Privacy Act of 1974; Notice; Publication of the Systems of Records Managed by the Commodity Futures Trading Commission, 5974-6002 [2011-2133]

Agencies

• Commodity Futures Trading Commission

[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 https://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:

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

CFTC Systems of Records Notices

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

Index

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

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

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

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

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

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

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

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

RETRIEVABILITY:
    By matter name or docket number.

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

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

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

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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 
CFT