2011-2133
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Federal Register, Volume 76 Issue 22 (Wednesday, February 2, 2011)[Federal Register Volume 76, Number 22 (Wednesday, February 2, 2011)]
[Notices]
[Pages 5974-6002]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-2133]
[[Page 5973]]
Vol. 76
Wednesday,
No. 22
February 2, 2011
Part III
Commodity Futures Trading Commission
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Privacy Act of 1974; Publication of the Systems of Records Managed by
the Commodity Futures Trading Commission; Notice
Federal Register / Vol. 76 , No. 22 / Wednesday, February 2, 2011 /
Notices
[[Page 5974]]
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COMMODITY FUTURES TRADING COMMISSION
Privacy Act of 1974; Notice; Publication of the Systems of
Records Managed by the Commodity Futures Trading Commission
AGENCY: Commodity Futures Trading Commission.
ACTION: Notice; publication of existence and character of revised
systems of records and proposed routine uses.
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SUMMARY: The Commodity Futures Trading Commission (Commission) is
revising the notices it is required to publish under the Privacy Act of
1974 to describe the systems of records that contain information about
individuals. This revision incorporates address and title changes and
updated system descriptions. It also incorporates new systems of
records that were compiled since the last publication of the
Commission's systems of records notices in 2001. This revision proposes
to add routine uses that are applicable to all of the Commission's
systems of records and to re-identify the systems of records already in
existence in a more consistent format.
DATES: Comments should be postmarked by March 14, 2011. This notice
will become effective without further notice, on the date which is 60
days from the date given above unless otherwise revised pursuant to
comments received.
ADDRESSES: Written comments may be mailed or delivered to: Office of
the Secretariat, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Comments may also
be sent by e-mail to http://comments.cftc.gov.
FOR FURTHER INFORMATION CONTACT: Kathy Harman-Stokes, Chief Privacy
Officer, Office of the Executive Director, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone: (202) 418-6629 or e-mail: kharman-stokes@cftc.gov.
SUPPLEMENTARY INFORMATION: This notice alerts the public to the
information the Commission collects and maintains on individuals. In
compiling and publishing the complete text for all of the Commission
systems of records, new routine uses (blanket routine uses) have been
added that apply to all of the notices. Since routine uses are
permissive in nature, the blanket routine uses and the routine uses
listed for each of the systems of records may be used to make a
disclosure, but are not required to be used when a requester seeks a
record. The responsibility to decide whether a routine use is
applicable rests with the Commission. The Commission is also proposing
to add a new system of records entitled, Emergency Locator System as
CFTC-9. This system of records will contain information about
Commission employees and those identified by the employee to contact in
the event of a medical or other emergency concerning the employee.
The system report, as required by 5 U.S.C. 552a(r) has been
submitted to the Committee on Homeland Security and Governmental
Affairs of the United States Senate, the Committee on Oversight and
Government Reform of the House of Representatives, and the Office of
Management and Budget.
The Privacy Act
The Privacy Act is a Federal law that protects information about
individuals that is collected and maintained in a ``system of records''
by an agency of the United States government. In addition to providing
the public with information about these systems, the Privacy Act and
the Commission's rules limit the agency's ability to use or disclose
personal information except for specific purposes.
Systems of Records
A ``system of records'' is a collection of information about
individuals in paper, electronic, or other format, from which
information is retrieved by the name of the individual or by some other
identifying particular assigned to the individual, such as a social
security number or address. The Privacy Act does not cover information
about businesses or about individuals who are not U.S. citizens or
lawfully admitted aliens. See 5 U.S.C. 522a(5).
Each system of records notice contains the following information:
The name of the system;
The location of the system;
The categories of individuals whose records are maintained
in the system;
The types of records maintained in the system;
The authority for maintaining the system;
The routine uses of records maintained in the system,
including the categories of users and the purposes of such uses;
The policies and practices for storing, retrieving,
accessing, retaining, and disposing of records in the system;
The title and business address of the system manager, the
agency official who is responsible for the system of records;
How to find out whether the system of records contains a
record pertaining to the individual, how the individual may gain access
to any record pertaining to the individual contained in the system of
records, and how the individual can contest the content of the records;
and
The categories of sources of records in the system.
Exempt Systems of Records
The Commission has exempted four systems of records from certain
requirements of the Privacy Act, as authorized under 5 U.S.C. 552a(k),
because they contain investigatory material:
CFTC-1 Enforcement matter register and matter indices
(exempted, to the extent it contains records that refer or relate to
records covered under CFTC-10, Investigatory Records (exempted)).
CFTC-10 Investigatory materials compiled for law
enforcement purposes.
CFTC-31 Information pertaining to individuals discussed at
closed Commission meetings.
CFTC-32 Investigatory materials compiled by the Office of
the Inspector General.
Locations of Systems of Records
Each system of records notice tells the public where records are
kept. Records may be kept at one or more Commission offices. The
Commission offices are in the following locations:
Washington, DC: Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581, Telephone: (202) 418-5000.
Chicago: 525 West Monroe Street, Suite 1100, Chicago,
Illinois 60661, Telephone: (312) 596-0700.
Kansas City: Two Emanuel Cleaver II Blvd., Suite 300,
Kansas City, Missouri 64112, Telephone: (816) 960-7700.
New York: 140 Broadway, 19th Floor, New York, New York
10005, Telephone: (646) 746-9700.
In the system of records notice, the Commission headquarters office
in Washington, DC, is referred to as the ``principal office.'' The
regional offices are referred to collectively as the ``regional
offices.'' ``All Commission offices'' means the headquarters office and
the regional offices.
General Statement of CFTC Routine Uses
The following ``blanket routine uses'' of records, numbered ``1''
through ``19'' below, apply to every system of records maintained
within the Commission. These blanket routine uses of the records are
published below only once in the interest of simplicity, economy,
[[Page 5975]]
and to avoid redundancy. Additional routine uses that apply to a
particular Commission system notice are listed in the applicable system
notice. The release of records under all routine uses is permissive
rather than mandatory. Each of the blanket routine uses is for a
purpose which is compatible with the purpose for which the information
was originally collected.
The following routine uses apply to all CFTC systems of records:
1. Information may be used by the Commission in any administrative
proceeding before the Commission, in any injunctive action authorized
under the Commodity Exchange Act or in any other action or proceeding
in which the Commission or its staff participates as a party or the
Commission participates as amicus curiae.
2. Information may be disclosed to the Department of Justice, the
Securities and Exchange Commission, the United States Postal Service,
the Internal Revenue Service, the Department of Agriculture, the Office
of Personnel Management, and to other Federal, State, local,
territorial or Tribal law enforcement or regulatory agencies for use in
meeting their statutory and regulatory requirements.
3. Information may be given to any ``registered entity,'' as
defined in section 1a of the Commodity Exchange Act, 7 U.S.C. 1, et
seq. (``the Act''), if the Commission has reason to believe that such
information will assist the registered entity in carrying out its
responsibilities under the Act. Information may also be given to any
registered futures association registered under section 17 of the Act
(e.g., the National Futures Association) to assist it in carrying out
its self-regulatory responsibilities under the Act, and to any national
securities exchange or national securities association registered with
the Securities and Exchange Commission to assist those organizations in
carrying out their self-regulatory responsibilities under the
Securities Exchange Act of 1934, 15 U.S.C. 78a, et seq.
4. At the discretion of the Commission staff, information may be
given or shown to anyone during the course of a Commission
investigation if the staff has reason to believe that the person to
whom it is disclosed may have further information about the matters
discussed therein, and those matters appear relevant to the subject of
the investigation.
5. Information may be included in a public report issued by the
Commission following an investigation, to the extent that this is
authorized under section 8 of the Commodity Exchange Act, 7 U.S.C. 12.
Section 8 authorizes publication of such reports but contains
restrictions on the publication of certain types of sensitive business
information developed during an investigation. In certain contexts,
some of this information might be considered personal in nature.
6. Information may be disclosed to a Federal agency in response to
its request in connection with the hiring or retention of an employee,
the issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract or the issuance of a license,
or a grant or other benefit by the requesting agency, to the extent
that the information may be relevant to the requesting agency's
decision on the matter.
7. Information may be disclosed to a prospective employer in
response to its request in connection with the hiring or retention of
an employee, to the extent that the information is believed to be
relevant to the prospective employer's decision in the matter.
8. Information may be disclosed to any person, pursuant to Section
12(a) of the Commodity Exchange Act, 7 U.S.C. 16(a), when disclosure
will further the policies of that Act or of other provisions of law.
Section 12(a) authorizes the Commission to cooperate with various other
government authorities or with ``any person.''
9. Where information, either alone or in conjunction with other
information indicates a violation or potential violation of law--
criminal, civil, or regulatory in nature--the relevant information may
be disclosed to the appropriate Federal, State, local, territorial,
Tribal, or foreign law enforcement authority or other appropriate
entity charged with the responsibility for investigating or prosecuting
such violation or charged with enforcing or implementing such law.
10. Information may be disclosed to the General Services
Administration for the purpose of records management inspections
conducted under the authority of 44 U.S.C. 2904 and 2906.
11. Information may be disclosed to the National Archives and
Records Administration for the purpose of records management
inspections being conducted under the authority of 44 U.S.C. 2904 and
2906.
12. Information may be disclosed to foreign law enforcement,
investigatory, or administrative authorities in order to comply with
requirements set forth in international arrangements, such as memoranda
of understanding.
13. Information may be disclosed to contractors, grantees,
volunteers, experts, students, and others performing or working on a
contract, service, grant, cooperative agreement, or job for the Federal
government when necessary to accomplish an agency function.
14. Information may be disclosed to the Merit Systems Protection
Board, including the Office of Special Counsel for the purpose of
litigation, including administrative proceedings, appeals, special
studies of the civil service and other merit systems.
15. Information may be disclosed to the Department of Justice or in
a proceeding before a court, adjudicative body, or other administrative
body which the agency is authorized to appear, when:
a. The agency, or any component thereof; or
b. Any employee of the agency in his or her official capacity; or
c. Any employee of the agency in his or her official capacity where
the Department of Justice or the agency has agreed to represent the
employee; or
d. The United States, when the agency determines that litigation is
likely to affect the agency or any of its components;
Is a party to litigation or has an interest in such litigation, and the
use of such records by the Department of Justice or the agency is
deemed by the agency to be relevant and necessary to the litigation
provided, however, that in each case it has been determined that the
disclosure is compatible with the purpose for which the records were
collected.
16. Information may be disclosed to a Member of Congress or staff
acting upon the Member's behalf when the Member or staff requests the
information on behalf of, or at the request of, the individual who is
the subject of the record.
17. Information related to any traders or the amount or quantity of
any commodity purchased or sold by such traders may be disclosed to any
committee of either House of Congress upon its request, acting within
the scope of its jurisdiction, pursuant to the Commodity Exchange Act,
7 U.S.C. 1 et seq., including Section 8(e) of such Act at 7 U.S.C. 12,
and the rules and regulations promulgated thereunder.
18. Information may be disclosed to another Federal agency, to a
court, or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, when the Government is
a party to the judicial or administrative proceeding.
19. Information may be disclosed to appropriate agencies, entities,
and individuals when:
[[Page 5976]]
a. The Commission suspects or has confirmed that the security or
confidentiality of information in the system of records has been
compromised;
b. The Commission has determined that as a result of the suspected
or confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by the Commission or another agency or entity) that rely
upon the compromised information; and
c. The disclosure made to such agencies, entities, and individuals
is reasonably necessary to assist in connection with the Commission's
efforts to respond to the suspected or confirmed compromise and
prevent, minimize, or remedy such harm.
CFTC Systems of Records Notices
Below is a list of the Commission's systems of records, followed by
the complete text of all of the systems of records notices.
