44442 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

COMMODITY FUTURES TRADING

COMMISSION

Privacy Act of 1974; Systems of

Records; Annual Publication

ACTION: Publication of annual notice of

existence and character of each system

of records that the Commodity Futures

Trading Commission (‘‘Commission’’)

maintains which contains information

about individuals.

SUMMARY: The purpose of this notice is

to announce the existence and character

of the systems of records of the

Commodity Futures Trading

Commission as required by the Privacy

Act of 1974, Pub.L. 93–579, 5 U.S.C.

552a.

Pursuant to 5 U.S.C. 552a(f), the

Commission, on September 4, 1975,

promulgated rules relating to records

maintained by the Commission

concerning individuals (40 FR 41056).

The rules as amended (17 CFR part 146)

deal with an individual’s right to know

what information the Commission has

in its files concerning the individual,

the individual’s right to have access to

those records, the individual’s right to

petition the Commission to have

inaccurate or incomplete records

amended or corrected, and the

individual’s right not to have personal

information disseminated to

unauthorized persons. The full text of

the Commission’s rules implementing

the Privacy Act should be consulted for

a detailed description of the procedures

to be followed.

Under 5 U.S.C. 552a(e)(4) and 17 CFR

146.11(a), the Commission is required to

publish annually a notice of the

existence and character of each system

of records it maintains which contains

information about individuals. This

notice implements this requirement

and, when read together with the

Commission’s rules, will provide

individuals with the information they

need to exercise fully their rights under

the Privacy Act.

FOR FURTHER INFORMATION CONTACT:

Edward W. Colbert, Assistant Secretary

to the Commission, Freedom of

Information Act, Privacy Act and

Government in the Sunshine Act

Compliance Office, Commodity Futures

Trading Commission, Three Lafayette

Centre, 1155 21st Street, NW,

Washington, DC 20581, (202) 418–5105.

SUPPLEMENTARY INFORMATION:

Content of Systems Notices

Each of the notices contains the

following information:

1. The name of the system;

2. The location of the system;

3. The categories of individuals on

whom records are maintained in the

system;

4. The categories of records

maintained in the system;

5. The authority for maintaining the

system;

6. The routine uses of records

maintained in the system, including the

categories of users and the purposes of

such uses;

7. The policies and practices for

storing, retrieving, accessing, retaining,

and disposing of records in the system;

8. The title and business address of

the system manager, the agency official

who is responsible for the system of

records;

9. The agency procedures by which an

individual can find out whether the

system of records contains a record

pertaining to him, how he may gain

access to any record pertaining to him

contained in the system of records, and

how he can contest the content of the

records; and

10. The categories of sources of

records in the system.

The following four systems of records

have been exempted as set forth in the

descriptions of these systems of records

from certain requirements of the Privacy

Act, as authorized under 5 U.S.C.

552a(k):

CFTC–9 Confidential information

obtained during employee background

investigations.

CFTC–10 Investigatory material

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.

The Location of Systems of Records

The eighth item described above calls

for the address of the Commission office

involved. The Commission offices are in

the following locations:

• Three Lafayette Centre, 1155 21st

Street, NW., Washington, DC 20581,

Telephone: (202) 418–5000.

• 300 Riverside Plaza, Suite 1600

North, Chicago, Illinois 60606,

Telephone: (312) 353–5990.

• 4900 Main Street, Suite 721, Kansas

City, Missouri 64112, Telephone: (816)

931–7600.

• One World Trade Center, Suite

3747, New York, New York 10048,

Telephone: (212) 466-2061.

• Murdock Plaza, 10900 Wilshire

Blvd, Suite 400, Los Angeles, California

90024, Telephone: (310) 235–6783.

• 510 Grain Exchange Building,

Minneapolis, Minnesota 55415,

Telephone: (612) 370–3255.

Where multiple locations are involved

in a system notice, rather than listing

each address the notice merely

identifies the offices and refers to this

introductory section for each address.

The Commission’s headquarters office is

in Washington, DC, and is referred to in

the systems notice as the ‘‘principal

office.’’ The Commission maintains

regional offices in Chicago and New

York and smaller offices in Kansas City,

Minneapolis and Los Angeles. For

purposes of this notice, the regional

offices and smaller offices are referred to

collectively as the ‘‘regional offices.’’

‘‘All CFTC offices’’ means the

headquarters office, the regional offices

and the smaller offices.

In many cases, records within a

system will not all be available at each

of the offices listed in the system notice.

For example, case files are basically

maintained in the office where the

investigation is conducted, but certain

information may be maintained in other

offices as well. Similarly, many but not

necessarily all employee records are

maintained in the particular office

where the employee works. In addition,

the Commission’s computers are

physically located in Chicago and also

in the Washington, DC headquarters

office, although information in

computer printout form may be

available in any office.

Of course, it will be the Commission’s

responsibility, unless otherwise

specified in the system notice, to

determine where the particular records

being sought are located. However, if

the individual seeking the records in

fact knows the location, it would be

helpful to the Commission if the

requester would indicate that location.

Scope and Content of Systems of

Records

The Privacy Act applies to personal

information about individuals. Personal

information subject to the provisions of

the Privacy Act may sometimes be

found in a system of records that might

appear to relate solely to commercial

matters. For example, the system of

records entitled ‘‘registration of futures

commission merchants’’ contains

essentially business information.

However, the application for registration

contains a few items of personal

information concerning key personnel

of the registrant firm. Since the

capability exists through the National

Futures Association’s computer system

to retrieve information from this system

of records not only by use of the name

of the futures commission merchant but

also by the use of the name of these

individuals, this information is within

the purview of the Privacy Act. See the
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44443

definition of system of records in the

Privacy Act, 5 U.S.C. 552(a)(5), and

§ 146.2(g) of the Commission’s Privacy

Act rules, 17 CFR 148.2(g).

Such a capability would generally not

exist, however, in a Commission staff

investigation of the activities of the

futures commission merchant (FCM),

except in the rare instance when an

individual is registered as an FCM.

Thus, if the investigation was opened

under the name of the FCM, information

would be retrievable only under that

name. Accordingly, information about

principals of a firm under investigation

that might be developed during the

investigation would generally not be

retrievable by the name of the

individual, and the provisions of the

Privacy Act would not apply.

General Statement of Routine Uses

A principal purpose of the Privacy

Act is to restrict the unauthorized

dissemination of personal information

concerning an individual. In this

connection, the Privacy Act and the

Commission’s rules prohibit all

dissemination except for specific

purposes. Individuals should refer to

the full text of the Privacy Act, 5 U.S.C.

552a(b), and to the Commission’s rules

for a complete list of authorized

disclosures. Only those arising most

frequently have been mentioned herein.

The Privacy Act and the rules

specifically provide that disclosure may

be made with the written consent of the

individual to whom the record pertains.

Disclosure may also be made to those

officers and employees of the

Commission who need the record in the

performance of their duties. In addition,

disclosures are authorized if they are

made pursuant to the terms of the

Freedom of Information Act, 5 U.S.C.

552.

In addition, the Privacy Act and the

Commission’s rules permit disclosure of

individual records if it is for a ‘‘routine

use,’’ which is defined as a use of a

record that is compatible with the

purpose for which it was collected. The

system notice for each system of records

is required to list each of these routine

uses.

Many of the routine uses of

Commission records are applicable to a

number of systems. These include the

following:

1. The information in the system 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. The information may be given to

the Justice Department, 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

or local law enforcement or regulatory

agencies for use in meeting

responsibilities assigned to them under

the law, or made available to any

member of Congress who is acting in his

capacity as a member of Congress.

3. The information may be given to

any board of trade designated as a

contract market by the Commission if

the Commission has reason to believe

this will assist the contract market in

carrying out its responsibilities under

the Commodity Exchange Act, 7 U.S.C.

1, et seq., and to any national securities

exchange or national securities

association registered with the

Securities and Exchange Commission, to

assist those organizations in carrying

out their self-regulatory responsibilities

under the Securities Exchange Act of

1934, 15 U.S.C. 78a, et seq.

4. At the discretion of the

Commission staff, the 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. The 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. The 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. The 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. The 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.’’ To

avoid unnecessary repetition of these

routine uses, where they are generally

applicable, the system notice refers the

reader to the above description. Unless

otherwise indicated, where the system

notice contains a reference to the

foregoing routine uses, all of the eight

routine uses listed above apply to that

system.

System Notices

The Commission’s systems of records

are set forth below. For further

information contact: Freedom of

Information Act (FOIA), Privacy Act and

Government in the Sunshine Act

Compliance Staff, Office of the

Secretariat, Commodity Futures Trading

Commission, Three Lafayette Centre,

1155 21st Street, NW, Fourth Floor,

Washington, DC 20581, (202) 418–5105.

Index

CFTC–1 Matter Register and Matter Indices

CFTC–2 Correspondence Files

CFTC–3 Docket Files

CFTC–4 Employee Leave, Time, and

Attendance

CFTC–5 Employee Personnel/Payroll

Records

CFTC–6 Employee Travel Records

CFTC–7 Deleted-Incorporated in CFTC–4

and CFTC–6

CFTC–8 Employment Applications

CFTC–9 Exempted Employee Background

Investigation Material

CFTC–10 Exempted Investigation Records

CFTC–11 Deleted-Incorporated in CFTC–20

and CFTC–22

CFTC–12 Fitness Investigations

CFTC–13 Interpretation Files

CFTC–14 Matter Files

CFTC–15 Large Trader Report Files

CFTC–16 Case Files

CFTC–17 Litigation Files-OGC

CFTC–18 Logbook on Speculative Limit

Violations

CFTC–19 Deleted-Incorporated in CFTC–29

CFTC–20 Registration of Floor Brokers,

Floor Traders, Futures Commission

Merchants, Introducing Brokers,

Commodity Trading Advisors,

Commodity Pool Operators, Leverage

Transaction Merchants, and Associated

Persons

CFTC–21 Deleted-Incorporated in CFTC–20

CFTC–22 Deleted-Incorporated in CFTC–20

CFTC–23 Deleted-Incorporated in CFTC–20

CFTC–24 Deleted-Incorporated in CFTC–20

CFTC–25 Deleted

CFTC–26 Deleted-Incorporated in CFTC–14
44444 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

CFTC–27 Deleted

CFTC–28 SRO Disciplinary Action File

CFTC–29 Reparations Complaints

CFTC–30 Open Commission Meetings

CFTC–31 Exempted Closed Commission

Meetings

CFTC–32 Office of the Inspector General

Investigative Files

CFTC–33 Electronic Key Card Usage

CFTC–34 Telephone System

CFTC–35 Interoffice and Internet E-Mail

System

CFTC–36 Internet Web Site and News

Group Browsing System

CFTC–37 Lexis/Westlaw Billing

Information System

CFTC–38 Automated Library Circulation

System

CFTC–1

SYSTEM NAME:

Matter Register and Matter Indices.

