5974 Federal Register / Vol. 76, No. 22 / Wednesday, February 2, 2011 / Notices 

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. 

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 email: 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, 


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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 selfregulatory 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 nonexempt 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. 


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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 crossindexed 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 


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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. 


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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. 


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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. 


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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. 


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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. 


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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 NoAction Files. 

SYSTEM LOCATION: 

Most files are prepared by the 

Division of Clearing and Intermediary 


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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. 


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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 


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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 nonreportable. 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. 


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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 


emcdonald on DSK2BSOYB1PROD with NOTICES2
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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 abovedescribed 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 


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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. 


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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. 


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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 


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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 selfregulatory 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 


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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 


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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. 


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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 Email 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 email 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 passwordprotected 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. 


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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 


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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 


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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 nonpayment. 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 


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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 


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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 


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6002 Federal Register / Vol. 76, No. 22 / Wednesday, February 2, 2011 / Notices 

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 


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