain Privacy Act safeguards with respect to such records.

6. The information may be disclosed to a Federal, foreign, state or local government agency where records in either system of records pertain to an applicant for employment, or to a current employer of that agency where the records are relevant and necessary to an agency decision concerning the hiring or retention of an employee or disciplinary or other administrative action concerning an employee.

7. The information may be disclosed to a Federal, foreign, state, or local government agency in response to its request in connection with the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision in the matter.

9. The information may be disclosed to the Department of Justice or other counsel to the Commission for legal advice or to pursue claims and to government counsel when the defendant in litigation is: (a) Any component of the Commission or any member or employee of the Commission in his or her official capacity, or (b) the United States or any agency thereof. The information may also be disclosed to counsel for any Commission member or employee in litigation or in anticipation of litigation in his or her individual capacity where the Commission or the Department of Justice agrees to represent such employee or authorizes representation by another.

Storage:

Paper records in file folders, computer diskettes and computer memory.

By the name of the subject of the investigation or by assigned identification number.

The records are kept in limited access areas during duty hours and in file cabinets in locked offices at all other times. These records are available only to those persons whose official duties require such access.

The Office of the Inspector General Investigative Files are destroyed ten years after the case is closed.

Inspector General, Office of the Inspector General, Commodity Futures Trading Commission, 1155 21st Street, NW., Washington, DC 20581.

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

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.

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

Office of Administrative Services, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

Authorized key card holders, which may include CFTC employees, on-site contractors, visitors, or representatives of landlords.

Computer print-outs showing key card number and, in some cases, name of assigned user.

Sections 2(a)(2)(A)(b) and 12(b)(3), Commodity Exchange Act, 7 U.S.C. 4a(e) and 16(b)(3).

See the Commission's "General Statement of Routine Uses," Nos. 1, 2, 6 and 7, Privacy Act Issuances, 1995 Comp. In addition, information contained in this system may be disclosed by the Commission (1) to any person in connection with architectural, security or other surveys concerning use of office space and (2) to employees and contractors for the purpose of maintenance or service of data processing systems.

Storage:

Paper records in file folders, computer diskettes and computer memory.

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

Information from the Commission's landlords' data bases may only be requested from the landlords by the Director of the Office of Administrative Services, or his/her designee. The Commission maintains all key card usage records in limited access areas at all times.

In accordance with the general record schedules and the Commission's record management handbook the records in the system are considered temporary and are destroyed when no longer required.

Director, Office of Administrative Services, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

Individuals seeking to determine whether the system of records contains information about themselves, seeking access to records about themselves in the system of records or contesting the content of records about themselves should address written inquiry to the FOI, Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581. The system of records and the notification, access and challenge procedures apply only to records of key card usage in the Commission's actual possession. None of these applies to any information solely in a landlord's possession.

With one exception, information in the system is supplied by the Commission's landlords, typically on request. Information supplied is a record of use of electronic key cards and in that sense the information is obtained directly from the users of the key cards. Information in the data base maintained in Chicago by the Commission itself is also merely recorded usage of electronic key cards and similarly is obtained directly from the user of the key card.

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

Individuals (generally Commission employees and on-site contractor personnel) who make telephone calls from Commission telephones or use government issued calling cards.

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

5 U.S.C. 301 and 41 CFR part 101-35.

See the Commission's "General Statement of Routine Uses," Nos. 1 and 2, Privacy Act Issuances, 1995 Comp. In addition, records and data may be disclosed as necessary (1) to representatives of the General Services Administration or the National Archives and Records Administration who are conducting records management inspections under the authority of 44 U.S.C. 2904 and 2906; (2) to a telecommunications company or consultant providing telecommunications support to permit servicing the account.

Storage:

Records are stored on computer printouts.

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

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

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

Director, Office of Administrative Services, Commodity Futures Trading Commission, 1155 21st Street, NW, Washington, DC 20581.

