System of Record Notices

A System of Record Notice (SORN) is the notice published in the Federal Register upon the establishment and/or modification of a system of records describing the existence and character of the system.  A SORN identifies the system of records, the purpose(s) of the system, the authority for maintaining the records, the categories of records maintained in the system, the categories of individuals about whom records are maintained, the routine uses to which the records are subject, as well as additional details about the safeguards in place to protect the records. A system of records is a group of records under the control of a Federal agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual (such as name, employee number, social security number, etc.).

Exemptions

The Privacy Act includes provisions that allow Federal agencies to claim exemptions from certain requirements in the statute.  A SORN is marked as “exempted” if the CFTC has claimed exemptions for the particular system of records.

Disclosures

Pursuant to the Privacy Act at 5 U.S.C. § 552a(e)(4)(d), Federal agencies are required to publish in the Federal Register each routine use of the records contained in the system, including the categories of users and purpose of such use.

The full texts of the SORNs can be consulted by clicking on the respective link. An asterisk indicates whether routine uses are listed in the CFTC’s separate list of blanket routine uses .

SORNs Related to CFTC’s Mission, including Regulatory and Enforcement Functions

CFTC-1 , Enforcement Matter Register and Matter Indices* (Exempted) 76 FR 5973
This system contains an index and registry of enforcement investigations, including but not limited to: the date opened; docket number and/or matter name; the disposition and status; the date closed; the staff member assigned; and recommendations regarding opening and closing investigations.

CFTC-2 , Commission Correspondence Files* 76 FR 5973
This system contains correspondence maintained by various Commission offices, including but not limited to email, internet, and web-based correspondence submitted by the public and internal reports and memoranda related to correspondence.

CFTC-3 , Docket Files for Reparations and Administrative Adjudication* 76 FR 5973
This system contains all pleadings, motions, applications, stipulations, affidavits, transcripts, and documents that are part of an administrative or reparations proceeding, in addition to related correspondence and indices.

CFTC-10 , Investigatory Records* (Exempted) 76 FR 5973
This system contains records compiled for law enforcement purposes and may include all or any part of the records developed during an investigation of violations or potential violations of the Commodity Exchange Act.

CFTC-12 , National Futures Association (NFA) Applications Suite System (Exempted) 84 FR 17811
This system contains records held by NFA on behalf of the CFTC by delegated authority, including records pertaining to the fitness of individuals or firms to engage in business activities that are subject to the Commission’s jurisdiction.

CFTC-13 , Interpretive, Exemptive, and No-Action Files* 76 FR 5973
This system includes records related to requests for interpretive, exemptive, and no-action letters, supplemental correspondence, any related internal memoranda, and other supporting documents, and responses to the requests that are submitted to the Commission regarding the provisions of the Commodity Exchange Act or the related regulations.

CFTC-15 , Enterprise Surveillance, Oversight & Risk Monitoring System* 77 FR 58814
This system includes records related to the Commission’s monitoring of the commodity futures and swaps markets, performance of various commodity futures and swaps market analyses, review of activities of registered entities for compliance with the Commodity Exchange Act and Commission regulations, and surveillance on both intra- and inter-exchange and across side-by-side electronic trading platforms.

CFTC-16 , Enforcement Case Files* 76 FR 5973
This system includes public papers filed by or with the Commission or courts in connection with administrative proceedings or injunction actions brought by the Commission. This system may include copies of complaints, motions filed, exhibits, and final decisions and orders.

CFTC-17 , Litigation Files-OGC* 76 FR 5973
This system includes public papers filed in litigation involving administrative proceedings before the Commission; Federal court cases in which the Commission is a party; litigation where the Commission is participating as amicus curiae; and other cases involving issues of concern to the CFTC, whether brought by other law enforcement and regulatory agencies or private parties.

CFTC-18 , Logbook on Speculative Limit Violations* 76 FR 5973
This system includes records that contain a sequential listing, by year, of the possible violations and confirmed violations of speculative limits imposed by the Commission and the exchanges. The logbook records, among other information, the date notification is sent to traders and/or exchanges, the due date for reply, and the date the response is received.

CFTC-20 , Registration RETIRED 79 FR 58751

CFTC-28 , Self-Regulatory Organization Disciplinary Action Files RETIRED 79 FR 58751

CFTC-29 , Reparations Cases Closed in the Complaints Section* 76 FR 5973
This system includes records related to reparations complaints, answers, supporting documentation, and correspondence filed with the CFTC Office of Proceedings.