Index
CFTC-1 Enforcement Matter Register and Matter Indices (exempted)
CFTC-2 Commission Correspondence Files
CFTC-3 Proceedings Docket Files Forwarded for Adjudication
CFTC-4 Employee Leave, Time, and Attendance
CFTC-5 Employee Personnel/Payroll Records
CFTC-6 Employee Travel and Transportation Records
CFTC-7 Formal Employment Discrimination Complaint and Reasonable
Accommodation Files
CFTC-8 Employment Applications
CFTC-9 Emergency Locator System
CFTC-10 Investigatory Records (exempted)
CFTC-12 Fitness Investigations
CFTC-13 Interpretative, Exemptive, and No-Action Files
CFTC-14 Commodity Futures Trading Commission Alumni Records
CFTC-15 Large Trader Report Files
CFTC-16 Enforcement Case Files
CFTC-17 Litigation Files--OGC
CFTC-18 Logbook on Speculative Limit Violations
CFTC-20 Registration
CFTC-28 Self-Regulatory Organization Disciplinary Action Files
CFTC-29 Reparations Complaints
CFTC-30 Open Commission Meetings
CFTC-31 Closed Commission Meetings (exempted)
CFTC-32 Office of the Inspector General Investigative Files
(exempted)
CFTC-33 Electronic Access Card
CFTC-34 Telephone System (BlackBerry or Calling Card)
CFTC-35 Interoffice and Internet E-mail
CFTC-36 Internet Security Gateway Systems (Firewall, Web Content
Filter, and E-mail Filter)
CFTC-37 Lexis/Westlaw Billing Information System
CFTC-38 Automated Library Circulation System
CFTC-39 Freedom of Information Act Requests
CFTC-40 Privacy Act Requests
CFTC-41 Requests for Confidential Treatment
CFTC-42 Debt Collection Files
CFTC-43 Visitor Information System
CFTC-44 Personnel Security Files
CFTC-1
SYSTEM NAME:
Enforcement Matter Register and Matter Indices (exempted, to the
extent it contains records that refer or relate to records covered
under CFTC-10, Investigatory Records (exempted)).
SYSTEM LOCATION:
This system is located in the Division of Enforcement in the
Commission's principal office at Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW., Washington DC, 20581,
and regional offices in Chicago at 525 West Monroe Street, Suite 1100
Chicago, IL 60661, in Kansas City at Two Emanuel Cleaver II Blvd.,
Suite 300, Kansas City, MO 64112, and New York at 140 Broadway, 19th
Floor, New York, NY 10005.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
a. Individuals found or alleged to have, or suspected of having,
violated the Commodity Exchange Act or the rules, regulations or orders
of the Commission adopted thereunder.
b. Individuals whom the Commission staff has reason to believe have
violated, are violating or are about to violate a law or regulation or
order of another Federal, State or foreign authority.
c. Individuals lodging complaints with the Commission concerning
third parties.
d. Individuals whom the Commission staff has identified as relevant
to an enforcement matter, such as complainants, witnesses and counsel.
e. Individuals whom a foreign law enforcement authority has found
or alleges to have, or suspects of having, violated foreign laws,
rules, regulations or orders of such foreign law enforcement authority.
CATEGORIES OF RECORDS IN THE SYSTEM:
An index system to CFTC-10 Investigatory Records (exempted) and
CFTC-16 Enforcement Case Files, including:
a. The matter register records are organized by docket number and/
or matter name. The register also indicates the date opened, the
disposition and status, the date closed, and the staff member assigned.
b. The matter register also includes reports recommending openings
and closings of investigations.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section 8
of such Act at 7 U.S.C. 12, and the rules and regulations promulgated
thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, binders, computer files
(eLaw) and computer disks. Electronic records, including computer
files, are stored on the Commission's network and other electronic
media as needed, such as encrypted hard drives.
RETRIEVABILITY:
By matter name or docket number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
Records related to CFTC-10, Investigatory Records (exempted), and
CFTC-16, Enforcement Case Files, are maintained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Enforcement, in the Commission's principal
office at Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC 20581 and Regional Counsels in
the
[[Page 5977]]
regional offices: in Chicago at 525 West Monroe Street, Suite 1100
Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd.,
Suite 300, Kansas City, MO 64112; and in New York at 140 Broadway, 19th
Floor, New York, NY 10005.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains non-exempt information about themselves or seeking access to
non-exempt records about themselves in this system of records, or
contesting the content of non-exempt records about themselves contained
in this system of records should address written inquiry to the Office
of General Counsel, Paralegal Specialist, Three Lafayette Centre, 1155
21st Street, NW., Washington, DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Individuals submitting complaints to the Commission, and
miscellaneous sources including customers, law enforcement and
regulatory agencies, commodity exchanges, National Futures Association,
trade sources, and Commission-staff-generated items.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The records in this system that refer or relate to records
contained in CFTC-10, Investigatory Records (exempted), have been
exempted by the Commission from certain provisions of the Privacy Act
of 1974 pursuant to the terms of the Privacy Act, 5 U.S.C. 552a(k)(2),
and the Commission's rules promulgated thereunder, 17 CFR 146.12. These
records are exempt from the notification procedures, records access
procedures, and record contest procedures set forth in the system
notices of other systems of records, and from the requirement that the
sources of records in the system be described.
CFTC-2
SYSTEM NAME:
Commission Correspondence Files.
SYSTEM LOCATION:
This system is located in the Commission's principal office at
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals corresponding with the Commission, directly or through
their representatives. Individuals discussed in correspondence to or
from the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Incoming and outgoing correspondence and indices of correspondence,
and certain internal reports and memoranda related to the
correspondence. This system also includes e-mail, Internet and Web-
based correspondence submitted by the public. This system includes only
those records that are part of a general correspondence file maintained
by the office involved. It includes correspondence indexed by assigned
number and, in certain offices, by individual name of the
correspondent.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, binders or on index
cards. Electronic records, including computer files, are stored on the
Commission's network and other electronic media as needed, including
desktop applications and the Correspondence System.
RETRIEVABILITY:
By name of correspondent, subject matter, date or assigned number.
The name may be either the name of the person who sent or received the
letter, or the person on whose behalf the letter was sent or received.
It may also be another person who was the principal subject of the
letter, where circumstances appear to justify this treatment. See
previous discussion concerning the category of records maintained in
this system.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
The retention and disposal period depends on the nature of the
correspondence. For example, correspondence with the Commission that
pertains to the programs and policies of the Commission becomes part of
the agency's central files and is kept permanently. Other
correspondence may be kept for between one and 10 years, depending on
the subject matter.
SYSTEM MANAGER(S) AND ADDRESS:
Office of the Secretariat; Director, Office of International
Affairs, Office of External Affairs; Executive Director; General
Counsel; Director, Division of Enforcement; Director, Division of
Market Oversight; Director, Division of Clearing and Intermediary
Oversight, and Office of the Chief Economist. All are located at the
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals corresponding with the Commission and correspondence
and memoranda prepared by the Commission.
CFTC-3
SYSTEM NAME:
Docket Files for Reparations and Administrative Adjudication.
SYSTEM LOCATION:
This system is located in the Office of Proceedings, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
[[Page 5978]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All individuals involved in any CFTC administrative enforcement or
reparations proceeding.
CATEGORIES OF RECORDS IN THE SYSTEM:
All pleadings, motions, applications, stipulations, affidavits,
transcripts and documents introduced as evidence, briefs, orders,
findings, opinions, and other matters that are part of the record of an
administrative or reparations proceeding. They also include related
correspondence and indices.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commission is authorized or required to conduct proceedings
under several provisions of the Commodity Exchange Act, 7 U.S.C. 1 et
seq. These files are necessary for the conduct of orderly proceedings.
See also 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
These records are public records unless the Commission or assigned
presiding officer determines for good cause to treat them as nonpublic
records consistent with the provisions of the Freedom of Information
Act. Nonpublic portions may be used for any purpose specifically
authorized by the Commission or by the presiding officer who ordered
such nonpublic treatment of the records.
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, on index cards, paper
docket cards, and microfilm. Electronic records, including computer
files, are stored on the Commission's network and other electronic
media as needed.
RETRIEVABILITY:
By the docket number and cross-indexed by complainant and
respondent names.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets. Records that the Commission or
presiding officer has directed be held nonpublic, such as material
submitted in a proceeding ``in camera'' or ``under seal,'' are
maintained in file folders, binders or in the Commission's computer
network (e.g., eLaw), separate from public records.
RETENTION AND DISPOSAL:
Docket files for reparations cases are maintained for 10 years
after final disposition of the case. Docket files in administrative/
enforcement cases are maintained for 15 years after final disposition
of the case. Docket files for reparations sanctions files are
maintained until the sanction is satisfied. Docket files of unique or
precedent setting cases are permanent records that are transferred to
the National Archives when 20 years old.
SYSTEM MANAGER(S) AND ADDRESS:
Proceedings Clerk, Office of Proceedings, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Commission staff members; opposing parties and their attorneys;
proceeding witnesses; and miscellaneous sources.
CFTC-4
SYSTEM NAME:
Employee Leave, Time, and Attendance.
SYSTEM LOCATION:
The information in the system is located in the same Commission
office as the employee described by the records. Information is also
kept centrally on the computer system located in the Department of
Agriculture's National Finance Center, New Orleans, Louisiana.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All Commission employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Various records reflecting Commission employees' time and
attendance and leave status, as well as the allocation of employee time
to designated budget account codes.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 6101-6133; 5 U.S.C. 6301-6326; 44 U.S.C. 3101.
ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
a. The information may be provided to the Department of Justice or
other Federal agencies in connection with any investigation, or
administrative or legal proceeding involving any violation or potential
violation of any Federal law, rule, or regulation.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, including paper copies of
time and attendance worksheets, leave request slips and signed computer
printouts. Electronic records are stored on the Commission's network
and in other electronic media as needed, and certain computer files
(STARweb) are located at the National Finance Center (NFC).
RETRIEVABILITY:
By the name of the employee or by the employee number, cross-
indexed by name.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access
[[Page 5979]]
to authorized individuals and maintenance of records in lockable
offices and filing cabinets. Only specifically authorized individuals
may access the NFC computer system, and UserID and password are
required.
RETENTION AND DISPOSAL:
Hard copy records, including leave slips, signed computer printouts
from the STARweb system, overtime approval slips and budget account
code worksheets are retained for six years, and then destroyed.
SYSTEM MANAGER AND ADDRESS:
Director, Office of Human Resources, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The individual about whom the record is maintained.
CFTC-5
SYSTEM NAME:
Employee Personnel/Payroll Records.
SYSTEM LOCATION:
This system is located in the Office of Human Resources, and the
Office of General Counsel, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581 and on a
computer system located in the Department of Agriculture's National
Finance Center, New Orleans, LA.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All Commission employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Payroll related information for current Commission employees,
including payroll and leave data for each employee relating to rate and
amount of pay, leave and hours worked, and leave balances, tax and
retirement deductions, life insurance and health insurance deductions,
savings allotments, savings bonds and charity deductions, student loan
repayment program information, other benefits information, mailing
addresses and home addresses, direct deposit information, and copies of
the Commission time and attendance reports as well as authorities
relating to deductions, including salary offset under part 141 of the
Commission's rules. The records maintained in the principal office for
all employees may also include: (a.) Various summary materials received
in computer printout form; (b.) Awards information; (c.) Recruitment,
relocation or retention bonuses; and (d.) Training information.
The official personnel records maintained by the Commission are
described in the system notices published by the Office of Personnel
Management (OPM/GOVT-1 and OPM/GOVT-2), and are not included within
this system. OPM/GOVT-1 is the General Personnel Records System for
OPM. This system includes employee personal identifying information,
such as name, date of birth, home address, mailing address, social
security number, and home telephone. OPM/GOVT-2 is the OPM Employee
Performance File System Records System, which covers employee
performance ratings of record and conduct-related documents maintained
by first line supervisors and managers. See https://www.opm.gov/fedregis/2006/71-061906-35363-a.htm.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101, Ethics in Government Act of 1978 (5 U.S.C.
7301APP); Executive Order Nos. 12674 (as modified by 12731), 12565, and
11222: 5 CFR parts 2634, 2635. (Personnel Financial Disclosure
Requirements).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. The information may be provided to the Department of Justice,
the Office of Personnel Management or other Federal agencies, or used
by the Commission in connection with any investigation or
administrative or legal proceeding involving any violation of Federal
law or regulation thereunder.
b. Certain information will be provided, as required by law, to the
Office of Child Support Enforcement, Administration for Children and
Families, Department of Health and Human Services Federal Parent
Locator System (FPLS) and Federal Tax Offset System to enable State
jurisdictions to locate individuals and identify their income sources
to establish paternity, establish and modify orders of support, and for
enforcement action.
c. Certain information will be provided, as required by law, to the
Office of Child Support Enforcement for release to the Social Security
Administration for verifying social security numbers in connection with
the operation of the FPLS by the Office of Child Support Enforcement.
d. Certain information will be provided, as required by law, to the
Office of Child Support Enforcement for release to the Department of
Treasury for purposes of administering the Earned Income Tax Credit
Program (Section 32, Internal Revenue Code of 1986) and verifying a
claim with respect to employment in a tax return.
e. The information may be provided to insurance companies
providing, or proposing to bid on a solicitation to provide, health
benefits to Commission employees. This data may include, but is not
limited to: name, social security number, date of birth, age, gender,
marital status, service computation date, date of initial appointment
with the Commission, geographic location, standard metropolitan service
area, home phone number, home address, of the Commission employee. For
each enrolled dependent of the Commission employee, this information
may include, but is not limited to: dependent's name, relationship of
the dependent to the Commission employee, date of birth, age, gender,
social security number, home address, marital status, student status,
and handicap status where applicable. This information may be used to
verify eligibility, pay claims, or provide accurate bids.
f. For employees who request repayment of student loans through the
CFTC Student Loan Repayment Program, certain information will be
provided to the organizations that hold the requesting employees' loan
notes for the purpose of verifying outstanding loan amounts and
administering such program.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, and electronic records,
including computer files, are stored on the Commission's network, the
National Finance Center Personnel/Payroll System/CFTC-Network, and
other electronic media as needed.