SYSTEM LOCATION:

This system is located in the Division

of Enforcement in the Commission’s

principal office and regional offices. See

‘‘The Location of Systems of Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

a. Persons found or alleged to have, or

suspected of having, violated the

Commodity Exchange Act or the rules,

regulations or orders of the Commission

adopted thereunder.

b. Persons lodging complaints with

the Commission.

c. Agency referrals.

CATEGORIES OF RECORDS IN THE SYSTEM:

An index system to CFTC–14 Matter

Files and CFTC–16 Case Files,

including:

a. The matter register. A file number

is assigned to each case and the record

is filed according to that number. The

register also indicates the date opened,

the disposition and status, the date

closed, and the staff member assigned.

b. The matter register also includes

reports recommending opening and

closing of investigations.

AUTHORITY FOR THE MAINTENANCE OF THE

SYSTEM:

Section 8 of the Commodity Exchange

Act, 7 U.S.C. 12.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, loose-leaf

binders, computer memory, computer

printouts, and index cards.

RETRIEVABILITY:

By name of investigation.

SAFEGUARDS:

General building security. In

appropriate cases, the records are

maintained in lockable file cabinets.

RETENTION AND DISPOSAL:

The records are destroyed when no

longer needed.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Enforcement in

the Commission’s principal office and

Regional Counsel in New York, Chicago

and Los Angeles. See ‘‘The Location of

Systems of Records.’’

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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW., Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

Persons submitting complaints to the

Commission, and miscellaneous sources

including customers, law enforcement

and regulatory agencies, commodity

exchanges, trade sources, and

Commission staff generated items.

CFTC–2

SYSTEM NAME:

Correspondence Files.

SYSTEM LOCATION:

This system is located in the

Commission’s principal offices at 1155

21st Street, NW, Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons corresponding with the

Commission, directly or through their

representatives. Persons 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 includes

only those records that are part of a

general correspondence file maintained

by the office involved. It includes

correspondence indexed by subject

matter, date or assigned number and, in

certain offices, by individual name of

the correspondent.

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:

See ‘‘General Statement of Routine

Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, in looseleaf binders, on index cards, computer

memory and printouts, and related

indices on magnetic disk.

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:

Secured rooms or on secured

premises with access limited to those

whose official duties require access.

RETENTION AND DISPOSAL:

Maintained indefinitely depending on

the policies and practices of the offices

involved.

SYSTEM MANAGER(S) AND ADDRESS:

Office of the Secretariat; Director,

Office of Public Affairs; Director, Office

of Legislative and Intergovernmental

Affairs; Executive Director; General

Counsel; Director, Division of

Enforcement; Director, Division of

Trading and Markets; and, Director,

Division of Economic Analysis. All are

located at 1155 21st Street, NW,

Washington, DC 20581.

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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44445

(202) 418–5105. Specify the system

manager, if known.

RECORD SOURCE CATEGORIES:

Persons corresponding with the

Commission and correspondence and

memoranda prepared by the

Commission.

CFTC–3

SYSTEM NAME:

Docket Files.

SYSTEM LOCATION:

This system is located in the Office of

Proceedings, Proceedings Clerk’s Office,

Commodity Futures Trading

Commission, 1155 21st Street, NW.,

Fourth Floor, Washington, DC.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All persons involved in any CFTC

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 hearings under

several provisions of the Commodity

Exchange Act. These files are a

necessary concomitant for the conduct

of orderly hearings. See also 44 U.S.C.

3101.

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.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory, computer printouts, index

cards, and microfiche.

RETRIEVABILITY:

By the docket number and crossindexed by complainant and respondent

names.

SAFEGUARDS:

Only items that the Commission or

the presiding officer has directed be

kept nonpublic are segregated.

Precautions are taken as to these items

to assure that access is restricted to

authorized personnel only.

RETENTION AND DISPOSAL:

Maintained in the Office of

Proceedings with the presiding officer

until disposition by the presiding

officer, and then the entire record of the

proceeding is forwarded to the

Proceedings Clerk’s office for

maintenance.

SYSTEM MANAGER(S) AND ADDRESS:

Proceedings Clerk, Office of

Proceedings, 1155 21st Street, NW.,

Fourth Floor, 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, or contesting the content of

records about themselves contained in

this system of records should address

written inquiry to the FOI, Privacy and

Sunshine Acts Compliance Staff,

Commodity Futures Trading

Commission, 1155 21st Street, NW.,

Washington, DC 20581. Telephone (202)

418–5105.

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 kept

in the CFTC offices in which the

employee described by the records is

located. Information is also kept

centrally on the computer system

located in the Department of

Agriculture’s National Finance Center,

New Orleans, Louisiana.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All CFTC employees.

CATEGORIES OF RECORDS IN THE SYSTEM:

Various records reflecting CFTC

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. In response to legitimate requests,

this information may be provided to

other federal agencies for the purpose of

hiring or retaining employees, and may

be provided to other prospective

employers, to the extent that the

information is relevant to the

prospective employer’s decision in the

matter.

b. The information may be provided

to the Justice Department or other

federal agencies or used by the

Commission in connection with any

investigation, or administrative or legal

proceeding involving any violation of

any federal law or regulation

thereunder.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Hard copies of time and attendance

worksheets, leave request slips and

signed printouts; diskettes; mainframe

computer (NFC).

RETRIEVABILITY:

By the name of the employee or by the

employee number, cross-indexed by

name.

SAFEGUARDS:

Lock boxes and/or locked file

drawers. Password required for access to

diskettes and NFC computer system.

RETENTION AND DISPOSAL:

Hard copy records, including leave

slips, signed printouts from the PC–

TARE system, overtime approval slips

and budget account code worksheets are

retained for six years, then destroyed.

Diskettes are written over on a 12 month

rotating cycle.

SYSTEM MANAGER(S) AND ADDRESS:

Office of Human Resources, 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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

The individual on whom the record is

maintained.
44446 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

CFTC–5

SYSTEM NAME:

Employee Personnel/Payroll Records.

SYSTEM LOCATION:

This system is located in the Office of

Human Resources at 1155 21st Street,

NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All CFTC employees.

CATEGORIES OF RECORDS IN THE SYSTEM:

General records relating to the

employee including information from

the notification of personnel action (SF–

50) and other related sources, employee

name, Social Security or other employee

number, birth date, veteran’s preference,

tenure, leave group, insurance coverage,

type of employment, date service

commenced and ended, grade and step,

base salary, duty station, various

computation dates, leave codes and

status, employing office and other

miscellaneous information.

Payroll related information for CFTC

employees, including payroll and leave

data for each employee relating to rate

and amount of pay, leave and hours

worked, and leave balances, tax and

retirement deductions, life insurance

and health insurance deductions,

savings allotments, savings bonds and

charity deductions, mailing addresses

and home addresses, and copies of the

CFTC time and attendance reports as

well as authorities relating to

deductions.

The records maintained in the

principal office for all employees

include: a. Forms required and records

maintained under the Commission’s

rules of conduct and the Ethics in

Government Act; b. Pre-employment

inquiries not included with ‘‘exempted

employee background investigation

materials’’; c. Various summary

materials received in computer printout

form; d. Awards information; and e.

Training information.

The official personnel records

maintained by the Commission are

described in the system notices

published by the Office of Personnel

Management, and are not included

within this system.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

44 U.S.C. 3101, 5 U.S.C. APP.

(Personnel Financial Disclosure

Requirements).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

a. In response to legitimate requests,

this information may be provided to

other federal agencies for the purpose of

hiring or retaining employees, and may

be provided to other prospective

employers, to the extent that the

information is relevant to the

prospective employer’s decision in the

matter.

b. The information may be provided

to the Justice Department, the Office of

Personnel Management or other federal

agencies, or used by the Commission in

connection with any investigation or

administrative or legal proceeding

involving any violation of federal law or

regulation thereunder.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory, and computer printouts.

RETRIEVABILITY:

By the name or social security number

of the employee.

SAFEGUARDS:

Lockable cabinets for paper records.

Computer records accessible through

password protected security system.

RETENTION AND DISPOSAL:

Maintained according to retention

schedules prescribed by NARA for each

type of personnel/payroll record.

SYSTEM MANAGER(S) AND ADDRESS:

Office of Human Resources, except for

records maintained under the

Commission’s rules of conduct and the

Ethics in Government Act, for which the

General Counsel is the system manager.

See ‘‘The Location of Systems of

Records.’’

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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW., Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

Individual on whom the record is

maintained; personnel office records;

and miscellaneous sources.

CFTC–6

SYSTEM NAME:

Employee Travel Records.

SYSTEM LOCATION:

This system is located in the

Commission’s office at 1155 21st Street,

NW, Washington, DC.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Any Commission member, employee,

witness, expert, advisory committee

member or non-CFTC employee

traveling on official business for the

Commission.

CATEGORIES OF RECORDS IN THE SYSTEM:

Contains the name, address,

destination, itinerary, mode and

purpose of travel, dates, expenses,

miscellaneous claims, amounts

advanced, amounts claimed, and

amounts reimbursed. Includes travel

authorizations, travel vouchers, copies

of government transportation requests,

receipts and other records.