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

See "Notification Procedures," above.

See "Notification Procedures," above.

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

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

All CFTC employees and on-site contractors.

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.

5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3).

The records are used by CFTC network administrators who have a need for the records in the performance of their duties. See also the Commission's "General Statement of Routine Uses," Nos. 1, and 2, in this Privacy Act Issuances. In addition, the records and data, other than the content of individual mailboxes, may also be disclosed as necessary to contractors as necessary for assessment, modification, or maintenance of the e-mail system.

Storage:

Records are stored on the mail servers in each CFTC location. Servers are backed up nightly to magnetic tape. In Washington, DC, the most recent two weeks of magnetic tape are kept in a locked box in the Computer Room and the prior two weeks are kept at an off-site storage facility. The entire four weeks of magnetic tape information is kept in unlocked boxes in a secured area in the Chicago, New York and Los Angeles locations.

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

Network administrators have access to the e-mail information. This access is generally limited to the "header" information described under "Categories of Records." In addition, the mailbox owner can grant access to objects in the mailbox to others. The tapes are kept in locked storage boxes in Washington, DC, and only network administrators and OIRM management have keys to the locked boxes. In the Chicago, New York and Los Angeles locations, tapes are kept in a secured area. Only designated office personnel have access to the secured area.

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

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

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

See "Notification Procedures" above.

See "Notification Procedures" above.

Internet e-mail, interoffice e-mail.

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

All CFTC employees and on-site contractors who are users of the Internet Web Site and News Group Browsing capability.

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

5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3).

The records are used by CFTC network administrators for maintenance of the firewall system that protects the CFTC from unauthorized access to its data. The network administrators may also use the information to evaluate the level of use of the agency's Internet browsing capability. See also the Commission's "General Statement of Routine Uses," Nos. 1, and 2, Privacy Act Issuances, 1995 Comp. Records may also be disclosed as necessary to the agency's Internet service provider or agency contractor to the extent the information is necessary for maintenance of the agency's Internet access.

Storage:

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

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.

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

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

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

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

See "Notification Procedures" above.

See "Notification Procedures" above.

Internet, web site and news group browsing, web site access.

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

All CFTC employees and on-site contractors who are users of the Lexis/Westlaw research 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.

5 U.S.C. 301 and section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3).

Records are used primarily by the Administrative Officer, OIRM, to monitor expenditures and to ensure the availability of funds. The records containing usage information are distributed monthly to the administrative officers in each office for their confirmation that Lexis/Westlaw use was authorized. See the Commission's "General Statement of Routine Uses," Nos. 1 and 2, Privacy Act Issuances, 1995 Comp. Lexis/Westlaw can also access the information and uses it for statistical analysis and billing purposes.

Storage:

Billing information is maintained by the Administrative Officer, OIRM, in a locked file drawer.

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

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

Hard copies of monthly billing statements are retained for two years, then destroyed.

Administrative Officer, Office of Information Resources Management, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.

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

See "Notification Procedures" above.

See "Notification Procedures" above.

Lexis/Westlaw billing information.

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

Individual CFTC employees who check out books and periodicals from the CFTC Library.

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.

5 U.S.C. 301 and 41 CFR part 101-27.

The Library staff uses the information to track the location of library materials, to provide users on request with a list of materials currently shown as in their possession, and to issue, as necessary, overdue notices for materials. See the Commission's "General Statement of Routine Uses," Nos. 1 and 2, Privacy Act Issuances, 1995 Comp. The records may also be disclosed as necessary to agency contractors in connection with assessment, modification or maintenance of the automated circulation system.

Storage:

Records are stored on the CFTC local area network file server. Records on the identifying bar codes assigned to individuals are stored in the file server and on rolodex cards.

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

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

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.

Administrative Librarian, Commodity Futures Trading Commission, 1155 21st Street NW., Washington, DC 20581.

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

See "Notification Procedures" above.

