Privacy Act: [CFTC-9]...

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   #....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.
     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 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 

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