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:

The information may be provided to

the Justice Department or other federal

agencies or used by the Commission in

connection with any investigation, or

administrative or legal proceeding

involving any violation of federal law or

regulation thereunder.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory and computer printout.

RETRIEVABILITY:

By the name of the Commission

member, employee witness, expert,

advisory committee member or CFTC

employee traveling on official business

for the Commission, and by Commission

identification number.

SAFEGUARDS:

Access to the computer records is

protected by a security system. General

building security limits access to paper

records kept in files of support staff in

the offices of travelers and in the Travel

Office.

RETENTION AND DISPOSAL:

Records are retained for three years

after the period covered by the account.

SYSTEM MANAGER(S) AND ADDRESS:

Accounting Officer and Network

Manager, 1155 21st Street, NW,

Washington, DC 20581.
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44447

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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

The individual on whom the record is

maintained.

CFTC–7

Deleted—Incorporated into CFTC–4

and CFTC–6.

CFTC–8

SYSTEM NAME:

Employment Applications.

SYSTEM LOCATION:

This system is located in Office of

Human Resources at 1155 21st Street,

NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Applicants for positions with the

CFTC.

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 about these records is

used in making inquiries concerning the

qualifications of the applicant.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders.

RETRIEVABILITY:

By job announcement number.

Summary information of applications is

also available to staff of the Office of

Human Resources through an automated

applicant tracking system.

SAFEGUARDS:

Lockable cabinets for paper records.

Access to applicant tracking system

granted only to appropriate personnel.

RETENTION AND DISPOSAL:

Most applicant records are retained

for two years, then destroyed. Job

announcements that are filled through

examining authority delegated from the

Office of Personnel Management (OPM)

are kept for 5 years, then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Office of Human Resources, 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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

The individual on whom the record is

maintained.

CFTC–9

SYSTEM NAME:

Exempted Employee Background

Investigation Material.

SYSTEM LOCATION:

This system is located in the Office of

Human Resources at 1155 21st Street,

NW., Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Employees and prospective

employees of the CFTC.

CATEGORIES OF RECORDS IN THE SYSTEM:

Investigatory material complied for

the purpose of determining suitability,

eligibility, or qualifications for CFTC

employment obtained under an express

promise that the identity of the source

would be held in confidence.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses’’ except that general routine use

number (3) is not applicable. Disclosure

pursuant to the other routine uses may

be subject to the consent of the person

furnishing the information.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders.

RETRIEVABILITY:

By employee name.

SAFEGUARDS:

Lockable cabinets in secured offices

or buildings.

RETENTION AND DISPOSAL:

These records are retained for three

years, then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Security Officer, Office of Human

Resources, 1155 21st Street, NW.,

Washington, DC 20581.

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, 5

U.S.C. 552a(k)(5), and the Commission’s

rules promulgated thereunder, 17 CFR

146.12. These records are exempt from

the notification procedures, record

access procedures, and record contest

procedures set forth in the system

notices of other record systems, and

from the requirement that the sources of

records in the system be described.

CFTC–10

SYSTEM NAME:

Exempted Investigation Records.

SYSTEM LOCATION:

This system is located in the

Commission’s principal and regional

offices. See ‘‘The Location of Systems of

Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

a. Individuals whom the staff has

reason to believe have violated, are

violating, or are about to violate the

Commodity Exchange Act and the rules,

regulations and orders promulgated

thereunder.

b. Individuals whom the staff has

reason to believe may have information

concerning violations of the Commodity

Exchange Act and the rules, regulations

and orders promulgated thereunder.

c. Individuals involved in

investigations authorized by the

Commission concerning the activities of

members of the Commission or its

employees based upon formal complaint

or otherwise.

d. Individuals filing applications with

the Commission for their own

registration or registration of a firm.

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
44448 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

may include all or any part of the

records developed during the

investigation or inquiry.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 8 of the Commodity Exchange

Act, 7 U.S.C. 12; 44 U.S.C. 3101; 5

U.S.C. 552a(k)(2).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses’’ except that general routine use

number (5) is not applicable.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, disks,

computer memory, computer printouts.

A summary index of material is also

stored on the computer.

RETRIEVABILITY:

By assigned case number or case title.

Cases filed by number are cross-indexed

by case title.

SAFEGUARDS:

In addition to normal office and

building security, certain of these

records are maintained in locked file

cabinets. All employees are aware of the

sensitive nature of the information

gathered during investigations.

RETENTION AND DISPOSAL:

Maintained until exemption is no

longer necessary, then returned to the

appropriate nonexempt system.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Enforcement,

except for those records maintained

under the Commission’s rules of

conduct and the Ethics in Government

Act, for which the General Counsel is

the system manager. See ‘‘The Location

of Systems of Records.’’

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 record

systems, and from the requirement that

the sources of records in the system be

described.

CFTC–11

Deleted—Incorporated into CFTC–20.

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:

Division of Trading and Markets, 1155

21st Street, NW, Washington, DC 20581.

Records for futures commission

merchants, introducing brokers,

commodity pool operators, commodity

trading advisors, their respective

associated persons and principals, with

active registration status in any capacity

on or after October 1, 1983; leverage

transaction merchants and their

associated persons and principals with

active registration status as such on or

after August 1, 1994; floor brokers and

floor traders with active registration

status as such on or after August 1,

1994: National Futures Association

(NFA), 200 West Madison Street, Suite

1400, Chicago, Illinois 60606–3447. (See

also ‘‘Retention and Disposal,’’ infra.)

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who have applied or who

may apply for registration as floor

brokers, floor traders, as associated

persons, and principals (as defined in

17 CFR 3.1) of futures commission

merchants, introducing brokers,

commodity pool operators, commodity

trading advisors and leverage

transaction merchants.

CATEGORIES OF RECORDS IN THE SYSTEM:

Information pertaining to the fitness

of the above-described individuals to

engage in business subject to the

Commission’s jurisdiction. The system

contains information in computerized

and hardcopy format including

registration forms, schedules and

supplements, fingerprint cards,

correspondence relating to registration,

and reports and memoranda reflecting

information developed from various

sources. In addition, the system

contains records of each fitness

investigation.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 4f(1), 4k(4), 4k(5), 4n(1),

8a(1)–(5), 8a(10), 8a(11), 17(o) and 19 of

the Commodity Exchange Act as

amended, 7 U.S.C. 6f(1), 6k(4), 6k(5),

6n(1), 12a(1)–(5), 12a(10), 12a(11), 21(o)

and 23 (1988 and Supp. IV 1992).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

The routine uses applicable to all of

the Commission’s systems of records,

including this system, are set forth

under the ‘‘General Statement of

Routine Uses.’’ In addition, information

contained in this system of records may

be disclosed by the Commission as

follows:

1. Information contained in this

system of records may be disclosed to

any person with whom an applicant or

registrant is or plans to be associated as

an associated person or affiliated as a

principal.

2. Information contained in this

system of records may be disclosed to

any registered futures commission

merchant with whom an applicant or

registered introducing broker has or

plans to enter into a guarantee

agreement in accordance with

Commission regulation 1.10 (17 CFR

1.10).

NFA may disclose information

contained in those portions of this

system of records, but any such

disclosure must be made in accordance

with Commission-approved NFA rules

and under circumstances authorized by

the Commission as consistent with the

Commission’s regulations and routine

uses. No specific consent is required by

an applicant or registered introducing

broker to disclosure of information to

the futures commission merchant with

whom it has or plans to enter a

guarantee agreement.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory, computer printouts, index

cards, microfiche.

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 file to the

name of the futures commission

merchant, introducing broker,

commodity trading advisor, commodity

pool operator or leverage transaction

merchant with which the individual is

associated or affiliated.

SAFEGUARDS:

General office security measures

include secured rooms or premises and,

in appropriate cases, lockable file

cabinets with access limited to persons

whose official duties require access.

Access to computer systems is password

protected and limited to authorized

personnel only.

RETENTION AND DISPOSAL:

Hard copies of applications,

biographical supplements, other forms,
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44449

related documents and correspondence

are maintained, as applicable, for two

years after the individual’s

registration(s), or that of the firm(s) with

which the individual is associated as an

associated person or affiliated as a

principal, becomes inactive. Hard copy

records are then stored at an appropriate

site for an additional eight years before

being destroyed. CFTC-held records are

stored in the Federal Records Center,

and NFA-held records are to be stored

either on NFA’s premises or in

appropriate fireproof off-site facilities.

Since 1991, NFA has scanned, indexed

and stored hard copy records on the

computer via imaging software so the

information may be retrieved and

printed. Like the hard copy records,

these imaged records are maintained by

NFA for 10 years after the individual’s

registration(s), or the registration of the

firm(s) with which the individual is

affiliated as an associated person or

principal becomes inactive.

NFA also maintains an index and

summary of the hard copy records of

this system in a data base, the

Membership, Registration, Receivables

System (MRRS). The MRRS records are

maintained permanently on CFTC’s or

NFA’s premises, as applicable, and are

updated periodically as long as the

individual’s application is pending for

registration in any capacity or affiliated

with any registrant in any capacity.

MRRS records on persons who may

apply may be maintained indefinitely;

microfiche records, when produced, are

maintained permanently on the CFTC’s

or NFA’s premises.

SYSTEM MANAGER(S) AND ADDRESS:

Assistant Director for Registration,

Division of Trading and Markets, at the

Commission’s principal office, or a

designee. For records held by NFA, the

systems manager is the Vice President

for Registration, National Futures

Association, 200 West Madison Street,

Suite 1400, Chicago, Illinois 60606–

3447, or a designee.

NOTIFICATION PROCEDURE:

Individuals seeking to determine

whether this system of records contains

information about themselves, seeking

access to records about themselves in

this system of records or contesting the

content of records about themselves

should address written inquiry to the

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105. Individuals may also

request registration information by

telephone directly from the NFA

information center at 1–800–676–3570

or the NFA Disciplinary Information

Access Line at 1–800–676–4632. NFA

will query the computer database about

the individual’s current registration

status and registration history, and

provide instructions on how to make

written requests for copies of records.