CFTC-30 , Open Commission Meetings* 76 FR 5973
This system includes records related to individuals who are the subject of discussion at a Commission meeting open for public observation.

CFTC-31 , Closed Commission Meetings (Exempted)* 76 FR 5973
This system includes records about individuals who are the subject of discussion at a closed Commission meeting. Information may include but is not limited to investigatory material compiled for law enforcement purposes whose disclosure the Commission has determined could impair the effectiveness of the Commission’s regulatory, enforcement, and contract market surveillance programs or investigations.

CFTC-39 , Freedom of Information Act Requests 83 FR 34123
This system includes records related to requests, internal memoranda, response letters, appeals of denials, appeal determinations, and electronic tracking data regarding Freedom of Information Act requests submitted to the Commission.

CFTC-40 , Privacy Act Requests 83 FR 34123
This system includes records related to requests, internal memoranda, response letters, appeals of denials, appeal determination, and electronic tracking data regarding Privacy Act requests submitted to the Commission.

CFTC-41 , Requests for Confidential Treatment 76 FR 5973
This system includes records related to requests for confidential treatment, documents for which confidential treatment is requested, and electronic tracking data.

CFTC-42 , Debt Collection Files 76 FR 5973
This system includes records related to CFTC debt collection efforts, which generally includes records of collection made; notice to the debtor requesting payment; credit reports; reports of asset searches; copies of income tax returns; financial statements reflecting the net worth of the debtor; the basis on which the debt was terminated or compromised; and referrals to other government agencies for further collection actions.

CFTC-43 , Visitor Information System 76 FR 5973
This system includes information needed to verify the identity of visitors to the Commission which may include: personal identity records such as driver’s license, passport, or Federal or Military identification; number of the printed badge issued; location, date and time of entry; company affiliation of visitor; name and phone number of the employee visited; and the purpose of the visit.

CFTC-45 , Comments Online 84 FR 17816
This system includes records related to incoming comments or other input to the Commission in response to proposed rules, industry filings, or other Commission request for comments associated with Commission rules, policies, or procedures provided to the Commission via the web form on the http://www.cftc.gov site, electronic mail, facsimile or postal mail.

CFTC-49 , Whistleblower Records (Exempted) 77 FR 41378
This system includes the records related to the whistleblower tip, complaint, or referral submission process, investigation or inquiry, and whistleblower award claim and determination process. The system also contains internal memoranda and declarations of Commission staff, correspondence and other miscellaneous investigatory records; correspondence with other law enforcement agencies concerning the referral of the whistleblower information and other related actions; and statements by witnesses.

CFTC-50 , LabCFTC 83 FR 104
This system includes records related to individuals who submit requests, inquiries, and other communications to CFTC through LabCFTC. LabCFTC facilitates communication between CFTC and interested parties to encourage responsible fintech and accelerate Commission engagement with fintech solutions with potential to enhance CFTC’s ability to carry out its mission responsibilities.

CFTC-53 , Mailing, Event, and General Contact Lists 84 FR 17814
The information in this system is used by CFTC staff members to facilitate events, educate customers, industry members, and financial regulators (both domestic and foreign), correspond with members of the public, and respond to requests for information.

SORNs Related to CFTC’s Employees and Contractors

CFTC-4 , Employee Leave, Time, and Attendance, CONSOLIDATED INTO CFTC-5 81 FR 67327

CFTC-5 , Employee Personnel, Payroll, Time, and Attendance* 81 FR 67327
This system contains certain personnel records related to telework; requests for reasonable accommodation; student loan repayment program documentation; employee counseling; grievances and other employee matters not appealed to the Merit Systems Protection Board (MSPB); records related to payroll; pay deductions for taxes, benefits, garnishments, and other matters; all forms of leave and absences; and time and attendance.

CFTC-6 , Employee Travel and Transportation Records 76 FR 5973
This system includes travel and transit subsidy records, including but not limited to employee’s travel request and reimbursement records, itineraries, purposes of travel, dates, expenses, and information concerning the amount of money received as a transit subsidy.

