Privacy Act: [CFTC-9]...

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   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 loose-leaf 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 (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 cross-indexed 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 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.

   #.. 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.
       c. Certain information will be provided, as required by law, to 
   the Office of Child Support Enforcement, Administration for Children 
   and Families, Department of Health and Human Services Federal Parent 
   Locator System (FPLS) and Federal Tax Offset System to enable state 
   jurisdictions to locate individuals and identify their income sources 
   to establish paternity, establish and modify orders of support, and 
   for enforcement action.
       d. Certain information will be provided, as required by law, to 
   the Office of Child Support Enforcement for release to the Social 
   Security Administration for verifying social security numbers in 
   connection with the operation of the FPLS by the Office of Child 
   Support Enforcement.
       e. Certain information will be provided, as required by law, to 
   the Office of Child Support Enforcement for release to the Department 
   of Treasury for purposes of administering the Earned Income Tax 
   Credit Program (Section 32, Internal Revenue Code of 1986) and 
   verifying a claim with respect to employment in a tax return.
     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

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