RECORD 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, National Futures Association

and National Association of Securities

Dealers; foreign futures and securities

authorities and INTERPOL; and other

miscellaneous sources. Computer

records are prepared from the forms,

supplements, attachments and related

documents submitted to the

Commission or NFA and from

information developed during the

fitness inquiry.

CFTC–13

SYSTEM NAME:

Interpretation Files.

SYSTEM LOCATION:

Files are kept in the office responsible

for preparing the interpretation letter,

including the Division of Trading and

Markets, the Office of the General

Counsel, and the Division of Economic

Analysis. Copies of the interpretation

letters without the supporting

documentation are also kept in the

Secretariat and the Office of Public

Affairs. All offices are located at 1155

21st Street, NW, Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who have requested the

Commission to provide them with its

interpretation of provisions of the

Commodity Exchange Act or various

rules and regulations adopted by the

Commission. The requests may have

been made directly by the individual, or

through the individual’s attorney or

other representative.

CATEGORIES OF RECORDS IN THE SYSTEM:

Interpretation letters furnished, the

request for an interpretation, and any

related internal memoranda and

supporting documents.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 2(a)(4) of the Commodity

Exchange Act, 7 U.S.C. 4a(c), 44 U.S.C.

3101.

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 140.98, interpretation letters and

the related requests for interpretation

that discuss matters of general

applicability are made public and

published by the Commission. Portions

of such letters or information will be

deleted or omitted to the extent

necessary to prevent a clearly

unwarranted invasion of personal

privacy or to the extent they otherwise

contain material considered nonpublic

under the Freedom of Information Act

and the Commission’s rules

implementing that Act.

b. Information in these files may be

used as a reference in responding to

later inquiries from the same party or in

following up on earlier correspondence

involving the same person.

c. Also see ‘‘General Statement of

Routine Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders.

RETRIEVABILITY:

By futures commission merchant,

floor broker, commodity pool operator,

commodity trading advisor or associated

person if the request is made by them

or on their behalf. If it is made on behalf

of another individual, it will be filed by

the name of the individual. If the

identity of these persons is not known,

the record will be maintained in the

name of the attorney or other

representative filing the request.

SAFEGUARDS:

Access limited to the offices where

the records are maintained.

RETENTION AND DISPOSAL:

Maintained permanently (on premises

for 5 years then transferred to the

Federal Records Center). After 20 years,

offered to the National Archives and

Records Service.

SYSTEM MANAGER(S) AND ADDRESS:

Chief Counsel, Division of Trading

and Markets; the General Counsel;

Director, Division of Economic

Analysis; the Secretary to the

Commission; and the Director, Office of

Public Affairs. All system managers are

located in the Commission’s principal

office. See ‘‘The Location of Systems of

Records.’’

NOTIFICATION PROCEDURE:

Individuals seeking to determine

whether this system of records contains
44450 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

information about themselves, or

seeking access to records about

themselves in this system of records, or

contesting the content of records about

themselves contained in this system of

records should address written inquiry

to the FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

Individuals, proprietorships,

corporations, other business

organizations, or representatives seeking

interpretation of the provisions of the

Commodity Exchange Act or

Commission rules.

CFTC–14

SYSTEM NAME:

Matter Files.

SYSTEM LOCATION:

This system is located in the

Commission’s principal and regional

offices. Pending investigation files may

be located in the office that is

conducting the investigation. See ‘‘The

Location of Systems of Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

a. Individuals whom the staff has

reason to believe have violated, are

violating, or are about to violate the

Commodity Exchange Act and the rules,

regulations, and orders promulgated

thereunder, or the rules and regulations

of any board of trade designated as a

contract market.

b. Individuals whom the staff has

reason to believe may have information

concerning violations of the Commodity

Exchange Act and the rules, regulations,

and orders promulgated thereunder, or

the rules and regulations of any board

of trade designated as a contract market.

c. Individuals involved in

investigations authorized by the

Commission concerning the activities of

members of the Commission or its

employees based upon formal complaint

or otherwise.

d. Individuals filing an application for

registration as associated person, floor

trader or floor broker Form 8-R

(biographical information questionnaire)

in connection with an application for

registration with the Commission.

e. Individuals indicted or convicted

for criminal violations of the Act or

other commodity related violations.

CATEGORIES OF RECORDS IN THE SYSTEM:

Anything obtained during the course

of an investigation including data from

Commission reporting forms, account

statements and other trading records,

exchange records, bank records and

credit information, business records,

reports of interviews, transcripts of

testimony, exhibits to transcripts,

affidavits, statements by witnesses,

registration information, contracts and

agreements. Also contains internal

memoranda, reports of investigation,

orders of investigation, subpoenas,

warning letters, stipulations of

compliance, correspondence and other

miscellaneous matters. The nature of the

personal information contained in these

files varies according to what is

considered relevant by the attorney

assigned based on the circumstances of

the particular case under investigation,

and may include personal background

information about the individual

involved, his education and

employment history, information on

prior violations, and a wide variety of

financial information, as well as a

detailed examination of the individual’s

activities during the period in question.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 8 of the Commodity Exchange

Act, 7 U.S.C. 12; 44 U.S.C. 3101.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’ Information concerning traders

and their activities may be disclosed

and made public by the Commission to

the extent permitted by law when

deemed appropriate to further the

practices and policies of the Commodity

Exchange Act. Information collected

during the investigation may be

included in a public report issued by

the Commission following an

investigation, to the extent that this is

authorized under section 8 of the

Commodity Exchange Act, 7 U.S.C. 12.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, disks,

computer memory, computer printouts.

A summary index of material is also

stored on the computer.

RETRIEVABILITY:

By assigned matter title, person or

firm.

SAFEGUARDS:

In addition to normal office and

building security, certain of these

records are maintained in locked file

cabinets. All employees are aware of the

sensitive nature of the information

gathered during investigations.

RETENTION AND DISPOSAL:

In the principal office, opening and

closing reports, complaints, and

significant orders are kept permanently.

Once an investigation is closed without

institution of a case, the files, other than

the materials described above, are

shipped to off-site storage within ninety

days of closing. Records of preliminary

inquiries closed without further action,

are forwarded to off-site storage within

a year following closure. Records are

maintained in off-site storage for 5

years, then destroyed. In the regional

offices, records are maintained on the

premises for 3 years after the matter is

closed, then sent to the Federal Records

Center for 5 years before being

destroyed.

If an investigatory matter is not

closed, but becomes a Commission

injunctive or administrative action, the

matter files become part of the case files

described in CFTC–16.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Enforcement in

the Commission’s principal office.

Regional Counsel of the region where

the investigation is being conducted.

See ‘‘The Location of Systems of

Records.’’

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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

a. Reporting forms and other

information filed with the Commission;

b. boards of trade; c. persons or firms

covered by the Commission’s

registration requirements; d. federal,

state and local regulatory and law

enforcement agencies; e. banks, credit

organizations and other institutions; f.

corporations; g. individuals having

knowledge of the facts; h. attorneys; i.

publications; j. courts; and k.

miscellaneous sources.

CFTC–15

SYSTEM NAME:

Large Trader Report Files.

SYSTEM LOCATION:

The copies of original reports and

related correspondence are located in
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44451

the CFTC office where filed. See further

description below. Ancillary records

and information (computer printout)

may be located in any CFTC office. See

‘‘The Location of Systems of Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individuals holding reportable

positions.

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 form (Series

03 Form). Contains information

described in part 18 of the

Commission’s rules and regulations,

including the trader’s identifying

number, previous open contracts, trades

and deliveries that day, open contracts

at the end of the day, and classification

as to speculation or hedging (available

on a non-routine basis by special call);

c. Large trader reporting form (Series

04 Form). Contains information

described in part 19 of the

Commission’s rules and regulations, to

be filed by merchants, processors and

dealers in commodities that have

federally imposed speculative position

limits. Includes trader’s identifying

number, stocks owned, fixed price sale

and purchase commitments. These

reports are filed in the CFTC office in

the city where the reporting trader is

located. If there is no CFTC office in that

city, the reports are filed according to

specific instructions of the CFTC.

2. Reports to be filed by futures

commission merchants, members of

contract markets, foreign brokers and for

large option traders by contract markets.

a. Identification of ‘‘Special

Accounts’’ (CFTC Form 102). Contains

material described in part 17 of the

Commission’s rules and regulations.

Includes the name, address, and

occupation of a customer whose

accounts have reached the reporting

level. Also includes the account number

that the futures commission merchant

uses to identify this customer on the

firm’s 01 report (see next paragraph),

and whether the customer has control of

or financial interest in accounts of other

traders.

b. Large trader reporting form (Series

01 Form). Contains material described

in part 17 of the Commission’s rules and

regulations, for each ‘‘special account.’’

Shows customer account number,

reportable position held in each

commodity future and information

concerning deliveries and exchanges of

futures for physicals by persons with

reportable positions. These reports are

filed, mostly in machine readable form,

in the CFTC office in the city where the

contract market involved is located. If

there is no CFTC office in that city, they

are filed in the office where the CFTC

instructs that they be filed.

3. Computer records prepared from

information on the forms described in

items (1) and (2) above. The computer

system is located in Chicago. Printouts

may be located in some or all of the

Commission’s offices.

4. Correspondence and memoranda of

telephone conversations between the

Commission and the individual or

between the Commission and other

agencies dealing with matters of official

business concerning the individual.

5. Other miscellaneous information,

including intra-agency correspondence

and memoranda concerning the

individual and documents relating to

official actions taken by the Commission

against the individual.

6. Reports from contract markets

concerning futures and options:

a. Positions and Transactions of

Clearing Member Firms. Information is

provided in machine readable form and

contains the data prescribed in part 16

of the Commission’s regulations. The

information includes an identification

number for each clearing member, open

contracts at the firm for proprietary and

customer accounts and transactions

such as trades, exchanges of futures for

cash, delivery notices issued and

received, and transfers and option

exercises. The information is filed in the

city where the exchange is located or as

instructed by the Commission. Data is

transmitted to the CFTC computer

system and printouts are available at all

CFTC offices.

b. Large Option Trader Data.