[[Page 5980]]
RETRIEVABILITY:
By the name or social security number of the employee.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
These records are maintained according to retention schedules
prescribed by the General Records Schedule for each type of personnel/
payroll record.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Human Resources, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individual about whom the record is maintained; personnel office
records; and miscellaneous sources.
CFTC-6
SYSTEM NAME:
Employee Travel and Transportation Records.
SYSTEM LOCATION:
Employee travel records are part of the GovTrip System operated by
the Northrop Grumman Mission Systems located at 12900 Federal Park
System Drive, Fairfax, VA 22033. Access to these records is through
Office of Financial Management, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
The transit subsidy system is located in the Office of Management
Operations, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Any Commission member, employee, witness, expert, advisory
committee member or non-Commission employee traveling on official
business for the Commission and any Commission employee who applies for
and receives a transit subsidy.
CATEGORIES OF RECORDS IN THE SYSTEM:
Travel records contain the name, social security number, address,
destination, itinerary, mode and purpose of travel, dates, expenses,
miscellaneous claims, amounts advanced, amounts claimed, and amounts
reimbursed. Includes travel authorizations, travel vouchers, requests,
receipts, invoices from credit card vendors' receipts, and other
records. Transit subsidy records contain the employee's name, home
address, office, office phone, the last four digits of the social
security number, the mode of transportation, the monthly amount of
transportation expenses, and the monthly amount received.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 5701-5752; 31 U.S.C. 1, et seq.; 44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network,
including GovTrip, and in other electronic media as needed.
RETRIEVABILITY:
By the name of the Commission member, employee witness, expert,
advisory committee member or Commission employee traveling on official
business for the Commission or the name of the employee applying for or
receiving a transit subsidy and by the last four digits of the social
security number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
Travel records are retained for six years and three months after
the period covered by the account. Records of travel that is non-
Federally funded are retained for six years, three months. Transit
subsidy applications maintained by Commission are retained for three
years after the employee is no longer in the program or the application
is superseded.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director for Accounting and Financial Systems and Network
Manager (travel and transportation records) and Director, Office of
Management Operations (transit subsidy records), both at Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained.
CFTC-7
SYSTEM NAME:
Formal Employment Discrimination Complaint and Reasonable
Accommodation Files.
[[Page 5981]]
SYSTEM LOCATION:
The system is located in the Office of Equal Employment Opportunity
Office (EEO), Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st St., NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals or groups (employees or applicants), who believe they
have been discriminated against, and/or subjected to harassment (sexual
or non-sexual) on the basis of their race color, religion, sex
(gender), national origin, age, disability (mental or physical),
retaliation or sexual orientation. Employees seeking work-related
accommodations for disabilities (mental/physical), and disabled
applicants seeking accommodations to participate in the employment
process.
CATEGORIES OF RECORDS IN THE SYSTEM:
Reports to Commission officials from supervisors, managers, or
members of the Commission, the Equal Employment Opportunity Commission,
and Congress relating to discrimination claims or concerning observed
instances of sexual harassment; records relating to the complaint or
incident, relating to any investigation, and to any disposition of the
matter. Records of accommodation requests and the disposition of those
requests. The potential contents of the system are not limited to
complaints or other material under the Commission's Sexual Harassment
Policy. Complaints concerning other forms of employment discrimination
would be made part of this system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 CFR 1614.102(a); 5 U.S.C. Sec. 2302(b); 29 CFR 1614.203.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. Information may be disclosed where the Commission or a present
member of the Commission is a party to a lawsuit or the records are
needed for investigatory purposes.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network and in
other electronic media as needed.
RETRIEVABILITY:
Records are retrievable by the name of the complainant and/or the
complainant case number for discrimination complaints, and by the
applicant/employee name for reasonable accommodation requests.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access and specifically to access of these records to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Records are destroyed four years after resolution of the
discrimination complaint. Reasonable accommodation records are
maintained throughout employment; retired at employee's retirement;
destroyed four years after retirement.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Equal Employment Opportunity, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records or contesting the content of
records about themselves should address written inquiries to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Internal complaints, internal investigations, reports of activity
which apparently violates the Commission's Sexual Harassment Policy or
other employment discrimination prohibitions, proceedings, as relevant,
under the EEOC's Federal Sector Complaint Processing rules, 29 CFR Part
1614.
CFTC-8
SYSTEM NAME:
Employment Applications.
SYSTEM LOCATION:
This system is located in the Office of Human Resources, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants for positions with the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Contains the application and/or the resume of the applicant.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE/RETRIEVABILITY:
Paper records are stored in file folders and electronic files
submitted by applicants via e-mail to Employment@cftc.gov. The
applicant tracking system is located on the CFTC Network. Summary
information of applications is also available to staff of the Office of
Human Resources through an automated applicant tracking system that can
retrieve by announcement number or applicant name.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Also, access to applicant tracking
system granted only to appropriate personnel. Physical measures include
restrictions on building access to authorized individuals and
maintenance of records in lockable offices and filing cabinets.
[[Page 5982]]
RETENTION AND DISPOSAL:
Most applicant records are retained for two years, then destroyed.
If a review is pending by the Office of Personnel Management (OPM) or
other authority, the records are retained until that review is
completed.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Human Resources, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained.
CFTC-9
SYSTEM NAME:
Emergency Locator System.
SYSTEM LOCATION:
This system is located in the Office of Human Resources, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
CATEGORIES ON INDIVIDUALS COVERED BY THE SYSTEM:
Employees and contractors of the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains information regarding the organizational and
telephone number of individual Commission employees and contractors.
The system also contains the home address, telephone numbers, and
personal e-mail address of the individual, and the names, home
addresses, personal e-mail address, and telephone numbers of the
individual(s) to contact in the event of a medical or other emergency
concerning the CFTC employee or contractor.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301
PURPOSES:
The purpose of this system is to maintain emergency contact names
and contact information for individuals for use in the event that a
medical or other emergency involving the individual occurs while the
individual is employed or providing services to the Commission through
contract.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network and in
other electronic media as needed.
RETRIEVABILITY:
Records are retrieved by the name of the individual on whom they
are maintained.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets. Also, these records are
maintained in a secured area, available only to authorized personnel
whose duties require access.
RETENTION AND DISPOSAL:
Records are maintained as long as the individual is an employee of,
or providing services to, the Commission.
SYSTEM MANAGER AND ADDRESS:
Director, Office of Human Resources, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5013.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Information is provided by the individual who is the subject of the
record.
CFTC-10
SYSTEM NAME:
Investigatory Records (exempted).
SYSTEM LOCATION:
This system is located in the Office of General Counsel and the
Division of Enforcement in the Commission's principal office at
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581, and in the Division of Enforcement
in the regional offices in Chicago at 525 West Monroe Street, Suite
1100 Chicago, IL 60661; in Kansas City at Two Emanuel Cleaver II Blvd.,
Suite 300, Kansas City, MO 64112; and New York at 140 Broadway, 19th
Floor, New York, NY 10005.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
a. Individuals whom the Commission staff has reason to believe have
violated, are violating, or are about to violate the Commodity Exchange
Act and the rules, regulations and orders promulgated thereunder.
b. Individuals whom the Commission staff has reason to believe have
violated, are violating or are about to violate a law or regulation or
order of another Federal, State or foreign authority.
c. Individuals whom the Commission staff has reason to believe may
have information concerning violations of the Commodity Exchange Act
and the rules, regulations and orders promulgated thereunder.
d. Individuals involved in investigations authorized by the
Commission concerning the activities of members of the Commission or
its employees based upon formal complaint or otherwise.
e. Individuals whom the Commission staff has identified as relevant
to an enforcement investigation, such as complainants, witnesses and
counsel.
f. Individuals whom a foreign law enforcement authority has found
or alleges to have, or suspects of having, violated foreign laws,
rules, regulations or orders of such foreign law enforcement authority.
[[Page 5983]]
CATEGORIES OF RECORDS IN THE SYSTEM:
Investigatory materials compiled for law enforcement purposes whose
disclosure the Commission staff has determined could impair the
effectiveness and orderly conduct of the Commission's regulatory and
enforcement program or compromise Commission investigations. This
system may include all or any part of the records developed during the
investigation or inquiry, including data from Commission reporting
forms, account statements and other trading records, exchange records,
bank records and credit information, business records, information
available on the Internet or other electronic sources, reports of
interviews, transcripts of testimony, exhibits to transcripts,
affidavits, statements by witnesses, registration information,
contracts and agreements. The system may also contain internal
memoranda, reports of investigation, orders of investigation,
subpoenas, warning letters, stipulations of compliance, correspondence,
and other miscellaneous investigatory matters. The nature of the
personal information contained in these files varies according to what
is considered relevant by the attorney assigned based on the
circumstances of the particular case under investigation, and may
include personal background information about the individual involved,
his education and employment history, information on prior violations,
and a wide variety of financial information, as well as a detailed
examination of the individual's activities during the period in
question.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Commodity Exchange Act, 7 U.S.C. 1 et seq., including 7 U.S.C. 13a-
1, authorizing injunctive actions, various provisions in that Act
authorizing administrative actions, and the rules and regulations
promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, binders, computer files
(eLaw) and computer disks. Electronic records, including computer
files, are stored on the Commission's network and on various other
electronic media as needed, such as encrypted hard drives.
RETRIEVABILITY:
By assigned file name, which may be the matter number or the name
of the person or firm that is the principal subject of the
investigation. A summary index of material is also stored on the
computer.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of certain
records in secured filing rooms and/or locked filing cabinets. Also,
all employees are made aware of the sensitive nature of investigatory
information.
RETENTION AND DISPOSAL:
If an investigatory matter is closed without institution of a case,
the files are maintained in off site storage for five years, and then
destroyed. When the Commission moves forward from an investigation to
litigation:
(a) Investigatory records that are disclosed by the Commission in
the administrative, court or other proceedings become part of non-
exempt CFTC-16, Enforcement Case Files and/or CFTC-17, Litigation
Files--OGC, and are retained and disposed of pursuant to CFTC-16 and/or
CFTC-17; and
(b) Investigatory records not disclosed in such proceedings are
retained in exempt CFTC-10, Investigatory Records, and disposed of on
the same schedule as the related non-exempt records under CFTC-16 or
CFTC-17.
All Investigatory Records remain exempt from disclosure under the
Privacy Act.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Enforcement and/or General Counsel, Office of
the General Counsel in the Commission's principal office at Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581 and Regional Counsels in the regional
offices: in Chicago at 525 West Monroe Street, Suite 1100, Chicago, IL
60661; in Kansas City at Two Emanuel Cleaver II Blvd., Suite 300,
Kansas City, MO 64112; and in New York at 140 Broadway, 19th Floor, New
York, NY 10005.
RECORD SOURCE CATEGORIES:
Reporting forms and other information filed with the Commission;
self-regulatory organizations; individuals or firms covered by the
Commission's registration requirements; Federal, State and local
regulatory and law enforcement agencies; banks, credit organizations
and other institutions; corporations; individuals having knowledge of
the facts; attorneys; publications; courts; and miscellaneous sources.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The records in this system have been exempted by the Commission
from certain provisions of the Privacy Act of 1974 pursuant to the
terms of the Privacy Act, 5 U.S.C. 552a(k)(2), and the Commission's
rules promulgated thereunder, 17 CFR 146.12. These records are exempt
from the notification procedures, records access procedures, and record
contest procedures set forth in the system notices of other systems of
records, and from the requirement that the sources of records in the
system be described.
CFTC-12
SYSTEM NAME:
Fitness Investigations.