See "Notification Procedures" above.

Library user bar code identifiers; library materials use; overdue notices.

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.

Visitors to the CFTC.

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.

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 verity the identify 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.

Information in this system may be disclosed in accordance with the General Statement of Routine Uses.

Storage:

Computer records are stored in a stand-alone database. Paper reports from the system are kept in a locked file.

By date, and by visitor name.

In addition to general building security, access to the visitor database is protected by password. The system, as a stand-alone database, is not accessible through the CFTC network. Reports are kept in a locked file with limited key access.

Records will be retained for three months and then purged.

Tammy Semega, Deputy Director, Office of the Executive Director, Office of Management Operations, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

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 FOI Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

The individual on whom the record is maintained.

Most personnel identity verification (PIV) records are not classified.

The Personnel Security Files are located in the Office of Human Resources, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

Individuals who require regular, ongoing access to CFTC facilities, information technology systems, or information classified in the interest of national security, including applicants for CFTC employment or contracts, CFTC employees, contractors of the CFTC, students, interns, volunteers, individuals authorized to perform or use services provided in CFTC facilities, and individuals formerly in any of these positions.

Records may include any or all of the following, depending on the individual and his or her position:

1. Data needed to identify an individual, including: Individual's last, first, middle names (filed alphabetically by last name), and former names (if applicable); Social Security Number; date of birth; birthplace; home address; telephone numbers; residential history; photograph; gender; height; weight; and hair and eye color.

2. Individual's citizenship; fingerprints; security classification; types and dates of investigations; agency conducting investigation; position sensitivity levels; miscellaneous investigation comments; summary report of investigation; results of suitability decisions; level of security clearance; and date of issuance of security clearance.

3. "I-9" documents, such as driver's license, passport, and birth certificate.

3. Names of relatives; relatives birth dates, home address, and citizenship; and names of relatives who work for the Federal government.

4. Reports about the individual's qualifications for a position, e.g., employee/applicant's employment/work history; employment references and contact information; educational/training institutions attended, degrees and certifications earned; and educational and training references.

5. Information needed to investigate an individual's character, conduct, and behavior in the community where he or she lives or lived; criminal history, e.g., arrests and convictions for violations against the law; mental health history; drug use; financial information, e.g., income tax return information and credit reports; reports of interviews with present and former supervisors, co-workers, associates, and educators; and other related personal references and contact information.

6. Reports of inquiries with law enforcement agencies, employers, and reports of action after the Office of Personnel Management or FBI section 8(d) Full Field Investigation; Notices of Security Investigation and other information developed from the above described Certificates of Clearance, e.g., date of security clearances, requests for appeals, witness statements, investigator's notes, security violations, circumstances of violations, and agency action(s) taken.

7. Information obtained from SF-85, SF-85P, SF-86, and SF-87 forms; summary reports from OPM or another Federal agency conducting background investigations; and results of adjudications and security violations. (Note: This system of records does not duplicate or supersede the Office of Personnel Management (OPM) Central-9 system of records, which covers the investigations OPM and its contractors conduct on behalf of other agencies.)

Depending on the purpose of the investigation, the U.S. government is authorized to ask for this information under Executive Orders 10450, 10865, 12333, and 12356; 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, 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.

The records in this system are used to document and support decisions regarding the suitability, eligibility, and fitness for service of applicants for Federal employment and contract positions, including students, interns, and volunteers to the extent their duties require access to Federal facilities, information, systems, or applications. The records are also used to support decisions regarding clearance for access to classified information. The records may be used to document security violations and supervisory actions taken.

Information in this system may be routinely disclosed under the following conditions:

1. Litigation by the Department of Justice--when (a) CFTC or (b) any CFTC employee in his or her official capacity; (c) any CFTC employee in his or her individual capacity where CFTC or the Department of Justice (DOJ) has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the CFTC determines that the records are both relevant and necessary to the litigation and the use of such records by DOJ is therefore deemed by the agency to be for a purpose compatible with the purpose for which the CFTC collected the records.