Information is provided in machine

readable form and contains the data

prescribed in Commission Rule 16.02.

Shows customer account number and

reportable option positions as specified

in Rule 16.02. Machine readable media

is delivered to the Commission office in

which the contract market is located or

as instructed by the Commission. The

data is transmitted to the CFTC

computer system and printouts of the

data are available in each Commission

office.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 4g, 4i, and 8 of the

Commodity Exchange Act, 7 U.S.C. 6g,

6i, and 12.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’ In addition, information

concerning traders and their activities

may be disclosed and made public by

the Commission to the extent permitted

by law when deemed appropriate to

further the practices and policies of the

Commodity Exchange Act.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF THE RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory, and computer printout.

RETRIEVABILITY:

Form 40, Form 102, correspondence

and other miscellaneous information are

maintained directly under the name of

the reporting trader. The series 01, 03,

and 04 forms are maintained by

identifying code number. However,

information from these forms is

included in the computer and

retrievable by individual name from the

computer.

SAFEGUARDS:

General office security measures, with

recent trading reports stored in lockable

file cabinets. Access is limited to those

whose official duties require access.

RETENTION AND DISPOSAL:

CFTC Form 40, CFTC Form 102,

correspondence, memoranda, etc. are

retained on the premises until the

account has been inactive for 5 years

and are then destroyed. Form 01, 03,

and 04 reports are maintained for 6

months on the premises and then held

at the Federal Records Center for 5 years

before being destroyed. The computer

file is maintained for 10 years for Form

01, 03, and 04 reports and large trader

options data reported by contract

markets. Clearing member positions and

transactions are maintained for 2 years.

Trader code numbers and related

information are maintained for 5 years

after a trader becomes nonreportable.

Account numbers assigned by an FCM

are maintained on the system for 1 year

after the account is no longer reported.

SYSTEM MANAGER(S) AND ADDRESS:

Chief, Surveillance Branch, in the

region where the records are located.

See ‘‘The Location of Systems of

Records.’’
44452 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105. Include code number

assigned by the Commission for filing

reports, the name of the futures

commission merchant through whom

traded, and the time period for which

information is sought.

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:

Case Files.

SYSTEM LOCATION:

This system is located in the

Commission’s principal and regional

offices. Pending litigation files may be

located in other participating offices.

See ‘‘The Location of Systems of

Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons or firms against whom the

Commission has taken enforcement

action based on violations of the

Commodity Exchange Act or the rules

and regulations promulgated

thereunder.

CATEGORIES OF RECORDS IN THE SYSTEM:

Copies of various papers filed by or

with the Commission or the courts in

connection with administrative

proceedings or injunctive actions

brought by the Commission. It includes,

as a minimum, a copy of the complaint

and the final decision and order, and

may contain other documents as well,

including records described in CFTC–

14, Matter Files, as well as pleadings

and litigation correspondence.

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. See, e.g., section 6c of

the Commodity Exchange Act, 7 U.S.C.

13a–1, authorizing injunctive actions,

and various provisions in that Act

authorizing administrative actions.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’ The information in these files is

generally a matter of public record and

may be disclosed without restriction.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders or

binders, disks, computer memory,

computer printouts. A summary index

of material is also stored on the

computer.

RETRIEVABILITY:

By case title or in some instances by

docket number.

SAFEGUARDS:

General office security measures

including secured premises with access

limited to those whose official duties

require access.

RETENTION AND DISPOSAL:

After an action is complete, the

complaint, final decision, and order are

kept indefinitely at the headquarters

office. The remainder of the litigation

file is shipped to off-site storage 90 days

after the case is completed. Most case

files are destroyed after 15 years; unique

precedent setting cases are destroyed

after 20 years.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Enforcement at

the Commission’s principal office and

Regional Counsel for the region where

the records are located. See ‘‘The

Location of Systems Records.’’

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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

The parties, their attorneys, the

Commission’s Proceedings Clerk’s

Office, 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 at 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;

b. Injunctive actions brought by the

Commission;

c. Other federal court cases to which

the Commission is a party;

d. Litigation in which the

Commission is participating as amicus

curiae; and

e. Other cases involving issues of

concern to the Commission, including

those brought by other law enforcement

and regulatory agencies and those

brought by private parties.

CATEGORIES OF RECORDS IN THE SYSTEM:

Papers, disks, computer memory or

computer printouts comprising or

included in the record of the case, and

briefs and correspondence related to

that action. May also include internal

memoranda and other documents

pertaining to the matter being litigated.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Commodity Exchange Act, 7

U.S.C. 1, et seq., entrusts the

Commission with broad regulatory

responsibilities over commodity futures

transactions. In this connection, the

Commission is authorized to bring both

administrative proceedings and

injunctive actions where there appear to

have been violations of the Act.

Furthermore, to effectuate the purposes

of the Act, it is necessary that the

Commission staff be familiar with

developments in other actions brought

by others that have implications in the

commodity law areas.

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.

Also see ‘‘General Statement of Routine

Uses.’’
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44453

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, as well

as disks, computer memory and

computer printouts.

RETRIEVABILITY:

Alphabetically by caption of the case.

SAFEGUARDS:

General office security measures

including secured rooms or premises

with access limited to those whose

official duties require access.

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,

then transferred to the Federal Records

Center. A copy of some of the

documents may be kept in precedent

files for use in later legal research or

preparation of filings in other matters.

SYSTEM MANAGER(S) AND ADDRESS:

General Counsel, 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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

The court or regulatory authority

before whom 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

Commission’s Chicago and New York

regional offices. See ‘‘The Location of

Systems of Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individuals who have exceeded

speculative limits in a particular fiscal

year.

CATEGORIES OF RECORDS IN THE SYSTEM:

A listing, by year, of the violations of

speculative limits imposed by the

Commission and the exchanges. It

includes the trader’s assigned code

number, the commodity involved, the

name of the trader, the type of violation,

the date of the violation, the date the

violation ceased, and the action taken.

Copies of warning letters and replies

pertaining to the violation listed are

maintained with the logbook.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 4i and 8 of the Commodity

Exchange Act, 7 U.S.C. 6i and 12.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders.

RETRIEVABILITY:

By fiscal year, and within each year

by the name of the violator.

SAFEGUARDS:

General office security measures

including secured rooms or premises

with access limited to those whose

official duties require access.

RETENTION AND DISPOSAL:

Maintained on the premises for 5

years, then held in Federal Records

Center for 15 years before being

destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Chief, Surveillance Branch, 233 South

Wacker Drive, Suite 4600, Chicago,

Illinois 60606; Chief, Surveillance

Branch, One World Trade Center, Suite

4747, New York, New York 10048.

NOTIFICATION PROCEDURE:

Individuals seeking to determine

whether this system of records contains

information about themselves or seeking

access to records about themselves

contained in this system of records or

contesting the content of records about

themselves contained in this system of

records should address written inquiry

to the FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

Series 03 reports filed by traders.

Correspondence prepared by the

Commission or by the individual or

individual’s representative.

CFTC–19

Deleted—Incorporated into CFTC–29.

CFTC–20

SYSTEM NAME:

Registration of Floor Brokers, Floor

Traders, Futures Commission

Merchants, Introducing Brokers,

Commodity Trading Advisors,

Commodity Pool Operators, Leverage

Transaction Merchants, and Associated

Persons.

SYSTEM LOCATION:

National Futures Association (NFA),

200 West Madison Street, Suite 1400,

Chicago, Illinois 60606–3447.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who have applied for

registration as floor brokers, floor

traders or as associated persons, and

principals (as defined in 17 CFR 3.1) of

futures commission merchants,

introducing brokers, commodity trading

advisors, commodity pool operators,

and leverage transaction merchants.

CATEGORIES OF RECORDS IN THE SYSTEM:

Information pertaining to the

registration and fitness of the abovedescribed individuals to engage in

business subject to the Commission’s

jurisdiction. The system includes

applications for registration forms,

schedules, and supplements; fingerprint

cards; correspondence relating to

registration; and reports and

memoranda reflecting information

developed from various sources.

Computerized systems, consisting

primarily of information taken from the

registration forms, are maintained by

NFA. Computer records include the

name, date and place of birth, social

security number (optional), exchange

membership (floor brokers and floor

traders only), firm affiliation, and the

residence or business address, or both,

of each associated person, floor broker,

floor trader and principal. Computer

records also include information

relating to name, trade name, principal

office address, records address, names

of principals and branch managers of

futures commission merchants,

introducing brokers, commodity pool

operators, commodity trading advisors,

and leverage transaction merchants.
44454 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

Directories, when produced, list the

name, business address, and exchange

membership affiliation of all registered

floor brokers and the name and firm

affiliation of all associated persons and

principals. These directories, as well as

registration forms and biographical

supplements, except for any

confidential information on

supplementary attachments to the

forms, are publicly available to any

person for disclosure, inspection and

copying.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 4f(1), 4k(4), 4k(5), 4n(1),

8a(1), 8a(5), 8a(10) and 19 of the

Commodity Exchange Act as amended,

7 U.S.C. 6f(1), 6k(4), 6k(5), 6n(1), 12a(1),

12a(5), 12a(10), and 23 (1988), as

amended by the Futures Trading

Practices Act of 1992, Pub L. 102–546,

106 Stat. 3590.

ROUTINE USES OF THE RECORDS MAINTAINED IN

THE SYSTEM, INCLUDING CATEGORIES OF USERS

AND THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’ In addition, information

contained in this system of records may

be disclosed by the Commission as

follows:

1. Information contained in this

system of records may be disclosed to

any person with whom an applicant or

registrant is or plans to be associated as

an associated person or affiliated as a

principal.

2. Information contained in this

system of records may be disclosed to

any registered futures commission

merchant with whom an applicant or

registered introducing broker has

entered or plans to enter into a

guarantee agreement in accordance with

Commission regulation 1.10 (17 CFR

1.10).