SYSTEM LOCATION:
Records for floor brokers and floor traders with respect to matters
commenced prior to August 1, 1994 are located in the Division of
Clearing and Intermediary Oversight, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Records for futures commission merchants, introducing
brokers, commodity pool operators, commodity trading advisors, their
respective associated persons and principals, with active registration
status in any capacity on or after October 1, 1983; leverage
transaction merchants and their associated persons and principals with
active registration status as such on or after August 1, 1994; floor
brokers and floor traders with active registration status as such on or
after August 1, 1994; and agricultural trade option merchants (ATOMs)
and their associated persons are located at the National Futures
Association (NFA), 300 South Riverside, Suite 1800, Chicago, Illinois
60606.
[[Page 5984]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have applied or who may apply for registration as
futures commission merchants, introducing brokers, commodity pool
operators, commodity trading advisors, leverage transaction merchants
and ATOMs; individuals listed or who may be listed as principals (as
defined in 17 CFR Part 3.1); individuals who have applied or who may
apply for registration as associated persons of the foregoing firms;
and floor brokers and floor traders.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the fitness of the above-described
individuals or firms to engage in business subject to the Commission's
jurisdiction. The system contains information in computerized images or
alpha-numeric format and hardcopy format including registration forms,
schedules and supplements, fingerprint cards which are required for
individual registrants except ATOMs, correspondence relating to
registration, and reports and memoranda reflecting information
developed from various sources. In addition, the system contains
records of each fitness investigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act as amended, 7 U.S.C. 1 et seq.,
including Sections 4f(a)(1) and (2), 4k(4), 4k(5), 4n(1), 8a(1)-(5),
8a(10), 8a(11), 17(o) and 19, at 7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1),
12a(1)-(5), 12a(10), 12a(11), 21(o) and 23, and the rules and
regulations promulgated under the Commodity Exchange Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSE OF SUCH USES:
a. Information contained in this system of records may be disclosed
to any person with whom an applicant or registrant is or plans to be
associated as an associated person or affiliated as a principal.
b. Information contained in this system of records may be disclosed
to any registered futures commission merchant with whom an applicant or
registered introducing broker has or plans to enter into a guarantee
agreement in accordance with Commission regulation at 17 CFR Part 1.10.
Note: NFA may disclose information contained in those portions
of this system of records, but any such disclosure must be made in
accordance with NFA rules that have been approved by the Commission
or permitted to become effective without Commission approval. The
disclosure must be made under circumstances authorized by the
Commission as consistent with the Commission's regulations and
routine uses. No specific consent is required by an applicant or
registered introducing broker to disclosure of information to the
futures commission merchant with whom it has or plans to enter a
guarantee agreement.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders and binders. Electronic
records, including computer files, are stored on the Commission's
network, in the NFA Online Registration System (ORS), microfiche and
various other electronic media as needed, such as encrypted hard
drives.
RETRIEVABILITY:
By the name of the individual or firm, or by the assigned
identification number. Where applicable, the NFA's computer cross-
indexes the individual's file to the name of the futures commission
merchant, introducing broker, commodity trading advisor, commodity pool
operator, leverage transaction merchant or ATOMs with which the
individual is associated or affiliated.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals, including limiting access
to individuals whose official duties require access, and maintenance of
records in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
Since 1991, when a fitness investigation is opened by NFA,
applications, biographical supplements, other forms, related documents,
correspondence and reports are immediately scanned, indexed and stored
using computer imaging software so the information may be retrieved and
printed. Imaged records are maintained indefinitely. Any hard copy
originals are maintained by NFA for two years after imaged. Records
retained by CFTC are held for ten years.
SYSTEM MANAGER(S) AND ADDRESS:
For records held by the Commission: Director, Division of Clearing
and Intermediary Oversight, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. For
records held by NFA: Vice President for Registration, National Futures
Association, 300 South Riverside, Suite 1800, Chicago, Illinois 60606.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
Individuals may also request registration information by telephone
directly from the NFA information center at (800) 621-3570 or (312)
781-1410. Inquiries can also be made to NFA by fax at (312) 781-1459 or
via the Internet at information@nfa.futures.org. NFA will query the ORS
database system about current registration status and registration
history, and will provide instructions on how to make written requests
for copies of records. The Internet may be used to obtain information
on current registration status and futures-related regulatory actions
at http://www.nfa.futures.org by selecting ``BASIC.''
RECORDS SOURCE CATEGORIES:
The individual or firm on whom the record is maintained; the
individual's employer; Federal, State and local regulatory and law
enforcement agencies; commodities and securities exchanges; NFA;
National Association of Securities Dealers; foreign futures and
securities authorities and INTERPOL; and other miscellaneous sources.
CFTC-13
SYSTEM NAME:
Interpretive, Exemptive, and No-Action Files.
SYSTEM LOCATION:
Most files are prepared by the Division of Clearing and
Intermediary
[[Page 5985]]
Oversight and are kept in that office. Public copies of the
interpretative, exemptive and no-action letters, which may be redacted,
are also kept in the Office of the Secretariat and the Office of Public
Affairs, and are also available on the CFTC Web site (http://www.cftc.gov). All offices are located at the Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have requested the Commission or its staff to
provide interpretations, exemptions or no-action positions regarding
the provisions of the Commodity Exchange Act or the Commission's
regulations there under. The requests may have been made directly by an
individual, or through the individual's attorney or other
representative. A request may also be made on behalf of a registrant or
other party that contains information about individuals employed by or
affiliated with the registrant or other party. Registrants include
futures commission merchants, introducing brokers, commodity pool
operators, commodity trading advisors, agricultural trade option
merchants, leverage transaction merchants, associated persons, floor
brokers and floor traders.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests for interpretative, exemptive and no-action letters,
supplemental correspondence, any related internal memoranda, other
supporting documents and the responses to the requests.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., and the rules and
regulations promulgated thereunder, including 17 CFR Parts 140.98 and
140.99.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. Pursuant to the Commission's rules, 17 CFR Part 140.98,
substantive interpretative, exemptive and no-action letters are made
public and published by the Commission. Portions of such letters or
information will be deleted or omitted to the extent necessary to
prevent a clearly unwarranted invasion of personal privacy or to the
extent they otherwise contain material considered nonpublic under the
Freedom of Information Act and the Commission's rules implementing that
Act.
b. Information in these files may be used as a reference in
responding to later inquiries from the same party, in following up on
earlier correspondence involving the same person, or when another
person raises the same or similar issues.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records in file folders. Electronic records, including
computer files, are stored on the Commission's network, including
desktop applications and e-mail files. The redacted outgoing letter is
maintained electronically on a shared drive.
RETRIEVABILITY:
The Division of Clearing and Intermediary Oversight has tracking
systems in place. A division-wide database maintains information on all
projects, including requests for exemptive, no-action and interpretive
letters, and is completely searchable. In addition, each section within
the Division of Clearing and Intermediary Oversight may maintain its
own tracking system for requests that preceded the implementation of
the division-wide system. Public copy files in the Office of the
Secretariat and the Office of Public Affairs are filed by the name of
the requester, even if another party makes the request on behalf of the
requester.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
Letters signed by the Commission and unique, precedent-setting
letters signed by staff are maintained for 20 years, then transferred
to the National Archives and Records Administration as permanent
records. Other letters signed by staff are destroyed after 15 years.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Division of Clearing and Intermediary Oversight;
Secretary to the Commission, Office of the Secretariat; and Director,
Office of Public Affairs at Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals, corporations, limited liability companies, other
business organizations, or representatives seeking interpretations of,
exemptions from, or no-action opinions on the provisions of the
Commodity Exchange Act or Commission rules.
CFTC-14
SYSTEM NAME:
Commodity Futures Trading Commission Alumni Records.
SYSTEM LOCATION:
This system is located in the Office of Human Resources, Commodity
Futures trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Former employees of the Commission, and those who worked as
contractors or were engaged in duties at the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
This system contains information regarding former employees of the
Commission including their names, position titles, office address and
telephone number, and with the approval of the individual, home and/or
business address, home and/or business telephone number, e-mail
address, and other relevant data needed to keep in contact with the
individual. This system will also contain similar information regarding
contractors and other who were engaged in duties at the Commission.
[[Page 5986]]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301.
PURPOSE:
The records are used by Commission staff to maintain contact with
former Commission employees and others involved in Commission business.
These records may be used to notify individuals of Commission events.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, AND DISPOSING OF
RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network and
other electronic media as needed.
RETRIEVABILITY:
Records may be retrieved by the name or e-mail address of the
individual.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, required use of strong
passwords frequently changed, use of encryption for certain data types
and transfers, and regular review of security procedures and best
practices to enhance security. Physical measures include restrictions
on building access to authorized individuals and maintenance of records
in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
Information is retained until revised or deleted in accordance with
General Records Schedule 13, Item 4b.
SYSTEM MANAGER AND ADDRESS:
Deputy Director, Office of Management Operations, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals about whom the records are maintained. Information will
predominately be obtained directly from the individual in response to
the Commission's request to have alumni respond regarding Commission
events.
CFTC-15
SYSTEM NAME:
Large Trader Report Files (Integrated Surveillance System).
SYSTEM LOCATION:
This system is located in the Division of Market Oversight, in the
Commission's principal office at Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581;
and in the regional offices at in Chicago at 525 West Monroe Street,
Suite 1100 Chicago, IL 60661; and New York at 140 Broadway, 19th Floor,
New York, NY 10005.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals holding reportable positions as defined in 17 CFR Parts
17, 18 and 19.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Reports filed by the individual holding the reportable position:
a. Statements of Reporting Trader (CFTC Form 40) contains
information described in part 18 of the Commission's rules and
regulations, including the name, address, number, and principal
occupation of the reporting trader, financial interest in and control
of commodity futures accounts, and information about the trader's
business associations;
b. Large trader reporting contains information described in part 18
of the Commission's rules and regulations, including the trader's
identifying number, previous open contracts, trades and deliveries that
day, open contracts at the end of the day, and classification as to
speculation or hedging (available on a non-routine basis by special
call);
c. Large trader reporting form (Series 04 Form). Contains
information described in part 19 of the Commission's rules and
regulations, to be filed by merchants, processors and dealers in
commodities that have Federally imposed speculative position limits.
Includes trader's identifying number, stocks owned, fixed price sale
and purchase commitments. These reports are filed in the Commission
office in the city where the reporting trader is located. If there is
no Commission office in that city, the reports are filed according to
specific instructions of the Commission.
2. Reports to be filed by futures commission merchants, members of
contract markets, foreign brokers and, for large option traders, by
contract markets.
a. Identification of ``Special Accounts'' (CFTC Form 102). Contains
material described in part 17 of the Commission's rules and
regulations. Includes the name, address, and the occupation of a
customer whose accounts have reached the reporting level. Also includes
the account number that the futures commission merchant uses to
identify this customer on the firm's 01 report (see next paragraph),
and whether the customer has control of or financial interest in
accounts of other traders.
b. Large trader reporting form (Series 01 Form). Contains material
described in part 17 of the Commission's rules and regulations, for
each ``special account.'' Shows customer account number, reportable
position held in each commodity future and option, and information
concerning deliveries and exchanges of futures for physicals by
individuals with reportable positions.
3. Computer records prepared from information on the forms
described in items (1) and (2) above.
4. Correspondence and memoranda of telephone conversations between
the Commission and the individual or between the Commission and other
agencies dealing with matters of official business concerning the
individual.
5. Other miscellaneous information, including intra-agency
correspondence and memoranda concerning the individual and documents
relating to official actions taken by the Commission against the
individual.
6. Reports of Positions and Transactions of Clearing Member Firms.
Information is provided in electronic transmission and is readable on
the Internet and contains the data prescribed in section 16 of the
Commission's regulations. The information includes an identification
number for each clearing member, open contracts at the firm for
proprietary and customer accounts and transactions such as trades,
exchanges of futures for physicals, delivery notices issued and
received, and transfers and option exercises. The information is filed
in the
[[Page 5987]]
city where the exchange is located or as instructed by the Commission.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections
4g, 4i, and 8 of that Act, at 7 U.S.C. 6g, 6i and 12, and the rules and
regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. Information concerning traders and their activities may be
disclosed and made public by the Commission to the extent permitted by
law when deemed appropriate to further the practices and policies of
the Commodity Exchange Act.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF THE RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, loose-leaf binders and
similar paper filing methods, and electronic records, including
computer files and the Integrated Surveillance System, are stored on
Commission's network and other electronic media as needed.