2. A Court or Adjudicative Body--in a proceeding when: (a) The CFTC; (b) any CFTC employee in his or her official capacity; (c) any CFTC employee in his or her individual capacity where CFTC or the Department of Justice has agreed to represent the employee; or (d) the United States Government, is a party to litigation or has an interest in such litigation, and by careful review, the CFTC determines that the records are both relevant and necessary to the litigation and the use of such records is therefore deemed by the agency to be for a purpose that is compatible with the purpose for which the CFTC collected the records.

3. Law Enforcement and Investigation--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.

4. Congressional Inquiries--when requested by a Congressional office in response to an inquiry by an individual made to the Congressional office concerning his or her own records.

5. Government-wide Program Management and Oversight--when requested by the National Archives and Records Administration or to the General Services Administration for records management inspections conducted under 44 U.S.C. 2904 and 2906; when the DOJ is contacted in order to obtain that department's advice regarding disclosure obligations under the Freedom of Information Act; or when the Office of Management and Budget is contacted in order to obtain that office's advice regarding obligations under the Privacy Act.

6. Contract Services or Cooperative Agreements--a record may be disclosed to CFTC contractors who have been engaged to assist the CFTC in the performance of a contract service or other activity related to this system of records and who need to have access to the records in order to perform their activity. Recipients shall be required to comply with the requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.

7. Employment, Clearances, Contract, or Other Benefits Decision by CFTC--disclosure may be made to any source or potential source from which information is requested in the course of an investigation concerning the retention of an employee or other personnel action (other than hiring), the retention of a security clearance, or the letting of a contract, to the extent necessary to identify the individual, inform the source of the nature and purpose of the investigation, and to identify the type of information requested.

8. Employment, Clearances, Contract, or Other Benefits Decision by an Organization other than CFTC--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.

9. 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.

Storage:

Records are stored on paper and electronically in a secure location.

Background investigation files are retrieved by name, Social Security number (SSN), or fingerprint.

Paper records: Paper 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.

Electronic records: Electronic records are kept in the Office of Human Resources. Access to the records is restricted to those with a specific role in the personal identity verification (PIV) process that requires access to background investigation forms to perform their duties, and who have been given a password to access that part of the system including background investigation records. An audit trail is maintained and reviewed periodically to identify unauthorized access. Persons given roles in the PIV process must complete training specific to their roles to ensure they are knowledgeable about how to protect individually identifiable information.

These records are retained and disposed of in accordance with General Records Schedule 18, item 22a, approved by the National Archives and Records Administration (NARA). Records are destroyed upon notification of death or not later than five years after separation or transfer of employee to another agency or department, whichever is applicable.

Vivian Jarcho, Office of Human Resources, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

An individual can determine if this system contains a record pertaining to him/her by sending a request in writing, signed, to the FOI Privacy and Sunshine Acts Compliance Staff, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.

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 sufficient to satisfy the custodian of the records that the requester is entitled to access, such as a government-issued photo ID. 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.

Individuals wishing to request access to 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.

Individuals wishing to request amendment of their 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 or records.

Information is obtained from a variety of sources including the employee, contractor, or applicant via use of the SF-85, SF-85P, or SF-86 and personal interviews; employers' and former employers' records; FBI criminal history records and other databases; financial institutions and credit reports; medical records and health care providers; educational institutions; interviews of witnesses such as neighbors, friends, co-workers, business associates, teachers, landlords, or family members; tax records; and other public records. Security violation information is obtained from a variety of sources, such as guard reports, security inspections, witnesses, supervisor's reports, audit reports.

Upon publication of a final rule in the Federal Register, this system of records will be exempt in accordance with 5 U.S.C. 552a(k)(5). Information will be withheld to the extent it identifies witnesses promised confidentiality as a condition of providing information during the course of the background investigation.