NFA may disclose information

contained in those portions of this

system of records maintained by NFA,

but any such disclosure must be made

in accordance with Commissionapproved NFA rules and under

circumstances authorized by the

Commission as consistent with the

Commission’s regulations and routine

uses. No specific consent is required by

an applicant or registered introducing

broker to disclosure of information to

the futures commission merchant with

whom it has or plans to enter a

guarantee agreement.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory, computer printouts, indexed

cards, and microfiche.

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 or

leverage transaction merchant with

whom the individual is associated or

affiliated.

SAFEGUARDS:

General office security measures

including secured rooms or premises

and, in appropriate cases, lockable file

cabinets, with access limited to those

whose official duties require access.

RETENTION AND DISPOSAL:

Hard copies of applications,

biographical supplements, other forms,

related documents and correspondence

are maintained on the NFA’s premises,

as applicable, for two years after the

individual’s registration(s), or that of the

firm(s) with which the individual is

associated as an associated person or

affiliated as a principal, becomes

inactive. Hard copies of records are then

stored at an appropriate site for an

additional eight years before being

destroyed. Records are to be stored

either on NFA’s premises or in

appropriate fireproof off-site facilities.

NFA also maintains an index and

summary of the hard copy records of

this system in a data base, the

Membership, Registration, Receivables

System (MRRS). The MRRS records are

maintained permanently and are

updated periodically as long as the

individual is pending for registration,

registered in any capacity or affiliated

with any registrant as a principal. MRRS

records on persons who may apply may

be maintained indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:

Assistant Director for Registration,

Division of Trading and Markets,

Commodity Futures Trading

Commission, 1155 21st Street, NW,

Washington, DC 20581, and Vice

President for Registration, National

Futures Association, 200 West Madison

Street, Suite 1400, Chicago, Illinois

60606–3447.

NOTIFICATION PROCEDURE:

Individuals seeking to determine

whether this system of records contains

information about themselves, seeking

access to records about themselves in

this system of records, or contesting the

content of records about themselves

contained in this system of records,

should address written inquiry to the

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105. Individuals may also

request registration information by

telephone from the NFA information

center at 1–800–676–3570 or from the

Disciplinary Information Access Line at

1–800–676–4632. NFA will query the

MRRS system about current registration

status and registration history, and

provide instructions on how to make

written requests for copies of records.

RECORD 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, National Futures Association

and National Association of Securities

Dealers; foreign futures and securities

authorities and INTERPOL; and other

miscellaneous sources. The computer

records are prepared from the forms,

supplements, attachments and related

documents submitted to the NFA and

from information developed during the

fitness inquiry.

CFTC–21

Deleted—Incorporated into CFTC–20.

CFTC–22

Deleted—Incorporated into CFTC–20.

CFTC–23

Deleted—Incorporated into CFTC–20.

CFTC–24

Deleted—Incorporated into CFTC–20.

CFTC–25

Deleted.

CFTC–26

Deleted—Incorporated into CFTC–14.

CFTC–27

Deleted.

CFTC–28

SYSTEM NAME:

SRO Disciplinary Action File.

SYSTEM LOCATION:

Records in this system are maintained

at the Commission’s principal and

regional offices. See ‘‘The Location of

Systems of Records.’’

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons who have been suspended,

expelled, disciplined, or denied access

to or by a self-regulatory organization

(SRO).
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44455

CATEGORIES OF RECORDS IN THE SYSTEM:

Letters of notification of disciplinary

or other adverse action taken by an

exchange that include the name of the

person against whom such action was

taken, the action taken and the reasons

therefore.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 8c(1)(B) of the Commodity

Exchange Act, 7 U.S.C. 12c(1)(B).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Loose-leaf binders, computer memory,

and computer printouts.

RETRIEVABILITY:

By chronological order according to

the self-regulatory organization that took

the disciplinary or other adverse action

that is the subject of the notice and by

the name of the individual.

SAFEGUARDS:

General office security measures.

RETENTION AND DISPOSAL:

Retained indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:

Assistant Director, Contract Markets

Section, Commodity Futures Trading

Commission, 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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

Self-regulatory organizations notifying

the Commission of disciplinary or other

adverse actions taken.

CFTC–29

SYSTEM NAME:

Reparation Complaints.

SYSTEM LOCATION:

This system is located in the Office of

Proceedings, 1155 21st Street, NW,

Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individuals filing customer reparation

complaints, as well as the firms and

individuals named in the complaints.

CATEGORIES OF RECORDS IN THE SYSTEM:

Reparation complaints, answers,

supporting documentation and

correspondence filed with the Office of

Proceedings. If the complaint is

forwarded for decision by an

administrative law judge or proceedings

officer, records become part of CFTC–3,

Docket Files.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 14 of the Commodity

Exchange Act, 7 U.S.C. 18.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

These records are used in the conduct

of the Commission’s reparation

program. Also see ‘‘General Statement of

Routine Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

memory, computer printouts.

RETRIEVABILITY:

By docket number and cross-indexed

by the name of the complainant and

respondent.

SAFEGUARDS:

General office security including

secured rooms and, in appropriate

cases, lockable file cabinets, with access

limited to those whose official duties

require access.

RETENTION AND DISPOSAL:

The records are maintained for 10

years after the case is closed, except that

complaints, decisions, and Commission

opinions and orders, are retained

indefinitely.

SYSTEM MANAGER(S) AND ADDRESS:

Office of Proceedings, Complaints

Section, 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 FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

Persons or firms filing reparation

complaints or answers.

CFTC–30

SYSTEM NAME:

Open Commission Meetings—CFTC.

SYSTEM LOCATION:

This system is located in the Office of

the Secretariat, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons 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 Acts, 5

U.S.C. 552b(f) and Commission

regulations at 17 CFR 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. Also see

‘‘General Statement of Routine Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders or

microfiche; audio cassette tapes.

RETRIEVABILITY:

The indices to the recordings,

transcripts, and minutes of all

Commission meetings are organized by

year in chronological order. Each yearly

index is further indexed in alphabetical

order according to subject matter,

including the names of individuals,

firms, exchanges or other topics that are

discussed at the meetings.

SAFEGUARDS:

General office security measures, with

access limited to persons whose official

duties require access.

RETENTION AND DISPOSAL:

Maintained on the premises for at

least the statutory period required by

the Sunshine Act and Commission
44456 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

regulations (i.e., at least two years after

each meeting or at least one year after

the conclusion of any agency

proceeding with respect to which the

meeting or portion of the meeting was

held, whichever is later); then retired to

the National Archives or stored on the

premises.

SYSTEM MANAGER(S) AND ADDRESS:

Secretary of the Commission,

Commodity Futures Trading

Commission, 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

FOIA, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. Telephone

(202) 418–5105.

RECORD SOURCE CATEGORIES:

1. The information recorded during

Commission meetings concerning

individuals who are the subject of

discussion at the meetings is generated

by the staff in one or more Divisions.

2. The indices are prepared from the

recordings, transcripts and/or minutes.

CFTC–31

SYSTEM NAME:

Exempted Closed Commission

Meetings—CFTC.

SYSTEM LOCATION:

This system is located in the Office of

the Secretariat, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Persons 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), and Commission

regulations at 17 CFR 147.7.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See ‘‘General Statement of Routine

Uses.’’

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders,

microfiche, and audio cassette tapes.

RETRIEVABILITY:

The indices to the recordings,

transcripts, and minutes of all

Commission meetings are organized by

year in chronological order. Each yearly

index is further indexed in alphabetical

order according to subject matter,

including the names of individuals,

firms, exchanges or other topics, which

are discussed at the meetings.

SAFEGUARDS:

General office security measures, with

access limited to persons whose official

duties require access.

RETENTION AND DISPOSAL:

Maintained on the premises for at

least the statutory period required by

the Sunshine Acts and Commission

regulations (i.e., at least two years after

each meeting or at least one year after

the conclusion of any agency

proceeding with respect to which

meeting was held, whichever is later);

then retired to the National Archives or

stored on the premises.

SYSTEM MANAGER(S) AND ADDRESS:

Secretary of the Commission,

Commodity Futures Trading

Commission, 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 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.

SYSTEM LOCATION:

Office of the Inspector General,

Commodity Futures Trading

Commission, 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; and opening reports,

progress reports and closing reports.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Pub. L. 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:

1. The information in the system may

be used or disclosed by the Commission

in any administrative proceeding before

the Commission, in any injunctive

action, or in any other action or

proceeding authorized under the

Commodity Exchange Act or the

Inspector General Act of 1978 in which

the Commission or any member of the

Commission or its staff participates as a

party or the Commission participates as

amicus curiae.

2. In any case in which records in the

system indicates a violation or potential

violation of law, whether civil, criminal

or regulatory in nature, whether arising

by general statute or particular program

statute, or by regulation, rule or order

issued pursuant thereto, the relevant

records may be referred to the

appropriate agency, whether Federal,

foreign, state or local, charged with

enforcing or implementing the statute,

regulation, rule or order.

3. In any case in which records in the

system indicate a violation or potential

violation of law, whether civil, criminal
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44457

or regulatory in nature, the relevant

records may be referred to the

appropriate board of trade designated as

a contract market by the Commission or

to the appropriate futures association

registered with the Commission, if the

OIG has reason to believe this will assist

the contract market or registered futures

association in carrying out its 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.

4. The information may be given or

shown to anyone during the course of

an OIG investigation if the staff has

reason to believe that disclosure to the

person will further the investigation.

Information may also be disclosed to

Federal, foreign, state or local

authorities in order to obtain

information or records relevant to an

OIG investigation.

5. The information may be given to

independent auditors or other private

firms with which the OIG has

contracted to carry out an independent

audit, or to collate, aggregate or

otherwise refine data collected in the

system of records. These contractors

will be required to maintain Privacy Act

safeguards with respect to such records.

6. The information may be disclosed

to a Federal, foreign, state or local

government agency where records in

either system of records pertain to an

applicant for employment, or to a

current employer of that agency where

the records are relevant and necessary to

an agency decision concerning the

hiring or retention of an employee or

disciplinary or other administrative

action concerning an employee.