RETRIEVABILITY:
CFTC Form 40, CFTC Form 102, correspondence and other miscellaneous
information are maintained directly under the name of the reporting
trader. The series 01 and 04 forms are maintained by identifying code
number. However, information from these forms is included in the
computer and retrievable by individual identifier.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Further, access to these records is limited to those
individuals whose official duties require access, through security
features built into the Integrated Surveillance System. Physical
measures include restrictions on building access to authorized
individuals and maintenance of records in lockable offices and filing
cabinets.
RETENTION AND DISPOSAL:
CFTC Form 40, CFTC Form 102, correspondence, memoranda, etc. are
retained on the premises until the account has been inactive for five
years and are then destroyed. Form 01 and 04 reports are maintained for
six months on the premises and then held in offsite storage for five
years before being destroyed. The computer file is maintained for ten
years for Form 01 and 04. Clearing member positions and transactions
are maintained for three years. Trader code numbers and related
information are maintained for five years after a trader becomes non-
reportable. Account numbers assigned by an futures commission merchant
are maintained on the system for one year after the account is no
longer reported.
SYSTEM MANAGER(S) AND ADDRESS:
Chief, Market Surveillance Section, Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581; and Surveillance Branch Chiefs in
the regional offices in Chicago at 525 West Monroe Street, Suite 1100
Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, New York,
NY 10005.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained and futures
commission merchants through whom the individual trades. Correspondence
and memoranda prepared by the Commission or its staff. Correspondence
from firms, agencies, or individuals requested to provide information
on the individual.
CFTC-16
SYSTEM NAME:
Enforcement Case Files.
SYSTEM LOCATION:
This system is located in the Division of Enforcement in the
Commission's principal office at Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581,
and in the Division of Enforcement in the regional offices in Chicago
at 525 West Monroe Street, Suite 1100 Chicago, IL 60661; in Kansas City
at Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, MO 64112; and
New York at 140 Broadway, 19th Floor, New York, NY 10005.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
a. Individuals or firms against whom the Commission has taken
enforcement action based on violations of the Commodity Exchange Act or
the rules and regulations promulgated thereunder.
b. Individuals whom the Commission staff has identified as relevant
to an enforcement investigation, such as complainants, witnesses and
counsel.
CATEGORIES OF RECORDS IN THE SYSTEM:
Copies of various public papers filed by or with the Commission or
the courts in connection with administrative proceedings or injunctive
actions brought by the Commission. Records include, at a minimum, a
copy of the complaint, motions filed, exhibits and the final decision,
and order.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
These files are necessary for the orderly and effective conduct of
litigation authorized under the Commodity Exchange Act and other
Federal statutes. The Commodity Exchange Act, 7 U.S.C. 1 et seq.,
including section 6c of that Act at 7 U.S.C. 13a-1, section 6(c) of
that Act at 7 U.S.C. 9, and the rules and regulations promulgated
thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, binders, computer files
(eLaw) and computer disks. Electronic records, including computer
files, are stored on the Commission's network and on various other
electronic media as needed, such as encrypted hard drives. A summary
index of material is also stored on the computer network.
[[Page 5988]]
RETRIEVABILITY:
By case title or in some instances by docket number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
After an action is complete, the complaint and any final decision
or dispositive orders are kept indefinitely at the headquarters office.
Most case files are destroyed after 15 years; unique, precedent-setting
cases are offered to the National Archives and Records Administration
for permanent retention after 20 years.
SYSTEM MANAGER AND ADDRESS:
Director, Division of Enforcement, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581 and Regional Counsels in the regional offices: in Chicago at
525 West Monroe Street, Suite 1100 Chicago, IL 60661; in Kansas City at
Two Emanuel Cleaver II Blvd., Suite 300, Kansas City, MO 64112; and in
New York at 140 Broadway, 19th Floor, New York, NY 10005.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The parties, their attorneys, the Commission's Office of
Proceedings, the relevant court, and miscellaneous sources.
CFTC-17
SYSTEM NAME:
Litigation Files--OGC.
SYSTEM LOCATION:
This system is located in the Office of the General Counsel,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Parties involved in litigation with the Commission or litigation in
which the Commission has an interest including, but not limited to:
a. Administrative proceedings before the Commission, including
appeals from staff determinations of requests made under FOIA and the
Privacy Act;
b. Federal court cases to which the Commission is a party;
c. Litigation in which the Commission is participating as amicus
curiae; and
d. Other cases involving issues of concern to the Commission,
including those brought by other law enforcement and regulatory
agencies and those brought by private parties.
CATEGORIES OF RECORDS IN THE SYSTEM:
Public papers filed in litigation as described above, including
appellate and amicus curiae briefs, motions, and final decisions and
orders.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1, et seq., and the rules and
regulations promulgated pursuant to the Commodity Exchange Act, entrust
the Commission with broad regulatory responsibilities over commodity
futures transactions. In this connection, the Commission is authorized
to bring both administrative proceedings and injunctive actions where
there appear to have been violations of the Act. Furthermore, to
effectuate the purposes of the Act, it is necessary that the Commission
staff be familiar with developments in other actions brought by others
that have implications in the commodity law areas.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The information in these files is generally a matter of public
record and may be disclosed without restriction. Information in this
system may be disclosed in accordance with the blanket routine uses
numbered 1 through 19 that appear at the beginning of the Commission's
compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, binders, computer files
(eLaw) and computer disks. Electronic records, including computer
files, are stored on the Commission's network and on various other
electronic media as needed, such as encrypted hard drives.
RETRIEVABILITY:
Alphabetically by caption of the case.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Maintained in the active files until the action is completed,
including final review at the appellate level. Thereafter, transferred
to the inactive case files, where a skeletal record of pleadings,
briefs, findings, and opinions and other particularly relevant papers
may be maintained. These records are maintained on premises for five
years, and then transferred to off-site storage. Most case files are
destroyed after 15 years; unique precedent-setting cases are
transferred to the National Archives for permanent retention. A copy of
some of the documents may be kept in precedent files for use in later
legal research or preparation of filings in other matters.
SYSTEM MANAGER AND ADDRESS:
Deputy General Counsel for Litigation, Office of the General
Counsel, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records
[[Page 5989]]
should address written inquiry to the Office of General Counsel,
Paralegal Specialist, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
The court or regulatory authority before which the action is
pending, the attorneys for one of the named parties, and miscellaneous
sources.
CFTC-18
SYSTEM NAME:
Logbook on Speculative Limit Violations.
SYSTEM LOCATION:
This system is located in the Division of Market Oversight, in the
Commission's principal office at Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581;
and is accessible in the regional offices in Chicago at 525 West Monroe
Street, Suite 1100, Chicago, IL 60661; and New York at 140 Broadway,
19th Floor, New York, NY 10005.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have exceeded and who have potentially exceeded
speculative limits in a particular fiscal year.
CATEGORIES OF RECORDS IN THE SYSTEM:
The records consist of a sequential listing, by year, of the
possible violations and confirmed violations of speculative limits
imposed by the Commission and the exchanges. The logbook records the
date notification is sent to traders and/or exchanges, the due date for
reply and the date the response is received. It includes the trader's
name and assigned trader ID, the commodity (code) involved, and the
type of violation. Copies of referral letters, warning letters and
replies pertaining to the violation listed are scanned and become part
of the electronic record.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections
4i and 8 of that Act at 7 U.S.C. 6i and 12, and the rules and
regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders. Electronic records,
including computer files, are stored on the Commission's network and in
other electronic media as needed.
RETRIEVABILITY:
By any of the available data fields as noted above under
``Categories of Records in the System,'' e.g., trader's name and
assigned trader ID, the commodity (code) involved, the type of
violation, and dates for tracking referral letters, other
correspondence and reports.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Files are destroyed five years after the end of the fiscal year
that the records covered.
SYSTEM MANAGER(S) AND ADDRESS:
Market Surveillance Market Information Group Management in the
regional offices in Chicago at 525 West Monroe Street, Suite 1100
Chicago, IL 60661; and New York at 140 Broadway, 19th Floor, New York,
NY 10005.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Large Trader reports filed by reporting firms and reporting
markets. Correspondence prepared by the Commission or by the individual
or individual's representative.
CFTC-20
SYSTEM NAME:
Registration (Registration of Floor Brokers, Floor Traders, Futures
Commission Merchants, Introducing Brokers, Commodity Trading Advisors,
Commodity Pool Operators, Leverage Transaction Merchants, Agricultural
Trade Option Merchants and Associated Persons).
SYSTEM LOCATION:
This system is located at the National Futures Association (NFA),
300 South Riverside, Suite 1800, Chicago, IL 60606.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have applied or who may apply for registration as
futures commission merchants, introducing brokers, commodity pool
operators, commodity trading advisors, leverage transaction merchants
and agricultural trade option merchants (ATOMs); individuals listed or
who may be listed as principals (as defined in 17 Part CFR 3.1);
individuals who have applied or who may apply for registration as
associated persons of the foregoing firms; and floor brokers and floor
traders.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the registration and fitness of the
above-described individuals, except ATOMs, to engage in business
subject to the Commission's jurisdiction. Information on ATOMs includes
only the names and registration status of ATOMs and their associated
persons. The system includes registration forms, schedules, and
supplements; correspondence relating to registration; and reports and
memoranda reflecting information developed from various sources.
Computerized systems, consisting primarily of information taken
from the registration forms, are maintained by NFA. Computer records
include the name, date and place of birth, social security number
(optional), exchange trading privileges (floor brokers and floor
traders only), firm affiliation, and the residence or business address,
or both, of each associated person, floor broker, floor trader and
principal. Computer records also include information relating to name,
trade name, principal office address, records
[[Page 5990]]
address, names of principals and branch managers of futures commission
merchants, introducing brokers, commodity pool operators, commodity
trading advisors, leverage transaction merchants, and ATOMs.
Firm directories, business address, telephone number, registration
category, and effective date of registration of futures commission
merchants, introducing brokers, commodity pool operators and commodity
trading advisors may be sold to the public by the NFA. These
directories provide registration forms and biographical supplements,
except for any confidential information on supplementary attachments to
the forms, are publicly available for disclosure, inspection and
copying.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Sections
4f(a)(1) and (2), 4k(4), 4k(5), 4n(1), 8a(1), 8a(5), 8a(10) and 19 of
the Commodity Exchange Act as amended, at 7 U.S.C. 6f(1), 6k(4), 6k(5),
6n(1), 12a(1), 12a(5), 12a(10), and 23, and the rules and regulations
promulgated thereunder.
ROUTINE USES OF THE RECORDS MAINTAINED IN THE SYSTEM, INCLUDING
CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:
a. Information contained in this system of records may be disclosed
to any person with whom an applicant or registrant is or plans to be
associated as an associated person or affiliated as a principal.
b. Information contained in this system of records may be disclosed
to any registered futures commission merchant with whom an applicant or
registered introducing broker has entered or plans to enter into a
guarantee agreement in accordance with Commission regulation at 17 CFR
Part 1.10.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
Note: NFA may disclose information contained in those portions
of this system of records maintained by NFA, but any such disclosure
must be made in accordance with NFA rules that have been approved by
the Commission or permitted to become effective without Commission
approval. Disclosures must be made under circumstances authorized by
the Commission as consistent with the Commission's regulations and
routine uses. No specific consent is required by an applicant or
registered introducing broker for disclosure of information to the
futures commission merchant with whom it has or plans to enter a
guarantee agreement.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders and binders. Electronic
information, including computer files, are stored on the Commission's
network, in the NFA Online Registration System (ORS)), microfiche and
various other electronic media as needed.
RETRIEVABILITY:
By the name of the individual or firm, or by assigned
identification number. Where applicable, the NFA's computer cross-
indexes the individual's primary registration file to the name of the
futures commission merchant, introducing broker, commodity trading
advisor, commodity pool operator, leverage transaction merchant or ATOM
with whom the individual is associated or affiliated.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Since 2002, registration application records have primarily been
managed electronically through ORS. ORS electronic records are
maintained indefinitely, and are updated periodically as long as the
individual has a registration application pending, is registered in any
capacity, or is affiliated with any registrant in any capacity. ORS
records on individuals who may apply are maintained indefinitely.
Hard copy records generated prior to 2002 are also maintained
indefinitely, as is an electronic index and summary of these hard copy
records.
SYSTEM MANAGER(S) AND ADDRESS:
Vice President for Registration, National Futures Association
(NFA), 300 South Riverside, Suite 1800, Chicago, IL 60606.
NOTIFICATION PROCEDURE:
Individuals may also request registration information by telephone
from the NFA information center at (800) 621-3570 or (312) 781-1410.