CFTC-8, Employment Applications, WITHDRAWN 81 FR 67331

CFTC-9 , Emergency Locator System* 76 FR 5973
This is an emergency contact system that contains the Commission’s organizational structure and telephone numbers of Commission employees and contractors. In addition, the system maintains the names, home addresses, home telephone numbers, and personal email addresses of staff members’ emergency contacts.

CFTC-14 , Commodity Futures Trading Commission Alumni Records* 76 FR 5973
This system includes records about former Commission employees and contractors to allow the Commission to maintain contact with them, including but not limited to name, position, title, office address, telephone number, and with the individual’s approval, home and/or business address, home and/or business telephone number, email address, and other contact information.

CFTC-32 , Office of the Inspector General Investigative Files* (Exempted) 76 FR 5973
This system includes records relevant to investigations conducted by the Office of the Inspector General, including but not limited to information regarding individuals who are part of an investigation pertaining to fraud and abuse concerning Commission programs and operations, internal staff memoranda, copies of all subpoenas issued during the investigation, affidavits, witness statements, and transcripts of testimony.

CFTC-33 , Electronic Access Card* 76 FR 5973
This system includes records showing the name of the assigned CFTC user, electronic access card number, access level, and status.  It also includes card activity information, including time and location of use by card holder.

CFTC-34 , Telecommunications Services (BlackBerry or Calling Card), CONSOLIDATED INTO CFTC-35 76 FR 5973

CFTC-35 , General Information Technology Records* 81 FR 67327
This system includes certain records that CFTC computer systems routinely compile and maintain about users of those systems to enable the information technology (“IT”) network to operate and function effectively, reliably, and securely, including but not limited to: network user information, network activity information including activity logs, audit trails, identification of devices used to access CFTC systems, Internet sites visited, and information input into sites visited.

CFTC-36 , Internet Security Gateway Systems (Firewall, Web Content Filter, and E-mail Filter), CONSOLIDATED INTO CFTC-35 81 FR 67327

CFTC-37 , Lexis/Westlaw Billing Information System* 76 FR 5973
This system includes records of the name, search subject, database searched, date, elapsed time, type of charge, and total charge for a search in the Lexis and Westlaw automated research systems.

CFTC-38 , Automated Library Circulation System* 76 FR 5973
This system includes records showing the bar code assigned to individuals who use the library and the title, due date, and hold information on library material checked-out by Commission employees as well as records of overdue materials and correspondence with employees concerning overdue materials.

CFTC-44 , Personnel Clearance System 77 FR 41378
This system includes records related to security clearances of individuals who require regular access to the Commission facilities, information technology systems, or information classified in the interest of national security, including applicants, current and former employees, contractors, students, interns, and volunteers.

CFTC-46 , Lost, Stolen, Damaged, or Destroyed CFTC Property 77 FR 2048
This system includes records related to submissions of the Lost, Stolen, Damaged, or Destroyed CFTC Property forms, including details concerning the loss, theft, damage, or destruction of property; evidence and records collected from the individual submitting the form; notes and records related to determination of whether to approve the claim; and, if applicable, records related to an appeal.

CFTC-47 , Internal Electronic Collaboration Tools 77 FR 2048
This system contains records in CFTC’s internal collaboration tools, e.g., Microsoft SharePoint, including but not limited to a staff member’s title, business and personal contact information, and organizational chart and hierarchy information.

CFTC-48 , Personal Property Claims 77 FR 41378
This system contains records related to the CFTC Personal Property Claims forms and process, including the information concerning the damage or loss of personal property, copies of police reports, and other information which may be needed for or is related to CFTC review and determination of whether to pay the claim and the amount of the claim.

CFTC -51 , Contractors and Consultants 83 FR 5997
This system includes information about individuals who have contracted with the CFTC to provide various supplies and services. Collection of this information is necessary to accurately document, award, and manage contractor and consultant arrangements throughout the procurement lifecycle.

CFTC -52 , Training Records 83 FR 23433
This system contains information collected from individuals who participate in or assist with CFTC training. This system provides CFTC with a means to track training registrations, scheduling, scores, completions, and other training metrics to assess the effectiveness of training and facilitate the compilation of statistical information about training.

CFTC-54, Ensuring Workplace Health and Safety in Response to a Public Health Emergency 85 FR 60981
This system maintains records necessary to assist the CFTC with maintaining a safe and healthy workplace and to protect CFTC staff working on-site from risks associated with a public health emergency, such as a pandemic or epidemic.