7. The information may be disclosed

to a Federal, foreign, state, or local

government agency in response to its

request in connection with the issuance

of a security clearance, the letting of a

contract, or the issuance of a license,

grant or other benefit by the requesting

agency, to the extent that the

information is relevant and necessary to

the requesting agency’s decision in the

matter.

9. The information may be disclosed

to the Department of Justice or other

counsel to the Commission for legal

advice or to pursue claims and to

government counsel when the

defendant in litigation is: (a) Any

component of the Commission or any

member or employee of the Commission

in his or her official capacity, or (b) the

United States or any agency thereof. The

information may also be disclosed to

counsel for any Commission member or

employee in litigation or in anticipation

of litigation in his or her individual

capacity where the Commission or the

Department of Justice agrees to

represent such employee or authorizes

representation by another.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

diskettes and computer memory.

RETRIEVABILITY:

By the name of the subject of the

investigation or by assigned

identification number.

SAFEGUARDS:

The records are kept in limited access

areas during duty hours and in file

cabinets in locked offices at all other

times. These records are available only

to those persons whose official duties

require such access.

RETENTION AND DISPOSAL:

The Office of the Inspector General

Investigative Files are destroyed ten

years after the case is closed.

SYSTEM MANAGER(S) AND ADDRESS:

Inspector General, Office of the

Inspector General, Commodity Futures

Trading Commission, 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 systems of records, or contesting the

content of records about themselves,

should address written inquiry to the

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW., Washington, DC 20581.

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),

(3)(4) (A) through (F), (e)(6), (7), (9),

(10), and (11), and (i) to the extent the

system of records pertains to the

enforcement of criminal laws. Under 5

U.S.C. 552(k)(2), the Office of the

Inspector General Investigative Files are

exempted from 5 U.S.C. 552a except

subsections (c)(3), (d), (e)(1), (e)(4) (G),

(H), and (I) and (f) to the extent the

system of records consists of

investigatory material compiled for law

enforcement purposes. These

exemptions are contained at 17 CFR

146.13.

CFTC–33

SYSTEM NAME:

Electronic Key Card Usage.

SYSTEM LOCATION:

Office of Administrative Services,

Commodity Futures Trading

Commission, 1155 21st Street, NW,

Washington, DC 20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Authorized key card holders, which

may include CFTC employees, on-site

contractors, visitors, or representatives

of landlords.

CATEGORIES OF RECORDS IN THE SYSTEM:

Computer print-outs showing key

card number and, in some cases, name

of assigned user.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sections 2(a)(2)(A)(b) and 12(b)(3),

Commodity Exchange Act, 7 U.S.C.

4a(e) and 16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

See the Commission’s ‘‘General

Statement of Routine Uses,’’ Nos. 1, 2,

6 and 7, Privacy Act Issuances, 1995

Comp. In addition, information

contained in this system may be

disclosed by the Commission (1) to any

person in connection with architectural,

security or other surveys concerning use

of office space and (2) to employees and

contractors for the purpose of

maintenance or service of data

processing systems.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Paper records in file folders, computer

diskettes and computer memory.
44458 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

RETRIEVABILITY:

By name of the subject, by assigned

key card number, by time period and by

entry point.

SAFEGUARDS:

Information from the Commission’s

landlords’ data bases may only be

requested from the landlords by the

Director of the Office of Administrative

Services, or his/her designee. The

Commission maintains all key card

usage records in limited access areas at

all times.

RETENTION AND DISPOSAL:

In accordance with the general record

schedules and the Commission’s record

management handbook the records in

the system are considered temporary

and are destroyed when no longer

required.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Administrative

Services, Commodity Futures Trading

Commission, 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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581. The system

of records and the notification, access

and challenge procedures apply only to

records of key card usage in the

Commission’s actual possession. None

of these applies to any information

solely in a landlord’s possession.

RECORD SOURCE CATEGORIES:

With one exception, information in

the system is supplied by the

Commission’s landlords, typically on

request. Information supplied is a

record of use of electronic key cards and

in that sense the information is obtained

directly from the users of the key cards.

Information in the data base maintained

in Chicago by the Commission itself is

also merely recorded usage of electronic

key cards and similarly is obtained

directly from the user of the key card.

CFTC–34

SYSTEM NAME:

Telephone System.

SYSTEM LOCATION:

Monthly billing records for local toll

calls, long distance calls, and calling

card calls are located in the Office of

Administrative Services, Commodity

Futures Trading Commission, Three

Lafayette Centre, 1155 21st Street, NW,

Washington, DC 20581. The most

current record of the phone numbers

and calling card numbers assigned to

individual employees and contractors is

kept by the administrative office in each

regional location except Los Angeles.

Los Angeles telephone assignment

records are kept in the Washington, DC,

Office of Administrative Services.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individuals (generally Commission

employees and on-site contractor

personnel) who make telephone calls

from Commission telephones or use

government issued calling cards.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records relating to the use of

Commission telephones or calling cards

to place calls; records indicating

assignment of telephone or calling card

numbers to employees; and records

relating to requests for telephone call

detail information.

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:

See the Commission’s ‘‘General

Statement of Routine Uses,’’ Nos. 1 and

2, Privacy Act Issuances, 1995 Comp. In

addition, records and data may be

disclosed as necessary (1) to

representatives of the General Services

Administration or the National Archives

and Records Administration who are

conducting records management

inspections under the authority of 44

U.S.C. 2904 and 2906; (2) to a

telecommunications company or

consultant providing

telecommunications support to permit

servicing the account.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored on computer

printouts.

RETRIEVABILITY:

Records are retrievable by a

Commission telephone or calling card

number that is assigned to an

individual.

SAFEGUARDS:

In addition to general building

security, records are maintained in

limited access areas at all times.

RETENTION AND DISPOSAL:

In accordance with the general record

schedules and the Commission’s record

management handbook, the records in

the system are considered temporary

and are destroyed when no longer

required, usually every three months.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Administrative

Services, Commodity Futures Trading

Commission, 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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street,

NW, Washington, DC 20581.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedures,’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedures,’’ above.

RECORD SOURCE CATEGORIES:

Telephone and calling card

assignment records; call detail listings

received from local and long distance

service providers; results of

administrative inquiries relating to

assignment of responsibility for

placement of specific long distance

calls.

CFTC 35

SYSTEM NAME:

Interoffice and Internet E-Mail

System.

SYSTEM LOCATION:

File servers in each system location

(Washington, DC, Chicago, New York,

Kansas City, Minneapolis, and Los

Angeles) retain records. Records are

backed up nightly onto magnetic tape in

all locations except Minneapolis.

Records are backed up weekly onto

magnetic tape in the Minneapolis office.

The most recent two weeks of tapes are

kept in locked boxes in the Washington,

DC, and Chicago locations. Tapes with

information covering the prior two

weeks are kept at an off-site storage

facility in Washington, DC, and Chicago.

Tapes with information covering the

most recent four week period are kept

on-site, in a secured area, in the New

York, Kansas City, Los Angeles, and

Minneapolis locations.
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44459

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All CFTC employees and on-site

contractors.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records on the use of the interoffice

and Internet e-mail system, including

address of sender and receiver(s),

subject, date sent or received, name of

attachment and certification status. On

a restricted basis, records may include

the contents of an individual’s mailbox.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301 and section 12(b)(3) of

the Commodity Exchange Act, 7 U.S.C.

16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

The records are used by CFTC

network administrators who have a

need for the records in the performance

of their duties. See also the

Commission’s ‘‘General Statement of

Routine Uses,’’ Nos. 1, and 2, Privacy

Act Issuances, 1995 Comp. In addition,

the records and data, other than the

content of individual mailboxes, may

also be disclosed as necessary to

contractors as necessary for assessment,

modification, or maintenance of the email system.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored on the file servers

in each CFTC location. Servers are

backed up nightly and the information

is transferred to magnetic tape. In

Washington, DC, and Chicago, the most

recent two weeks of magnetic tape are

kept in a locked box in the Computer

Room. The prior two weeks are kept at

an off-site storage facility in

Washington, DC, and Chicago. The

entire four weeks of magnetic tape

information is kept in unlocked boxes in

a secured area in the New York, Kansas

City, Los Angeles and Minneapolis

locations.

RETRIEVABILITY:

The information can be retrieved by

assigned interoffice or Internet mail

address.

SAFEGUARDS:

Only network administrators have

access to the e-mail information. This

access is generally limited to the

‘‘header’’ information described under

‘‘Categories of Records.’’ The tapes are

kept in locked storage boxes in

Washington, DC, and Chicago, and only

network administrators and OIRM

management have keys to the locked

boxes. In the New York, Kansas City,

Los Angeles and Minneapolis locations,

tapes are kept in unlocked boxes, either

stored in a fireproof safe or vault. Only

designated office personnel have access

to the safe or vault.

RETENTION AND DISPOSAL:

Records on magnetic tape are retained

for four weeks, then destroyed as the

tape is written over with new

information. Records are retained on the

file server until the sender and receiver

delete the information from the e-mail

system. Internet e-mail information that

is received by the postmaster due to an

error in delivery is considered

temporary and is destroyed after the

problem is corrected.

SYSTEM MANAGER(S) AND ADDRESS:

Network Manager, Commodity

Futures Trading Commission, Three

Lafayette Centre, 1155 21st Street NW.,

Washington, DC 20581.

NOTIFICATION PROCESS:

Individuals seeking to determine

whether the system of records contains

information about themselves, seeking

access to records about themselves in

the system of records, or contesting the

content of records about themselves

should address written inquiries to the

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street

NW., Washington, DC 20581.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedures’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedures’’ above.

RECORD SOURCE CATEGORIES:

Internet e-mail, interoffice e-mail.

CFTC 36

SYSTEM NAME:

Internet Web Site and News Group

Browsing System.

SYSTEM LOCATION:

Firewall software, located on PC in

the Washington, DC, office’s computer

room. Information on use of each

personal computer is stored on that

computer.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All CFTC employees and on-site

contractors who are users of the Internet

Web Site and News Group Browsing

capability.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records on the web sites and news

groups visited, as identified by the

Internet protocol address assigned to

each computer, as well as information

on the date and time of the web site or

news group access.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301 and section 12(b)(3) of

the Commodity Exchange Act, 7 U.S.C.