Inquiries can also be made to NFA by fax at (312) 781-1459 or via e-
mail at information@nfa.futures.org. NFA will query the ORS system
about current registration status and registration and disciplinary
history, and will provide instructions on how to make written requests
for copies of records. The Internet may be used to obtain information
on current registration status and futures-related regulatory actions
at http://www.nfa.futures.org by selecting ``BASIC.''
RECORD SOURCE CATEGORIES:
The individual or firm on whom the record is maintained; the
individual's employer; and other miscellaneous sources. The computer
records are prepared from the forms, supplements, attachments and
related documents submitted to the NFA.
CFTC-28
SYSTEM NAME:
Self-Regulatory Organization Disciplinary Action Files.
SYSTEM LOCATION:
This system is located in the Division of Market Oversight,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581; in the regional offices in Chicago at
Chicago at 525 West Monroe Street, Suite 1100 Chicago, IL 60661 and New
York at 140 Broadway, 19th Floor, New York, NY 10005; and at the
National Futures Association (NFA), 300 South Riverside, Suite 1800,
Chicago, IL 60606.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have been suspended, expelled, disciplined, or
denied access to or by a self-regulatory organization (SRO).
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to a disciplinary or other adverse action
taken by an SRO, including the name of the person against whom such
action was taken, the action taken, and the reasons therefore. The
information is maintained on a computerized system, the Background
Affiliation Status Information Center (BASIC), and consists primarily
of data furnished by NFA and other SROs.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
44 U.S.C. 3101; the Commodity Exchange Act, 7 U.S.C. 1 et seq.,
including Section 8c(a)(1) of the Commodity Exchange Act, at 7 U.S.C.
[[Page 5991]]
12c(a)(1), and the rules and regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders and binders. Electronic
information, including computer files, is stored on the Commission's
network, the NFA Website/BASIC, and other electronic media as needed.
RETRIEVABILITY:
By the name of the individual or firm, or by an NFA identification
number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Records are retained indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Division of Market Oversight, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581; Surveillance Branch Chiefs in the regional
offices in Chicago at 525 West Monroe Street, Suite 1100 Chicago, IL
60661 and New York at 140 Broadway, 19th Floor, New York, NY 10005; and
Vice President for Registration, National Futures Association, 300
South Riverside, Suite 1800, Chicago, IL 60606.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Self-regulatory organizations notifying the Commission of
disciplinary or other adverse actions taken.
CFTC-29
SYSTEM NAME:
Reparations Cases Closed in the Complaints Section.
SYSTEM LOCATION:
This system is located in the Office of Proceedings, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing reparations complaints, as well as the firms and
individuals named in the complaints.
CATEGORIES OF RECORDS IN THE SYSTEM:
Reparations complaints, answers, supporting documentation and
correspondence filed with the Office of Proceedings. If the complaint
is forwarded for decision by an administrative law judge or judgment
officer, records become part of CFTC-3, Docket Files for Reparations
and Administrative Adjudication.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section
14 of the Commodity Exchange Act, at 7 U.S.C. 18; 44 U.S.C. 3101, and
the rules and regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders, manual and paper docket
cards; electronic records, including computer files, are stored on the
Commission's network and other electronic media as needed.
RETRIEVABILITY:
By docket number and cross-indexed by the name of the complainant
and respondent.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
The records are maintained for ten years after the case is closed,
except that complaints, decisions, and Commission opinions and orders,
are retained permanently. Records concerning reparations complaints
that are not accepted are maintained for three years.
SYSTEM MANAGER(S) AND ADDRESS:
Futures Trading Specialist, Complaints Section, Office of
Proceedings, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals filing reparations complaints or answers.
CFTC-30
SYSTEM NAME:
Open Commission Meetings.
SYSTEM LOCATION:
This system is located in the Office of the Secretariat, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
[[Page 5992]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are the subject of discussion at a Commission
meeting open for public observation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to the individuals who are the subject of
discussion at an open Commission meeting.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity
Exchange Act, 7 U.S.C. 1 et seq., and rules and regulations promulgated
thereunder, including Commission regulations at 17 CFR Part 147.7.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The information in these files is a matter of public record and may
be disclosed without restriction. Information in this system may also
be disclosed in accordance with the blanket routine uses numbered 1
through 19 that appear at the beginning of the Commission's compilation
of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network, in
desktop applications and CommMinutes. Information is also stored on
microfiche, in audiocassette tapes, CDs and DVDs.
RETRIEVABILITY:
These records that include recordings, transcripts, and minutes of
all Commission meetings are organized and retrieved either by year in
chronological order or by the names of the individuals, firms,
exchanges, or other topics that are discussed at the meetings.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Maintained on the Commission premises for at least the statutory
period required by the Sunshine Act and Commission regulations (at
least two years after each meeting or at least one year after the
conclusion of any agency proceeding with respect to which the meeting
or portion of the meeting was held, whichever is later); transferred to
the National Archives as permanent records when 20 years old.
SYSTEM MANAGER(S) AND ADDRESS:
Secretary of the Commission, Office of the Secretariat, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves, seeking access to records about
themselves in this system of records, or contesting the content of
records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The staff in one or more Divisions generates the information
recorded during Commission meetings concerning individuals who are the
subject of discussion at the meetings. The indices are prepared from
the recordings, transcripts and/or minutes.
CFTC-31
SYSTEM NAME:
Closed Commission Meetings (exempted).
SYSTEM LOCATION:
This system is located in the Office of the Secretariat, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are the subject of discussion at a closed
Commission meeting.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information pertaining to individuals who are the subject of
discussion at a closed Commission meeting. This information consists of
(a) investigatory materials compiled for law enforcement purposes whose
disclosure the Commission has determined could impair the effectiveness
and orderly conduct of the Commission's regulatory, enforcement and
contract market surveillance programs or compromise Commission
investigations, or (b) investigatory materials compiled solely for the
purpose of determining suitability, eligibility, or qualifications for
employment with the Commission to the extent that it identifies a
confidential source.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Government in the Sunshine Act, 5 U.S.C. 552b(f); the Commodity
Exchange Act, 7 U.S.C. 1 et seq., and the rules and regulations
promulgated thereunder, including Commission regulations at 17 CFR Part
147.7.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network, in
desktop applications and CommMinutes, and other electronic media as
needed. Information is also stored on microfiche, in audiocassette
tapes, CDs and DVDs.
RETRIEVABILITY:
These records that include recordings, transcripts, and minutes of
all Commission meetings are organized and retrieved either by year in
chronological order or by the name of the individuals, firms,
exchanges, or other topics discussed at the meetings.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and
[[Page 5993]]
maintenance of records in lockable offices and filing cabinets.
RETENTION AND DISPOSAL:
Maintained on the Commission premises for at least the statutory
period required by the Sunshine Act and Commission regulations (at
least two years after each meeting or at least one year after the
conclusion of any agency proceeding with respect to which meeting was
held, whichever is later); transferred to the National Archives as
permanent records when 20 years old.
SYSTEM MANAGER(S) AND ADDRESS:
Secretary of the Commission, Office of the Secretariat, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
The records in this system have been exempted by the Commission
from certain provisions of the Privacy Act of 1974 pursuant to the
terms of the Privacy Act, 5 U.S.C. 552a, and the Commission's rules
promulgated thereunder, 17 CFR Part 146.12. These records are exempted
from the notification procedures, record access procedures and record
contest procedures set forth in the system notices of other record
systems, and from the requirement that the source of records in the
system be described.
CFTC-32
SYSTEM NAME:
Office of the Inspector General Investigative Files (exempted).
SYSTEM LOCATION:
This system is located in the Office of the Inspector General,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are part of an investigation of fraud and abuse
concerning Commission programs or operations.
CATEGORIES OF RECORDS IN THE SYSTEM:
All correspondence relevant to the investigation; all internal
staff memoranda, copies of all subpoenas issued during the
investigation, affidavits, statement from witnesses, transcripts of
testimony taken in the investigation and accompanying exhibits;
documents and records or copies obtained during the investigation;
opening reports, progress reports and closing reports; and an index of
individuals investigated.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Commodity Exchange Act, 7 U.S.C. 1 et seq., and regulations, rules
or orders issued thereunder; Public Law 95-452, as amended, 5 U.S.C.
App. 3.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. The information in the system may be disclosed by the Commission
in any administrative proceeding before the Commission, in any
injunctive action, or in any other action or proceeding authorized
under the Commodity Exchange Act or the Inspector General Act of 1978
in which the Commission or any member of the Commission or its staff
participates as a party or the Commission participates as amicus
curiae.
b. In any case in which records in the system indicates a violation
or potential violation of law, whether civil, criminal or regulatory in
nature, whether arising by general statute or particular program
statute, or by regulation, rule or order issued pursuant thereto, the
relevant records may be referred to the appropriate agency, whether
Federal, foreign, State or local, charged with enforcing or
implementing the statute, regulation, rule or order.
c. In any case in which records in the system indicate a violation
or potential violation of law, whether civil, criminal or regulatory in
nature, the relevant records may be referred to the appropriate board
of trade designated as a contract market by the Commission or to the
appropriate futures association registered with the Commission, if the
Office of the Inspector General has reason to believe this will assist
the contract market or registered futures association in carrying out
its self-regulatory responsibilities under the Commodity Exchange Act,
7 U.S.C. 1 et seq., and regulations, rules or orders issued pursuant
thereto, and such records may also be referred to any national
securities exchange or national securities association registered with
the Securities and Exchange Commission, to assist those organizations
in carrying out their self-regulatory responsibilities under the
Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., and
regulations, rules or orders issued pursuant thereto.
d. The information may be given or shown to anyone during the
course of an Office of the Inspector General (OIG) investigation if the
staff has reason to believe that disclosure to the person will further
the investigation. Information may also be disclosed to Federal,
foreign, State or local authorities in order to obtain information or
records relevant to an OIG investigation.
e. The information may be given to independent auditors or other
private firms with which the OIG has contracted to carry out an
independent audit, or to collate, aggregate or otherwise refine data
collected in the system of records. These contractors will be required
to maintain Privacy Act safeguards with respect to such records.
f. The information may be disclosed to a Federal, foreign, State or
local government agency where records in either system of records
pertain to an applicant for employment, or to a current employer of
that agency where the records are relevant and necessary to an agency
decision concerning the hiring or retention of an employee or
disciplinary or other administrative action concerning an employee.
g. The information may be disclosed to a Federal, foreign, State,
or local government agency in response to its request in connection
with the issuance of a security clearance, the letting of a contract,
or the issuance of a license, grant or other benefit by the requesting
agency, to the extent that the information is relevant and necessary to
the requesting agency's decision in the matter.
h. The information may be disclosed to the Department of Justice or
other counsel to the Commission for legal advice or to pursue claims
and to government counsel when the defendant in litigation is (a) any
component of the Commission or any member or employee of the Commission
in his or her official capacity, or (b) the United States or any agency
thereof.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network,
including desktop applications, and other electronic media as needed.
RETRIEVABILITY:
Investigative files are retrieved by the subject matter of the
investigation or by case file number. An index provides a
[[Page 5994]]
cross-reference on individuals investigated.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets. These records are kept in limited access areas
during duty hours and in file cabinets in locked offices at all other
times. These records are available only to those individuals whose
official duties require such access.
RETENTION AND DISPOSAL:
The Office of the Inspector General Investigative Files and the
index to the files are destroyed 20 years after the case is closed.
SYSTEM MANAGER(S) AND ADDRESS:
Inspector General, Office of the Inspector General, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Information in these records is supplied by: Individuals including,
where practicable, those to whom the information relates; witnesses,
corporations and other entities; records of individuals and of the
Commission; records of other entities; Federal, foreign, State or local
bodies and law enforcement agencies; documents, correspondence relating
to litigation, and transcripts of testimony; and miscellaneous other
sources.
SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE PRIVACY ACT:
Under 5 U.S.C. 552a(j)(2), the Office of the Inspector General
Investigative Files are exempted from 5 U.S.C. 552a except subsections
(b), (c)(1), and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10),
and (11), and (i) to the extent the system of records pertains to the
enforcement of criminal laws. Under 5 U.S.C. 552(k)(2), the Office of
the Inspector General Investigative Files are exempted from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and (f) to the extent
the system of records consists of investigatory material compiled for
law enforcement purposes. These exemptions are contained at 17 CFR
146.13.
CFTC-33
SYSTEM NAME:
Electronic Access Card.
SYSTEM LOCATION:
This system is located in the Office of Management Operations,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581, and regional offices in New York,
Chicago, and Kansas City.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Authorized access cardholders in headquarters and regional offices,
including Commission employees, onsite contractors, visitors, or
representatives of landlords.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records showing name of assigned user, electronic access card
number and card status (i.e., whether the card is active or inactive)
are directly accessible by the Office of Management Operations
(``OMO'') in the New York and Chicago regional offices, and by OMO upon
request to the landlord in the headquarters and Kansas City regional
office. These records are used to verify that cards have been activated
and deactivated correctly.
Records showing name of assigned user, electronic access card
number, card status and card activity (i.e., the time and location of
access card use by access card user) are directly accessible by OMO in
the New York and Chicago regional offices, and by OMO upon request to
the landlord in the headquarters and Kansas City regional office. Such
records are only accessed and used by the Commission to investigate
security incidents, such as thefts or inappropriate access to secure
files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Commodity Exchange Act, 7 U.S.C. 1 et seq., including Section
12(b)(3) of the Act, at 7 U.S.C. 16(b)(3), and rules and regulations
promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
a. Information contained in this system may be disclosed by the
Commission to any person in connection with architectural, security or
other surveys concerning use of office space.
b. Information contained in this system may be disclosed to any
person for their use of maintenance or service of data processing
systems.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders; electronic records,
including computer files, are stored on the Commission's network,
including desktop applications, and other electronic media as needed.
Various reports are generated from the computer system.
RETRIEVABILITY:
By name of the subject, by assigned access card number, by time
period and by entry point.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets. In the headquarters office, these records may be
requested from the Commission's landlords' databases only by the
Director of the Office of Management Operations, or his/her designee,
and the CFTC maintains all access card usage records in limited access
areas at all
[[Page 5995]]
times. In the regional offices, access card information is maintained
in a locked area, with access restricted to staff members of the Office
of Management Operations.
RETENTION AND DISPOSAL:
In accordance with the General Record Schedules, the records in the
system are considered temporary and are destroyed six months after the
user turns in the access card. Paper records are destroyed when no
longer required or after two years, whichever is shorter.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Management Operations, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records or contesting the content of
records about themselves should address written inquiry to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011. The system of records and the
notification, access and challenge procedures apply only to records of
access card usage in the Commission's actual possession. None of these
applies to any information solely in a landlord's possession.
RECORD RESOURCE CATEGORIES:
The Commission's landlords in headquarters and the regional offices
provide information on name of assigned user, access card number,
access level, and status on a weekly basis or as needed.
CFTC-34
SYSTEM NAME:
Telecommunications Services (BlackBerry or Calling Card).
SYSTEM LOCATION:
This system is located in the Office of Information and Technology
Services, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Commission employees and contractor personnel who are issued either
a Blackberry or Calling Card.
CATEGORIES OF RECORDS IN THE SYSTEM:
Calling Card numbers, BlackBerry numbers and the individuals to
whom they are assigned.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301 and 41 CFR Part 101-35.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVEING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Calling Card records are stored in a spreadsheet file. BlackBerry
records are stored in a database file. Both files are located on a file
server on the Commission's network in the headquarters office.
RETRIEVABILITY:
Records are retrievable by employee name, BlackBerry telephone
number, or calling card number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
A BlackBerry record is cancelled when a device is reassigned to
another user. A Calling Card and its record are cancelled when the card
is returned to the Office of Information and Technology Services.
SYSTEM MANAGER(S) AND ADDRESS:
Telecommunications Manager, Office of Information and Technology
Services, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records or contesting the content of
records about themselves should address written inquiries to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
BlackBerry and Calling Card assignment records.
CFTC-35
SYSTEM NAME:
Interoffice and Internet E-mail.
SYSTEM LOCATION:
This system is located in the Office of Information Technology
Services, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All Commission employees and authorized contractors.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records on the use of the interoffice and Internet e-mail system,
including the mailbox name, number of objects in the mailbox, and
aggregate size of the mailbox.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including
Section 12(b)(3) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3),
and rules and regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USER AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored on the mail servers on the computer network in
each Commission location. Records also may be stored on other
electronic media as needed, such as encrypted hard drives.
RETRIEVABILITY:
The information can be retrieved by assigned interoffice or
Internet mail address.
[[Page 5996]]
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
Network administrators have access to the e-mail information,
including the ``header'' information described under ``Categories of
Records.'' In addition, the mailbox owner can grant access to objects
in the mailbox to others.
RETENTION AND DISPOSAL:
Records are retained on the Commission's computer mail servers
until the sender and receiver delete the information from the e-mail
system, except to the extent the records are archived for back-up or
disaster recovery purposes. Archived records are retained on the
Commission's network file servers or other electronic media as needed
until overwritten through standard archive/back-up and deletion
procedures. Internet e-mail information that is received by the
postmaster due to an error in delivery is considered temporary and is
destroyed after the problem is corrected. When an employee leaves the
Commission, the employee's mailbox is deleted unless the employee or
the employee's administrative officer requests that the mailbox be
retained in order to recover work-related information, or unless the
employee's e-mail is relevant to pending or anticipated litigation or
an investigation.
SYSTEM MANAGER(S) AND ADDRESS:
Network Manager, Office of Information and Technology Services,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records, or contesting the content of
records about themselves should address written inquiries to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Internet e-mail, interoffice e-mail.
CFTC-36
SYSTEM NAME:
Internet Security Gateway Systems (Firewall, Web Content Filter,
and E-mail Filter).
SYSTEM LOCATION:
This system is located in the Office of Information and Technology
Services, Commodity Futures Trading Commission, Three Lafayette Centre,
1155 21st Street, NW., Washington, DC 20581 and in the Chicago Regional
Office, 525 West Monroe Street, Suite 1100, Chicago, IL 60661.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All CFTC employees and onsite contractors who are users of the
Internet.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records on the Web sites accessed and inbound e-mail received, as
identified by the Internet protocol address assigned to each computer,
as well as information on the date and time of the Web site that was
accessed or e-mail that was received, including a record of the sender
of the e-mail.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including
Section 12(b)(3) of the Commodity Exchange Act, at 7 U.S.C. 16(b)(3),
and rules and regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are kept and maintained on the Internet Security Gateway
Systems servers in the DC headquarters and Chicago Regional Office
computer rooms.
RETRIEVABILITY:
The information can be retrieved by Internet protocol address. The
network administrators have access to information about the office
location and individuals assigned to each computer, as identified by
Internet protocol address.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Access to the Internet Security Gateway Systems is password-
protected information that is stored on servers in the DC headquarters
and Chicago Regional Office computer rooms. Physical measures include
restrictions on building access to authorized individuals and
maintenance of records in lockable offices and filing cabinets.
Access to the computer room is limited to certain employees of the
Office of Information and Technology Services.
RETENTION AND DISPOSAL:
Because these records are routinely overwritten through standard
procedures, the length of time of storage on the Internet Security
Gateway Systems servers is governed by available disk space on the
server. Records are generally overwritten in less than one (1) year.
SYSTEM MANAGER(S) AND ADDRESS:
Network Manager, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records, or contesting the content of
records about themselves should address written inquiries to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Internet, Web site and news group browsing, Web site access.
CFTC-37
SYSTEM NAME:
Lexis/Westlaw Billing Information System.
[[Page 5997]]
SYSTEM LOCATION:
This system is located in the Library, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All Commission employees and onsite contractors who are users of
the Lexis/Westlaw research system.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records on the name, search subject, database searched, date,
elapsed time, type of charge, and total charge for a search in the
Lexis/Westlaw automated research system.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301; Commodity Exchange Act, 7 U.S.C. 1 et seq., including
Section 12(b)(3) of the Commodity Exchange Act, 7 U.S.C. 16(b)(3), and
rules and regulations promulgated thereunder.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are accessed by Commission staff through the Commission's
network, including its electronic billing system (MarkView), and may be
copied by authorized Commission staff to the Commission's computer
network. The records are stored on the network of the Department of
Transportation, the organization contractually obligated to support the
Commission's electronic billing system. When printed, the records are
stored in a lockable file cabinets.
RETRIEVABILITY:
By division, by month of use, by database accessed, by user name
and user identification number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Records are retained indefinitely in electronic form, while hard
copies are destroyed when no longer useful to the Commission employee
reviewing them.
SYSTEM MANAGER(S) AND ADDRESS:
Supervisory Librarian, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records, or contesting the content of
records about themselves should address written inquiries to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Lexis/Westlaw billing information.
CFTC-38
SYSTEM NAME:
Automated Library Circulation System.
SYSTEM LOCATION:
This system is located in the Library, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individual Commission employees who check out books and periodicals
from the Commission Library.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records showing the bar code assigned to employees who use the
library, title, due date, and hold information on library materials
checked-out by individual CFTC employees; records of overdue materials
and of employee notification of overdue materials.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301 and 41 CFR Part 101-27.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are stored on the Commission network (Horizon Integrated
Library System [ILS]). Records on the identifying bar codes assigned to
individuals are also stored on the network.
RETRIEVABILITY:
Records are retrievable by employee name, by the employee's bar
code number, or by employee's office telephone number.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets. Employees may access their own records. Only
authorized Commission staff members, who are principally staff of the
Library or the Office of Information and Technology Services, may
access records of all employees.
RETENTION AND DISPOSAL:
Records in the system are considered temporary. The records of
library transactions are destroyed when an item on loan is returned or
reimbursement is made for replacement of the item.
SYSTEM MANAGER(S) AND ADDRESS:
Supervisory Librarian, Commodity Futures Trading Commission, Three
Lafayette Centre, 1155 21st Street NW., Washington, DC 20581.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records, or contesting the
[[Page 5998]]
content of records about themselves should address written inquiries to
the Office of General Counsel, Paralegal Specialist, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Library user bar code identifiers; library materials use; overdue
notices.
CFTC-39
SYSTEM NAME:
Freedom of Information Act Requests.
SYSTEM LOCATION:
This system is located in the Office of General Counsel, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581. Other offices involved in the processing of
requests may also maintain copies of the requests and any related
internal administrative records.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals requesting information from the Commission pursuant to
provisions of the Freedom of Information Act (FOIA), 5 U.S.C. 552, and
individuals who are the subjects of FOIA requests.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests, internal memoranda, response letters, appeals of denials,
appeal determinations and electronic tracking data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, 5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders and on microfiche;
electronic records, including computer files, are stored on the
Commission's network, e.g., desktop applications and RequestTracking,
and on other electronic media as needed.
RETRIEVABILITY:
By assigned control number, by name of requester, or by subject of
request.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
FOIA requests are retained in accordance with General Records
Schedule 14 of the National Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
Paralegal Specialist, Office of General Counsel, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals requesting information from the Commission pursuant to
the FOIA and employees processing the requests.
CFTC-40
SYSTEM NAME:
Privacy Act Requests.
SYSTEM LOCATION:
This system is located in the Office of General Counsel, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581. Telephone (202) 418-5011. Copies of the
requests and any related internal administrative records may also be
maintained by other offices involved in the processing of requests.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing requests for access to, correction of, or an
accounting of disclosures of personal information contained in system
of records maintained by the Commission, pursuant to the Privacy Act of
1974. 5 U.S.C. 552a.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests, internal memoranda, response letters, appeals of denials,
appeal determinations and electronic tracking data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552a, 5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders and on microfiche;
electronic records, including computer files, are stored on the
Commission's network, e.g., desktop applications and RequestTracking,
and on other electronic media as needed.
RETRIEVABILITY:
By assigned control number or by name of requester.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Privacy Act requests are retained in accordance with General
Records Schedule 14 of the National Archives and Records
Administration.
SYSTEM MANAGER(S) AND ADDRESS:
Paralegal Specialist, Office of General Counsel, Commodity Futures
Trading
[[Page 5999]]
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals requesting information from the Commission pursuant to
the Privacy Act and employees processing the requests.
CFTC-41
SYSTEM NAME:
Requests for Confidential Treatment.
SYSTEM LOCATION:
This system is located in the Office of General Counsel, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581. A copy of the request may also be kept by
the office receiving the document for which confidential treatment is
being requested.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals requesting confidential treatment of, and individuals
who are the subjects of, documents filed with the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests for confidential treatment, the documents for which
confidential treatment is requested and electronic tracking data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, 5 U.S.C. 301.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders and on microfiche;
electronic records, including computer files, are stored on the
Commission's network, e.g., desktop applications and Contreat2003, and
on other electronic media as needed.