16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

The records are used by CFTC

network administrators for maintenance

of the firewall system that protects the

CFTC from unauthorized access to its

data. The network administrators may

also use the information to evaluate the

level of use of the agency’s Internet

browsing capability. See also the

Commission’s ‘‘General Statement of

Routine Uses,’’ Nos. 1, and 2, Privacy

Act Issuances, 1995 Comp. Records may

also be disclosed as necessary to the

agency’s Internet service provider or

agency contractor to the extent the

information is necessary for

maintenance of the agency’s Internet

access.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are kept on the software

maintained on the firewall gateway

server in the headquarters computer

room. In addition, a record of the

Internet browsing done on each

computer is maintained on that PC. The

length of time of storage on the firewall

gateway server is governed by available

disk space on the server. At current

levels of browsing usage, the

information is stored on the server for

approximately three days. Information

on web sites visited by each PC is also

stored in the PC’s history file or cache

directory. The information is stored on

the individual PC until the cache

directory consumes 1% of total disk

space. Oldest items are then removed

until the directory is equal to or less

than 1% of the total disk space. History

file records are maintained until 100

URLs are entered. (URL stands for

‘‘Uniform Resource Locator’’ and is the

address of the site visited, for example,

http://www.cftc.gov.) The oldest URLs

are deleted until the total URL count is

equal to or less than 100 entries.

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
44460 Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices

computer, as identified by Internet

protocol address.

SAFEGUARDS:

Network administrators, through use

of a password protection, have access to

the Internet web browsing system

information that is stored on the firewall

gateway server in the headquarters

computer room. Access to the computer

room is limited to OIRM employees.

The Director of OIRM may grant the

Commission’s Internet service provider

access to the Internet web browsing

system information for maintenance

purposes. However, the provider would

not have access to the information that

links Internet protocol addresses to

particular computers, locations and

individuals.

RETENTION AND DISPOSAL:

Records are retained on the

Commission’s firewall software for

approximately three days, then over

written.

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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street

NW., Washington, DC 20581.

RECORD ACCESS PROCEDURES:

See ‘‘Notification Procedures’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedures’’ above.

RECORD SOURCE CATEGORIES:

Internet, web site and news group

browsing, web site access.

CFTC 37

SYSTEM NAME:

Lexis/Westlaw Billing Information

System.

SYSTEM LOCATION:

Office of Information Resources

Management, Three Lafayette Centre,

1155 21st Street NW., Washington DC

20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

All CFTC employees and on-site

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 and section 12(b)(3) of

the Commodity Exchange Act, 7 U.S.C.

16(b)(3).

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

Records are used primarily by the

Administrative Officer, OIRM, to

monitor expenditures and to ensure the

availability of funds. The records

containing usage information are

distributed monthly to the

administrative officers in each office for

their confirmation that Lexis/Westlaw

use was authorized. See the

Commission’s ‘‘General Statement of

Routine Uses,’’ Nos. 1 and 2, Privacy

Act Issuances, 1995 Comp. Lexis/

Westlaw can also access the information

and uses it for statistical analysis and

billing purposes.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Billing information is maintained by

the Administrative Officer, OIRM, in a

locked file drawer.

RETRIEVABILITY:

By division, by month of use, by

database accessed, by user name and

user identification number. Retrieval is

done manually.

SAFEGUARDS:

Billing information is kept in locked

desks at all times. Information is

provided only to the Administrative

Officer, OIRM, and is circulated to the

administrative officer for each office.

RETENTION AND DISPOSAL:

Hard copies of monthly billing

statements are retained for two years,

then destroyed.

SYSTEM MANAGER(S) AND ADDRESS:

Administrative Officer, Office of

Information Resources Management,

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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street

NW., Washington, DC 20581.

RECORDS ACCESS PROCEDURES:

See ‘‘Notification Procedures’’ above.

CONTESTING RECORD PROCEDURES:

See ‘‘Notification Procedures’’ above.

RECORDS SOURCE CATEGORIES:

Lexis/Westlaw billing information.

CFTC 38

SYSTEM NAME:

Automated Library Circulation

System.

SYSTEM LOCATION:

Library, Commodity Futures Trading

Commission, Three Lafayette Centre,

1155 21st Street, NW., Washington, DC

20581.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

Individual CFTC employees who

check out books and periodicals from

the CFTC 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:

The Library staff uses the information

to track the location of library materials,

to provide users on request with a list

of materials currently shown as in their

possession, and to issue, as necessary,

overdue notices for materials. See the

Commission’s ‘‘General Statement of

Routine Uses,’’ Nos. 1 and 2, Privacy

Act Issuances, 1995 Comp. The records

may also be disclosed as necessary to

agency contractors in connection with

assessment, modification or

maintenance of the automated

circulation system.
Federal Register / Vol. 62, No. 162 / Thursday, August 21, 1997 / Notices 44461

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Records are stored on the CFTC local

area network file server. Records on the

identifying bar codes assigned to

individuals are stored in the file server

and on rolodex cards.

RETRIEVABILITY:

Records are retrievable by employee

name or by the employee’s bar code

number.

SAFEGUARDS:

Records may be accessed only by

authorized CFTC staff members, who

are principally staff of the Library or the

Office of Information Resources

Management. Staff members must use

an individual password to gain access to

the information stored in the computer.

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:

Administrative Librarian, Commodity

Futures Trading Commission, 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

FOI, Privacy and Sunshine Acts

Compliance Staff, Commodity Futures

Trading Commission, 1155 21st Street

NW., Washington, DC 20581.

RECORDS ACCESS PROCEDURES:

See ‘‘Notification Procedures’’ above.

CONTESTING RECORDS PROCEDURES:

See ‘‘Notification Procedures’’ above.

RECORDS SOURCE CATEGORIES:

Library user bar code identifiers;

library materials use; overdue notices.

Issued in Washington, DC, on August 14,

1997, by the Commission.

Jean A. Webb,

Secretary of the Commission.

[FR Doc. 97–22050 Filed 8–20–97; 8:45 am]

BILLING CODE 6351–01–P

DEPARTMENT OF DEFENSE

Office of the Secretary

Submission for OMB Review;

Comment Request

ACTION: Notice.

The Department of Defense has

submitted to OMB for clearance, the

following proposal for collection of

information under the provisions of the

Paperwork Reduction Act (44 U.S.C.

Chapter 35).

Title and OMB Number: Stars and

Stripes Audience Survey; OMB Number

0704–0314.

Type of Request: Reinstatement.

Number of Respondents: 3,000.

Responses per Respondent: 1.

Annual Responses: 3,000.

Average Burden per Response: 24

minutes.

Annual Burden Hours: 1,200.

Needs and Uses: This information

collection requirement is necessary to

evaluate current Stars and Stripes

newspaper policies and practices, and

provide information on demographics

and consumer habits of Stars and

Stripes readers for use in marketing

initiatives. Respondents are Department

of Defense civilian employees and their

families living in areas served by the

Stars and Stripes readership. As the last

similar survey was conducted in 1990,

no current information exists on reader

demographics, preferences, opinions,

and purchasing habits. This information

will assist in evaluating current policies

and practices, provide guidance on

potential changes in current activities,

and guide future activities in the areas

of circulation and advertising.

Affected Public: Individuals or

households.

Frequency: Triennially.

Respondent’s Obligation: Voluntary.

OMB Desk Officer: Mr. Edward C.

Springer.

Written comments and

recommendations on the proposed

information collection should be sent to

Mr. Springer at the Office of

Management and Budget, Desk Officer

for DoD, Room 10236, New Executive

Office Building, Washington, DC 20503.

DOD Clearance Officer: Mr. Robert

Cushing.

Written requests for copies of the

information collection proposal should

be sent to Mr. Cushing, WHS/DIOR,

1215 Jefferson Davis Highway, Suite

1204, Arlington, VA 22202–4302.

Dated: August 15, 1997.

Patricia L. Toppings,

Alternate OSD Federal Register Liaison

Officer, Department of Defense.

[FR Doc. 97–22141 Filed 8–20–97; 8:45 am]

BILLING CODE 5000–04–M

DEPARTMENT OF DEFENSE

Department of the Army

Record of Decision for the

Environmental Impact Statement (EIS)

for Proposed Western Army National

Guard Aviation Training Site

Expansion, Arizona

AGENCY: Department of the Army, DoD.

ACTION: Notice of availability.

SUMMARY: The Record of Decision (ROD)

was signed on July 31, 1997.

The decision made in the ROD was to

implement the proposed action and a

series of mitigation measures to

minimize the environmental impacts of

this action. The proposed action

consists of three components: (1)

Increase the size of the original Tactical

Flight Training Area (TFTA) to improve

training, enhance training safety

through reduced training congestion,

allowing limited ground training

support activities, and to reduce noise

and environmental impacts through

closing some parts of the existing TFTA;

(2) increase the number of helicopter

gunnery training operations through

construction of new ranges or

modification to existing ranges; and (3)

construct new facilities for housing,

training, maintenance and to comply

with changing environmental

requirements.

ADDRESSES: Copies of the ROD will be

mailed to individuals who participated

in the public scoping process. Copies

will also be sent to Federal, State,

regional, and local agencies; interested

organizations and agencies; and public

libraries. Individuals not currently on

the mailing list may obtain a copy by

request.

FOR FURTHER INFORMATION CONTACT:

The EIS Project Officer, Captain Ron

Skaggs, Environmental Officer, Arizona

Army National Guard, 5636 East

McDowell Road, Phoenix, Arizona

85008–3495 or telephone (602) 267–

2742.

Dated: August 14, 1997.

Raymond J. Fatz,

Deputy Assistant Secretary of the Army,

(Environment, Safety, and Occupational

Health), OASA (I, L&E).

[FR Doc. 97–22186 Filed 8–20–97; 8:45 am]

BILLING CODE 3710–08–M