RETRIEVABILITY:
By name of requester or by subject of request.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Records are retained for 20 years then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Paralegal Specialist, Office of General Counsel, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves or seeking access to records
about themselves in this system of records, or contesting the content
of records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
Individuals submitting documents to the Commission.
CFTC-42
SYSTEM NAME:
Debt Collection Files.
SYSTEM LOCATION:
This system is located in the Office of Financial Management,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
St. NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who owe a civil monetary penalty to the Commodity
Futures Trading Commission or who have not complied with an order of
restitution or disgorgement resulting from an administrative or
injunctive enforcement action.
CATEGORIES OF RECORDS IN THE SYSTEM:
The files will generally contain information including the name and
address of the debtor, the taxpayer's identification number (which may
be the social security number); records of each collection made; and
notice(s) to the debtor demanding payment and describing the
consequences of non-payment. The files may also contain credit reports;
reports of asset searches; copies of income tax returns; financial
statements reflecting the net worth of the debtor; if applicable, date
by which the debt must be referred to the Department of the Treasury or
Department of Justice for further collection action; documentation of
judgments or liens; and citation or basis on which the debt was
terminated or compromised.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C. 3701, et seq.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USERS:
a. Information regarding the debt and the actions taken to collect
the monies may be disclosed to the Department of the Treasury or the
Department of Justice for further collection action. Once the records
are forwarded to the Department of the Treasury, they are covered by
the Treasury/Financial Management Services System 014, Debt Collection
Operations. If the records are forwarded to the Department of Justice,
they are covered by the Department's system JMD-006, Debt Collection
Management System.
b. Information about the delinquent debt may be disclosed to
consumer or commercial reporting agencies as required by 31 U.S.C.
3711(e). Reporting may be done directly by the Commission or through
the Department of the Treasury upon referral of the delinquent debt for
further collection action.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning
[[Page 6000]]
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records are stored in file folders. Electronic records,
including computer files, are stored on the Commission's network and on
various other electronic media as needed, including eLaw (Practice
Manager) and DOT Delphi Financial System.
RETRIEVABILITY:
Records are retrievable by CFTC docket number and by the name of
the debtor.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. Physical measures include restrictions on building access to
authorized individuals and maintenance of records in lockable offices
and filing cabinets.
RETENTION AND DISPOSAL:
Records are retained and disposed in accordance with General
Records Schedule 6 of the National Archives and Records Administration.
SYSTEM MANAGER(S) AND ADDRESS:
Office of Financial Management, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether the system of records
contains information about themselves, seeking access to records about
themselves in the system of records or contesting the content of
records about themselves should address written inquiries to the Office
of General Counsel, Paralegal Specialist, Commodity Futures Trading
Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington,
DC 20581. Telephone (202) 418-5011.
RECORD SOURCE CATEGORIES:
Commission orders, judicial orders, debtors, credit reports from
commercial credit bureaus, asset search databases, Department of the
Treasury, Department of Justice.
CFTC-43
SYSTEM NAME:
Visitor Information System.
SYSTEM LOCATION:
The system is located in the Office of the Executive Director,
Office of Management Operations, Commodity Futures Trading Commission,
Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Visitors to the Commission.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information from personal identity records, such as driver's
license, passport, or Federal/Military ID; the number of the printed
badge issued; location, date, and time of entry; company affiliation of
visitor; name and phone number of the employee visited; and the purpose
of the visit.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
The Federal Property and Administrative Services Act of 1949 (63
Stat. 377), as amended; Homeland Security Presidential Directive 12
(HSPD-12), Policy for a Common Identification Standard for Federal
Employees and Contractors, August 27, 2004.
PURPOSE:
The purpose of this information is to verify the identity of
visitors in order to protect the employees and property of the
Commission, verify that visitors entering the property are authorized
to do so, and track the time, date, and location of the visitor so
that, in the event of emergency, the agency can account for all the
people in its space.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
Information in this system may be disclosed in accordance with the
blanket routine uses numbered 1 through 19 that appear at the beginning
of the Commission's compilation of its systems of records notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS,
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Computer records are stored in a stand-alone database. Paper
reports from the system are kept in a locked file.
RETRIEVABILITY:
By date and by visitor name.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative, technical and physical security measures.
Technical security measures within CFTC include restrictions on
computer access to authorized individuals, strong passwords frequently
changed, use of encryption for certain data types and transfers, and
regular review of security procedures and best practices to enhance
security. The visitor database is a stand-alone database, not
accessible through the CFTC network, and is password protected.
Physical measures include restrictions on building access to authorized
individuals and maintenance of records in lockable offices and filing
cabinets. Written reports are kept in a locked file with limited key
access.
RETENTION AND DISPOSAL:
Records will be retained for three months and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:
Deputy Director, Office of Management Operations, Commodity Futures
Trading Commission, Three Lafayette Centre, 1155 21st Street, NW.,
Washington, DC 20581.
NOTIFICATION PROCEDURE:
Individuals seeking to determine whether this system of records
contains information about themselves, or seeking access to records
about themselves in the system of records, or contesting the content of
records about themselves contained in this system of records should
address written inquiry to the Office of General Counsel, Paralegal
Specialist, Commodity Futures Trading Commission, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011.
RECORD SOURCE CATEGORIES:
The individual on whom the record is maintained.
CFTC-44
SYSTEM NAME:
Personnel Security Files.
SYSTEM LOCATION:
This system is located in the Office of Human Resources, Commodity
Futures Trading Commission, Three Lafayette Centre, 1155 21st Street,
NW., Washington, DC 20581.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who require regular, ongoing access to CFTC facilities,
information technology systems, or information classified in the
interest of national security, including applicants for Commission
employment or
[[Page 6001]]
contracts, Commission employees, contractors of the Commission,
students, interns, volunteers, individuals authorized to perform or use
services provided in Commission facilities, and individuals formerly in
any of these positions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records may include any or all of the following, depending on the
individual and his or her position: Resume, OF 306, and ``I-9''
documents, such as copies of driver's license, passport, and birth
certificate, and similar documents.
Note: This system of records does not include the Office of
Personnel Management (OPM) background investigation report. An
identical version of the investigation report is in the possession
of the Commission, but is considered to be part of the OPM Central-
9, Personnel Investigations Records. For information on how to
request access to the OPM Central-9, Personnel Investigations
Records, please see the Note in the Records Access Procedures
section of this notice.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Depending on the purpose of the investigation, the U.S. government
is authorized to ask for this information under Executive Orders 10450,
10865, 12333, 13526, and 13488; sections 3301 and 9101 of title 5, U.S.
Code; sections 2165 and 2201 of title 42, U.S. Code; sections 781 to
887 of title 50, U.S. Code; parts 5, 731, 732, and 736 of title 5, Code
of Federal Regulations; and Homeland Security Presidential Directive 12
(HSPD-12), Policy for a Common Identification Standard for Federal
Employees and Contractors, August 27, 2004.
PURPOSE:
The records in this system are used to verify identity and to
facilitate background investigations by OPM.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM:
Information in this system may be disclosed under the following
conditions:
a. Except as noted on Forms SF 85, 85-P, and 86, when a record on
its face, or in conjunction with other records, indicates a violation
or potential violation of law, whether civil, criminal, or regulatory
in nature, and whether arising by general statute or particular program
statute, or by regulation, rule, or order issued pursuant thereto,
disclosure may be made to the appropriate public authority, whether
Federal, foreign, State, local, or Tribal, or otherwise, responsible
for enforcing, investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation, or
order issued pursuant thereto, if the information disclosed is relevant
to any enforcement, regulatory, investigative or prosecutorial
responsibility of the receiving entity.
b. Employment, Clearances, Contract, or Other Benefits Decision by
an Organization other than the Commission--disclosure may be made to a
Federal, State, local, foreign, or Tribal or other public authority of
the fact that this system of records contains information relevant to
the retention of an employee, the retention of a security clearance, or
the letting of a contract. The other agency or licensing organization
may then make a request supported by the written consent of the
individual for the entire record if it so chooses. No disclosure will
be made unless the information has been determined to be sufficiently
reliable to support a referral to another office within the agency or
to another Federal agency for criminal, civil, administrative,
personnel, or regulatory action.
c. National Security and Intelligence Matters--these records may be
disclosed to Federal, State, local agencies, or other appropriate
entities or individuals, or through established liaison channels to
selected foreign governments, in order to enable an intelligence agency
to carry out its responsibilities under the National Security Act of
1947 as amended, the CIA Act of 1949 as amended, Executive Order 12333
or any successor order, applicable national security directives, or
classified implementing procedures approved by the Attorney General and
promulgated pursuant to such statutes, orders or directives.
Information in this system may also be disclosed in accordance with
the blanket routine uses numbered 1 through 19 that appear at the
beginning of the Commission's compilation of its systems of records
notices.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, SAFEGUARDING ACCESS,
RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
These records are maintained on paper. They are stored in a secure
location in file folders and/or binders.
RETRIEVABILITY:
Files are retrieved by name.
SAFEGUARDS:
Records are protected from unauthorized access and improper use
through administrative and physical security measures. Physical
measures include restrictions on building access to authorized
individuals and maintenance of records in lockable offices and filing
cabinets. These records are kept in file folders in locked metal file
cabinets in locked rooms at the headquarters office in the Office of
Human Resources. Access to records is limited to approved security and
administrative personnel who have a need for the information in the
performance of their official duties.
RETENTION AND DISPOSAL:
These records are retained and disposed of in accordance with
General Records Schedule 18, item 22b.
SYSTEM MANAGER(S) AND ADDRESS:
Manager of Employment and Compensation, Office of Human Resources,
Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st
Street, NW., Washington, DC 20581.
NOTIFICATION PROCEDURE:
An individual can determine if this system contains a record
pertaining to him/her by sending a request in writing, signed, to the
Office of General Counsel, Paralegal Specialist, Three Lafayette
Centre, 1155 21st Street, NW., Washington, DC 20581. Telephone (202)
418-5011. When requesting notification of, or access to, records
covered by this Notice, an individual should provide his/her full name,
date of birth, agency name, and work location. An individual requesting
notification of records in person must provide identity documents, such
as a government-issue photo ID, sufficient to satisfy the custodian of
the records that the requester is entitled to access. Individuals
requesting notification via mail or telephone must furnish, at a
minimum, name, date of birth, social security number, and home address
in order to establish identity.
Note: For information on how to request access to the OPM
Personnel Investigations Records which are part of the OPM Central-9
system of records, please see the Note in the Records Access
Procedures section of this notice.
RECORDS ACCESS PROCEDURES:
Individuals wishing to request access to CFTC records about them
should contact the system manager indicated above. Individuals must
furnish their full name (first, middle, and last name) and birth date
for their record to be located and identified. An individual requesting
access must also follow CFTC Privacy Act requirements regarding
verification of identity and amendment of records. Correspondence
between the requester and OHR employees on the subject of any
[[Page 6002]]
background investigation and security adjudication may also be made
available.
Note: The CFTC may not provide an individual with access to his/
her OPM Personnel Investigations Records or to copies of OPM
documentation of any background investigation conducted by OPM or
contractors dealing with those investigations. These records, which
are sent to the CFTC Personnel Security Office to allow adjudication
of the request for security clearance, are owned by OPM and reside
within the OPM Central-9 system of records. OPM is solely
responsible for controlling access to, or amendment of, those
records. Those seeking access to, or amendment, of those records
owned by OPM should submit a request in writing to: FOI/P, Office of
Personnel Management, Federal Investigative Services Division, P.O.
Box 618, Boyers, PA 16018-0618. The signed request should be made
under the Privacy Act of 1974 and include the requester's full name,
home address, Social Security Number, and date and place of birth.
CONTESTING RECORD PROCEDURES:
Individuals wishing to request amendment of their CFTC records
should contact the system manager indicated above. Individuals must
furnish their full name (first, middle, and last name) and birth date
for the record to be located and identified. An individual requesting
amendment must also follow the CFTC Privacy Act requirements regarding
verification of identity and amendment of records. (Note: Individuals
who wish to request amendment of their OPM Personnel Investigations
Records should follow the requirements of the OPM Central-9 system of
records. For information on how to submit such a request, please see
the Note in the Records Access Procedures section of this notice.)
RECORD SOURCE CATEGORIES:
Information is obtained from the individual.
Issued in Washington, DC, on January 25, 2011.
By the Commission.
David Stawick,
Secretary of the Commission.
[FR Doc. 2011-2133 Filed 2-1-11; 8:45 am]
BILLING CODE 6351-01-P
Last Updated: February 2, 2011
See Also:
