cftc records disposition schedule

8/2/2019 CFTC Records Disposition Schedule

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Records Disposition Schedule Page 1 of 22

COMMODITY FUTURES TRADING COMMISSIONRECORDS DISPOSITION SCHEDULE

Office RcrdCode

Name of Record Description of Record Perm orTemp

Authorized Disposition DispositionAuthority

Medium

CFTC- Wide FilesALL 100 Office

OrganizationFiles

Organization and functional charts, staffing andassignment documents.

Temporary Destroy when superseded,obsolete, or no longer needed.

N1.180.00.1-100 Paper

ALL 101 Reading orChronologicalFiles

Copies of correspondence, memos, etc.,maintained by originating office for reference.

Temporary Destroy 1 year after end of FYor when reference value hasended

N1.180.00.1-101 Paper

ALL 102 Individual orStaff WorkingPapers

Project background records such as drafts,studies, analyses, notes, etc., used to createthe paper record copy of a document.

102a a. Paper version Temporary Destroy 6 months after finalaction or 3 years aftercompletion of report if no finalaction is taken.

N1.180.00.1-102a

Paper

102b b. Electronic version used to produce paperworking or final documents.

Temporary Destroy within 180 days afterthe recordkeeping copy hasbeen produced or when nolonger needed.

N1.180.00.1-102b

Electronic

ALL 103 Program SubjectFiles

Program correspondence, interoffice and interagency memos, reports, studies, proposals, and related materials dealing with CF TCprogram matters.

103a a. Records documenting the programs of theCFTC, which are not sent to the central fi les ofthe Chairman or Commissioners.

Permanent Offer to NARA in 10 year blockswhen 20 years old.

N1.180.00.1-103a

Paper

ALL 104 AdministrativePolicies andProcedures

Records include Commission-wide, Division-specific, or Office-specific administrativeoperating policies and procedures, which may

clarify, supplement, or interpret Federal lawsand regulations. Policies and procedures maybe distributed as instructions, advisories,memos, notices, or orders. This item does notinclude policies and procedures related to theagency mission. The Division or Officeresponsible for promulgating a policy orprocedure is responsible for maintaining therecord copy.


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Office RcrdCode



Medium

104a a. Human resources-related policies andprocedures.

Temporary Close file when policy orprocedure is superseded orcancelled. Destroy/delete 6years after closed.

N1.180.09.1-2a Medianeutral

104b b. All other policies and procedures. Temporary Close file when policy orprocedure is superseded orcancelled. Destroy/delete 2years after closed.

N1.180.09.1-2b Medianeutral

104c c. Policies and procedures not finalized. Temporary Destroy/delete 3 years afterdevelopment abandoned

N1.180.09.1-2c Medianeutral

ALL 105 Publications Pamphlets, reports, manuals, and otherpublished documents


N1.180.00.1-105 Paper

ALL 106 OrganizationalFiles

Official organizational charts, narrativehistories, functional charts, and related recordsthat document the organization and function ofthe CFTC.


N1.180.00.1-106 Paper

ALL 107 RecurringManagementReports

Internal management reports, including

monthly reports, Quarterly Objectives, GPRAand strategic planning documents andmanagement tools (other than budgetdocuments.)

Temporary Destroy when 3 years old or no

longer needed, whichever islonger.

N1.180.00.1-107 Paper

ALL 108 Rules andRegulations File

Working documents of briefs, drafts and otherdocuments pertaining to preparation, reviewand clearance of CFTC rules and regulations

Temporary Destroy when 5 years old. N1.180.00.1-108 Paper

ALL 109 Conference andMeetingDocuments

Agendas, speeches, and minutes ofprofessional or educational meetings.

ALL 109a a. Sponsored by CFTC Temporary Destroy 5 years after meeting, N1.180.00.1-109a

Paper

ALL 109b b. Attended by CFTC staff Temporary Destroy 2 years after meetingor when no longer needed,whichever is longer.

N1.180.00.1-

109b

Paper

ALL 110 Time andAttendanceRecords

Timesheets, leave applications, overtimeauthorizations, and supporting documentation.Also includes records used to input time andattendance data into the payroll system.

Temporary Cut off files at the end of eachpay year. Transfer to offsitestorage when 2 years old.Destroy when 6 years old.

GRS 6, Items 7& 8

Paper,Electronic

ALL 111 Travel Records Records include original vouchers andsupporting documents covering commercialfreight and passenger transportation chargesof settled fiscal accounts, including registersand other control documents.

Temporary Destroy when 6 years old. GRS 9, Item 1a Paper,Electronic


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Office RcrdCode



Medium

ALL 112 Contracting,Procurement andCOTR Files

Records include), specifications, bids,schedules of delivery, requisitions,authorizations, contracts and modifications,and records of receipt, inspection, and

payment.

GRS 3, Item3a1(a), 3a1(b)and 5c1

Paper,Electronic

112a Records for procurements over the FARsimplified acquisition threshold of $2,500.

Temporary Destroy 6 years and 3 monthsafter final payment.

112b Records for procurements at or below the FARsimplified acquisition threshold of $2,500,including US Govt. Purchase Cardpurchases.

Temporary Destroy 3 years after finalpayment.

112c CancelledSolicitations

Formal solicitations (e.g. Invitations for Bids,RFPs, RFQs), which were cancelled prior toaward of a contract. Files include pre-solicitation documentation on the requirement,any offers that were opened prior to thecancellation, documentation on any

Government action up to the time ofcancellation, and evidence of the cancellation.

Temporary Destroy 5 years after date ofcancellation.

ALL 113 SupervisorsPersonnel Files

Files contain correspondence, forms, and otherrecords relating to positions, authorizations,pending actions, position descriptions,requests for personnel action, and records onindividual employees duplicated in or notappropriate for the official personnel file (OPF).NOTE: This item does not apply to the OPFmaintained by OHR.

Temporary Destroy within 1 year afteremployees separation ortransfer.

GRS 1, Item 18a Paper,Electronic

ALL 114 TransitoryRecords

Records of short-term interest such as: Routine requests for information and

copies of replies that require no

administrative action, policy decision orspecial research to reply; Originating & receiving office copies of

letters of transmittal that dont add info tothe transmitted material;

Quasi-official memos, such as notices ofholidays or charity events;

Routine reminders and scheduling recordsthat contain no other information

Task lists, suspense and tickler files

Temporary Destroy immediately or whenno longer needed for reference.

GRS 23, Item 7 Paper,Electronic


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Office RcrdCode



Medium

ALL 115 OfficeAdministrativeFiles

Records accumulated by individual offices thatrelate to the internal administration orhousekeeping activities of the office rather thanthe functions for which the office exists.

Records included document officeorganization, staffing, communications,expenditure of funds. Also includes copies ofinternal activity reports (including thoseprepared in the office an forwarded to higherlevels) and other materials that do not serve asunique documentation of the programs of theoffice.

Temporary. Destroy when 2 years old. GRS 23, Item 1 Paper,electronic

Office of the Inspector General FilesOIG 200 OIG Audit Case

FilesCase files of internal audits of agencyprograms, operations, and procedures and ofexternal audits of contractors and grantees.

Paper

200a a. Case files of significant value, i.e., those that

involve as subjects the Chairman,Commissioners, Division Directors, or OfficeHeads, substantive changes in agency policy,or investigations that draw national mediaattention.

Permanent Offer to NARA when 10 years

old.

N1.180.00.1-

200a

Paper

200b b. All other case files not covered by item a. Temporary Destroy 20 years after FY inwhich audit is completed.

N1.180.00.1-200b

Paper

OIG 201 OIG InvestigationCase Files

Investigations of agency employees orcontractors and grantees in response to hotlineor other requests.

Temporary Destroy 20 years after FY inwhich investigation iscompleted.

N1.180.00.1-201 Paper

OIG 202 OIG Index toInvestigations

Database Index to OIG Investigations CaseFiles

Temporary Destroy 20 years after FY inwhich investigation iscompleted.

N1.180.00.1-202 Electronic

OIG 203 Semi-AnnualReport toCongress

Report to Chairman and Congresssummarizing activities of the OIG, inaccordance with Sect. 5 of the IG Act.

Permanent Offer to NARA in 10 year blockswhen 20 years old. N1.180.00.1-203 Paper


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Office RcrdCode



Medium

Administrative Support FilesOMO 294 Personnel

ClearanceRecords

Records document the processing andmaintenance of background investigations oncurrent or prospective employees andcontractors, including volunteers and interns.Records include but are not limited to casefiles, copies of SF 312, and the PersonnelClearance System (PCS).NOTE: These records are covered underPrivacy Act System of Records Notices CFTC-44 and OPM/Central-9. These records containsensitive personally-identifiable information(PII). See the Safeguarding PII policy formore information about security and storage.

Temporary Cut off files upon employeeseparation, transfer orexpiration of contractrelationship. Destroy uponnotification of death or not laterthan 5 years after separation ortransfer of employee or not laterthan 5 years after contractrelationship expires, whicheveris applicable.

GRS 18, Item22a

Medianeutral

OMO/OHR

295 ClassifiedInformationNondisclosure

Agreements

Records include nondisclosure agreements,such as SF 312 Classified InformationNondisclosure Agreement, signed by

employees with access to information that isclassified under standards put forth byExecutive orders governing securityclassification. These forms should bemaintained separately from personnel securityclearance files. For civilian employees, theseforms may be filed on the right side of theemployees official personnel file (OPF).NOTE: These records are covered underPrivacy Act System of Records NoticesOPM/Govt-1. These records contain sensitivepersonally-identifiable information (PII). Seethe Safeguarding PII policy for more

information about security and storage.

Temporary File original copies ofagreements in the employeesOPF.

GRS 18, Item25b

Medianeutral

OMO 296 Badging andSecurity SystemRecords

Records document the issuance, tracking, and deactivation of staff badges and electronic security cards. Records may include butare not limited to reconciliation reports, badge forms, and data in the badging system.

296a a. Monthly badging and security systemreconciliation reports.

Temporary Close file at the end of fiscalyear. Destroy/delete when 2years old.

N1.180.09.1-3a Medianeutral

296b b. Badge forms. Temporary Destroy/delete employee forms90 days after employeeseparates from Commission.

N1.180.09.1-3b Medianeutral


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Office RcrdCode



Medium

296c c. Badging system data. Temporary Destroy/delete employee record90 days after employeeseparates from Commission.

N1.180-.09.1-3c Medianeutral

OHR 297 Administrative

Grievance,Disciplinary, andAdverse ActionFiles

Records consist of case files relating to

grievances raised by employees (except EEOcomplaints) and adverse actions andperformance-based actions againstemployees.NOTE: These records contain sensitivepersonally-identifiable information (PII). Seethe Safeguarding PII policy for moreinformation about security and storage.

Temporary Transfer to offsite storage when

volume warrants. Destroy 7years after case closed.

GRS 1, Item 30 Media

neutral

OITS 298 Information System Development and Maintenance Records298a Development

documentationIncludes test plans, requirements andspecifications, quality assurance plans, qualityguidelines, configuration management plans,detailed design documents, use cases, and

other related materials.

Temporary Destroy/delete 1 year aftersystem is superseded orobsolete.

GRS 20, Item11a1

Medianeutral

298b System monitoringand maintenancedocumentation

Includes logs created to test systemperformance. Also includes logs to monitorsystem usage, such as log-in fi les, passwordfiles, audit trails, and system usage files.

Temporary Destroy/delete when no longerneeded for administrative, legal,audit, or other operationalpurposes.

GRS 20, Items1a & 1c

Medianeutral

298c User manuals,handbooks andguidestemporary records

Includes user manuals, handbooks, and guidesfor records and data, which are scheduled astemporary records.

Temporary Destroy/delete whensuperseded or obsolete.

GRS 20, Item11a1

Medianeutral

298d User manuals,handbooks andguidespermanentrecords

Includes user manuals, handbooks, and guidesfor records and data, which are scheduled aspermanent records.

Permanent Transfer to NARA with thepermanent electronic records towhich the documentationrelates.

GRS 20, Item11a2

Medianeutral

OHR 299 Telework Records299a Approved

requestsRequests, agreements, safety checklists,notifications of agreement termination, andother related records.

Temporary Destroy 1 year after the end ofthe employees participation inthe program.

GRS 1, Item 42a Paper,electronic

299b Unapprovedrequests

Requests, agreements, safety checklists, andother related records.

Temporary Destroy 1 year after request isrejected.

GRS 2, Item 42b Paper ,electronic

OITS 300 Long-range ADPPlans

Long-range plans for computer hardware andsoftware support.

Temporary Destroy 5 years after the closeof the period covered by theplan.

N1.180.00.1-300 Paper


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Office RcrdCode



Medium

OHR 301 52 TrackingSystem Reports

Bi-weekly reports prepared on status ofpersonnel actions.

Temporary Destroy 2 years after close ofFY in which report prepared.

N1.180.00.1-301 Paper

OHR 302 Training Records Training materials developed by theCommission.

Temporary Destroy when 10 years old orwhen replaced or no longer

needed for training purposes.

N1.180.00.1-302 Paper,Video tape

Central Commission FilesSect. 303 File Subject

Code and TitleKey to CentralFiles of theChairman andCommissioners

Electronic database containing file title andsubject code keys for documents in CentralFiles of the Chairman and Commissioners(307).

Permanent Offer to NARA with underlyingrecords in 10 year blocks when20 years old.

N1.180.00.1-303 Electronic

Sect. 304a SecretariatCorrespondenceLocator System

a. Electronic database that tracks and indexesdocuments received by the Commission andreferred to other departments for action.


N1.180.00.1-304a

Electronic

304b b. Documentation: Regardless of medium,record layouts, coding sheets/code books,technical description of file. User manuals andany other background information that wouldbe useful or necessary to a researcher usingthe file.

Permanent Transfer a copy of thedocumentation with the file toNARA. Transfer updates andchanges with subsequenttransfer of the file.

N1.180.00.1-304b

Paper,Electronic

Sect. 305 Seriatim Log Chronological listing and locator of all seriatim (sign-off) decisions of the Commission.305a a. Paper version. Permanent Offer to NARA in 10 year blocks

when 20 years old.N1.180.00.1-305a

Paper

305b b. Microfiche and electronic versions. Temporary Destroy when 20 years old or

no longer needed.

N1.180.00.1-

305b

Microfiche,

ElectronicSect. 306a Federal Register

DatabaseLocator System

a. Electronic system that cross referencesFederal Register notices with records inCentral Files (307).


N1.180.00.1-306a

Electronic

306b b. Documentation: Regardless of medium,record layouts, coding sheets/code books,technical description of the file. User manualsand any other background information thatwould be useful or necessary to a researcherusing the file.

Permanent Transfer a copy of thedocumentation with the file toNARA. Transfer updates andchanges with subsequenttransfer of the file.

N1.180.00.1-306b

Paper,Electronic


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Office RcrdCode



Medium

Sect. 307 Central Files ofthe ChairmanandCommissioners

Official documents signed off on by theChairman and Commissioners.


N1.180.00.1-307 Paper,Microfiche

Sect. 308 Records andOfficial Minutesof CommissionMeetings

Staff documents, agendas, supporting documentation presented to Commissioners, meeting transcripts, record of votes and similarmaterial. Sub-categories of records are:

308a a. Microform records308a-1

a.1. Microform records of open and closedmeetings.

Permanent Offer silver halide master, plusone diazo or vesicular copy toNARA in 10 year blocks when20 years old.

N1.180.00.1-308a-1

Microform

308a-2

a.2. Public version microform records of openmeetings.

Permanent Offer silver halide master, plusone diazo or vesicular copy to

NARA in 10 year blocks when20 years old.

N1.180.00.1-308a-2

Microform

308b b. Paper Records Permanent Offer to NARA in 10 year blockswhen 20 years old.

N1.180.00.1-308b

Paper

308c c. Index to records and official minutes ofCommission meetings.

Permanent Transfer with underlyingrecords in 10 year blocks when20 years old.

N1.180.00.1-308c

Electronic

Sect. 309a Tapes ofCommissionMeetings

a. Recordings of open and closed Commissionmeetings.

Permanent Cut off annually. Transferanalog recordings to NARAwhen 10 years old. Pre-accession digital recordings toNARA when 3 years old.Transfer legal custody to NARAwhen 10 years old.

N1.180.00.1-309a (asamended byDAN-180-2011-001)

Medianeutral(AudioTape,DigitalAudiovisual,DigitalAudio)

309b b. Index to recordings. Electronic indexincluding but not limited to the followinginformation: recording dates, brief statement ofmeeting topic, number of tapes to record eachmeeting, and any recording flaws.

Permanent Cut off annually. Pre-accessionto NARA when 3 years old.Transfer legal custody to NARAwhen 10 years old.

N1.180.00.1-309b

Electronic

Sect. 310 Speeches andTestimony

Official speeches and Congressional testimonyon CFTC policies and programs by theChairman and Commissioners.


N1.180.00.1-310 Paper


9/22


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Office RcrdCode



Medium

Investigatory and Litigation FilesProc./Enf.

405 Customer andOfficial InquiryFiles

Responses to letters requesting information onthe reparations program, the short formrecording reparations complaint information

and correspondence regarding complaintsreceived against non-registrants.

Temporary Destroy 3 years after end of theFY.

N1.180.00.1-405 Paper,Electronic

Enf. 406 InvestigatoryFiles

Customer complaints, reparations claims, referrals, interview notes, affidavits, depositions, witness statements, and other relevantdocumentation.

406a a. Investigatory file closed when investigationreaches litigation and matter becomes casefile.

Temporary Investigation becomes case file(see 406b).

N1.180.00.1-406a

Paper,Video,Audio,Diskette

406b b. In matter closed without litigation, (1)transcripts of testimony taken during theinvestigation and all exhibits to suchtranscripts; (2) all official documentsgenerated during the course of the

investigation such as opening and closingreports, formal orders of investigation,subpoenas, requests for confidential treatment,Wells submissions and FOIA requests; (3)other inter- or intra-agency memos andcorrespondence, including important notes ordocuments prepared by staff which staffbelieves should be retained; (4) otherdocuments identified by staff as important toretain; (5) case material which must be helddue to FOIA or Privacy Act concerns.

Temporary Transfer to off-site storage 90days after close of investigation.Destroy/delete 5 years afterclose of investigation.

N1.180.07.1-1 Paper,Video,Audio,Electronic

406c c. If matter is closed without litigation,documents and other materials not material to

the decision to close the investigation (i.e.,materials other than those described in 406b.)

Temporary Destroy or return documents toperson who submitted them to

the Commission within 90 daysafter close of investigation.

N1.180.00.1-406c

Paper,Video,

Audio

Enf. 407 EnforcementInvestigationDatabaseTracking System

Lists status of matters under investigation Temporary Destroy 15 years after close. N1.180.00.1-407 Electronic

Enf. 408 EnforcementCase Files

Correspondence, pleadings, subpoenas, exhibits and all documents relating to persons or companies believed in violation of CFTCregulations or the Act.


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Office RcrdCode



Medium

408a a. Unique enforcement case files selected byCFTC as precedent-setting and that meet oneor more of the following criteria:1. The case was the subject of extensive

litigation.2. The case received widespread news mediaattention.3. The case was reviewed at length in thenarrative portions of the CFTC annual report.

Permanent Break at completion of case.Offer to NARA in 10 year blockswhen 20 years old. Providepaper records, transcripts of

audiotapes and printouts ofelectronic records. Destroyaudio and electronic versionsprior to transfer to NARA.

N1.180.00.1-408a

Paper,Video,Audio,Diskette

408b b. In closed enforcement cases, (1) transcriptsof testimony taken during the investigation andall exhibits to such transcripts; (2) all officialdocuments generated during the course of theinvestigation such as opening and closingreports, formal orders of investigation,subpoenas, requests for confidential treatment,Wells submissions and FOIA requests; (3)

other inter- or intra-agency memos andcorrespondence, including important notes ordocuments prepared by staff which staffbelieves should be retained; (4) documentsthat have been introduced as evidence in aninjunctive or administrative proceeding; (5)other documents identified by staff asimportant to retain; (6) case material whichmust be held due to FOIA or Privacy Actconcerns.

Temporary Transfer to off-site storage 90days after close of case.Destroy/delete 15 years afterclose of case.

N1.180.07.2 Paper,Video,Audio,Electronic

408c c. In closed enforcement cases, documentsand materials not material to the decision toclose the case (i.e., materials other than thosedescribed in 408b.

Temporary Destroy or return documents toperson who submitted them tothe Commission within 90 daysafter close of investigation.

N1.180.00.1-408c

Paper,Video,Audio

Proc. 409 ReparationsComplaint Files

Original case files of reparations cases closedin the complaint section.

Temporary Transfer to off-site storage 3years after FY in which case isclosed. Destroy/delete 10 yearsafter FY in which case isclosed.


OGC 410 OGC LitigationFiles

Pleadings, briefs, hearings, opinions, and correspondence related to litigation CFTC is involved or had interest in.


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Office RcrdCode



Medium

410a a. Routine cases Temporary Transfer to off-site storagewhen 3 years old.Destroy/delete when 15 yearsold.


410b b. Cases selected by CFTC with concurrenceof NARA using the following criteria:1. The case was subject to extensive litigation.2. The case received widespread news mediaattention.3. The case was reviewed at length in thenarrative portion of the CFTC annual report.

Permanent Transfer to off-site storagewhen 3 years old. Offer toNARA in 10 year blocks when20 years old.

N1.180.00.1-410b

Paper

410c c. Attorney working papers.Includes litigation attorney work productincluding drafts, working papers, interviewnotes, legal research material and other interor intra agency memorandum andcorrespondence prepared in support of

litigation of a case at all stages, includinginvestigation, formal litigation, and anysettlement, including papers or other mediaidentified by litigating attorney as important torating as background for a deeperunderstanding of the case and asdocumentation of the attorney work process.

Temporary Transfer to off-site storage 90days after close of litigation.Destroy 5 years after close oflitigation.

N1.180.08.1-410c

Applies torecords inall media

Proc. 411 Original DocketFiles

Reparations and enforcement cases in proceedings before the Administrative Law Judges. Record categories:

411a a. Unique or precedent-setting cases selectedby CFTC that meet the at least one of thefollowing criteria:1. The case was subject to extensive litigation.2. The case received widespread news media

attention.3. The case was reviewed at length in thenarrative portion of the CFTC annual report.

Permanent Transfer to off-site storage 3years after close. Offer toNARA in 10 year blocks when20 years old.

N1.180.00.1-411a

Paper,Audio,Electronic

411b b. Enforcement Cases Temporary Transfer to off-site storage 3years after close. Destroy 15years after close.

N1.180.00.1-411b


411c c. Reparations Cases Temporary Close case after completingappeal. Transfer to off-sitestorage 2 years after close.Destroy 10 years after close.

N1.180.00.1-411c



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Office RcrdCode



Medium

411d d. Docket tracking systems that track status of enforcement and reparations cases.411d.1.

d.1. Enforcement case tracking system Temporary Destroy 10 years after close ofcase.

N1.180.00.1-411d.1

Electronic

411d.

2.

d.2. Reparations case tracking system Temporary Destroy 15 years after close ofcase.

N1.180.00.1-

411d.2

Electronic

OGC 412 Opinion CaseFiles

Options memoranda, draft decisions, andrelated research materials prepared in thedevelopment of Commission opinions inreparation and enforcement cases appealed tothe Commission.

Temporary Transfer to off-site storagewhen 3 years old. Destroy when10 years old.

N1.180.00.1-412 Paper

Program Office FilesDMO,DCIO

500 Records Relatedto Rule Review

Correspondence, copies of proposed rulechanges, decisions memos, and relateddocuments.

Temporary Destroy 10 years after date ofsubmission or when no longerneeded, whichever is longer.

N1.180.00.1-500 Paper

DMO,DCIO,

OGC

501 StaffInterpretative

Letters

Letters responding to public inquiry regarding legal implications of provisions of the Commodity Exchange Act, or requests forinterpretation, or no-action position or an exemption.

501a a. Unique interpretive letters selected by CFTCbecause they set precedent and they weresubject to litigation, received widespreadattention in the legal press, or were reviewed atlength in the Annual Report.


N1.180.00.1-501a

Paper

501b b. All other staff letters Temporary Destroy when 15 years old. N1.180.00.1-501b

Paper

DMO 502 Contract MarketDesignation andRule ChangeReviews

Exchange submissions for contract marketdesignations, rule changes, decisionmemoranda, comment letters, and supportingdocumentation.

Temporary Transfer to off-site storage 3years after vacation ofdesignation. Destroy 20 yearsafter designation is vacated.

N1.180.00.1-502 Paper

DMO 503 Changes to

Terms andConditions ofContracts

Contract market notification to CFTC of minor

modifications in contracts where no CFTCaction is required.

Temporary Destroy 2 years after end of FY. N1.180.00.1-503 Paper


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Office RcrdCode



Medium

NFA 504 Applications forRegistration

Registration applications and relateddocumentation, including supplementaryattachments, correspondence with theapplicant, reports, memoranda regarding

information about applicant. Types ofregistrations include: Futures CommissionMerchants (FCMs), Introductory Brokers (IBs),Commodity Pool Operators (CPOs),Commodity Trading Advisors (CTAs),Leverage Transaction Merchants (LTMs), theirrespective Associated Persons (APs) and FloorBrokers (FBs), Agricultural Trade OptionMerchants and Floor Traders.

Temporary After registrant becomesinactive, records retained atNFA for 2 years, then retainedoff-site for 8 years. Destroy 10

years after registrant becomesinactive or when no longerneeded, whichever is longer.


DCIO/NFA

505 RegistrationFitnessInvestigations

Fingerprint cards and rap sheets for allapplicants. Applications to withdrawregistration and other applications, documentsand investigative reports describing disciplinary

history for applicants subject to investigation orlitigation.

Temporary Destroy 10 years after caseclosed.


NFA 506 RegistrantFinancialReports andDisclosureDocuments

Financial reports filed by FCMs, IBs, LTMs,commodity pools; disclosure documents filedby CPOs and CTAs; report review forms ofaudit branch staff that are not the subject ofinvestigation or litigation.

Temporary Destroy when 5 years old. N1.180.00.1-506 Paper,Electronic

NFA 507 RegistrationDirectories

All alphabetic, geographic, or numericregistration directories.

Temporary Destroy when 40 years old orwhen no longer needed,whichever is longer.

N1.180.00.1-507 Paper,Microform

DCIO 508 FinancialSurveillanceFiles

Audit records consisting of examination workpapers, related correspondence, notices fromregistrants and documentation of ongoingsurveillance activities. Non-routine projects and

analyses relating to enforcement of financial,reporting and recordkeeping rules.

Temporary Destroy work papers andcorrespondence files 5 yearsafter completion of audit unlesslitigation is involved (in which

case file becomes litigation fileunder 408b). Destroycorrespondence file documents5 years after generation unlessdocument relates to currentregistrant/SRO policies andprocedures.

N1.180.00.1-508 Paper

DCIO 509 FinancialExaminationControl Records

Audit branch project control records. Temporary Destroy 6 months after close offiscal year or when no longerneeded, whichever is later.



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Office RcrdCode



Medium

DMO 510 Trade PracticeInvestigations

In-depth report of investigations of tradepractices of a commodity exchange. To includenotes, findings, conclusions and relatedrecords.

Temporary Destroy when 10 years old. N1.180.00.1-510 Paper

511 IntegratedSurveillanceSystem (ISS) &SupportingEnvironment

ISS allows the agency to monitor the daily activities of large traders, key price relationships, and relevant supply and demandfactors. ISS data enables the agency to analyze the composition of the market, such as the participation in the market bycommercial versus non-commercial traders and the open interest held by certain occupational categories. It is also used to detectmarket anomalies. ISS collects and processes daily futures and options position data for large traders from reporting firms (futurescommission merchants, clearing members, and foreign brokers) and daily open interest, volume, price and clearing member datafrom exchanges. This data is further supplemented by collecting and processing related cash market price data f rom a variety ofsources. In addition, identifying information concerning each large trader and reportable account is entered and stored in IS S.

System Input511-1 Data loaded or

keyed into system.Electronic data files and paper and electronicinputs loaded or keyed into the system. Forexample, this item covers the paper orelectronic copies of Forms 40 and 102 that arescanned and uploaded into the system. See

items 511-2 and 511-3 below for retentioninstructions for paper and electronic copies ofForms 40 and 102 not scanned and notuploaded into the system.

Temporary Delete when data have beenentered into the database andverified, or when no longerrequired to supportreconstruction of the database,

whichever is later.

GRS 20, Items2a(4) & 2b

Medianeutral

511-2 Special AccountIdentification (form102) andsupportingdocuments

Includes documents not scanned and notuploaded into the system. Data is required by17 CFR 17.01 to be submitted to theCommission by a futures commissionmerchant, clearing member, or foreign brokerwhen a special account is reported for the firsttime.

Temporary Delete when data for anaccount has not been receivedfor 3 years.

N1-180-09-3,Item 2

Medianeutral

511-3 Statement ofReporting Trader(form 40) and

supportingdocuments

Includes documents not scanned and notuploaded into the system. Data is required by17 CFR 18.04 to be submitted to the

Commission by traders (or their designee)holding reportable positions in response to aspecial call by the Commission for suchdocumentation.

Temporary Delete when data for a traderhas not been received for 10years.

N1-180-09-3,Item 3

Medianeutral

System Content

511-4 Aggregatedclearing memberposition data

Includes electronic data for all futurescombined, no individual strike price orexpiration months. Data is required by 17 CFR16.00 to be submitted to the Commission bythe exchanges each business day for eachclearing member.

Temporary Delete when 5 years old. N1-180-09-3,Item 4

Medianeutral


16/22


Office RcrdCode



Medium

511-5 All other clearingmember positiondata

Includes electronic data required by 17 CFR16.00 to be submitted to the Commission bythe exchanges each business day for eachclearing member.

Temporary Delete when no less than 6months old, or when no longerneeded for business, but nomore than 13 months old.

N1-180-09-3,Item 5

Medianeutral

511-6 Trading volume,open contracts,exchanges offutures, prices,critical dates, andcash price data

Includes electronic data required by 17 CFR 16.01 to be submitted to the Commission bythe exchanges each business day.

Temporary Delete when 10 years old orwhen no longer needed,whichever is longer

N1-180-09-3,Item 6

Medianeutral

511-7 Large traderpositions,deliveries,exchanges offutures, andExemptCommercial

Market (ECM)data

Includes electronic data required by 17 CFR 17.00 and 17 36.3(b)(ii)(A) to be submitted tothe Commission by each futures commissionmerchant, clearing member, and foreign brokereach business day.


Medianeutral

511-8 Special AccountIdentification (form102) andsupportingdocuments

Data entered into system from Special AccountIdentification forms 102, scanned forms 102,and scanned supporting documents.Includesdocuments required by 17 CFR 17.01 to besubmitted to the Commission by a futurescommission merchant, clearing member, orforeign broker when a special account isreported for the first time.

Temporary Delete when data for anaccount has not been receivedfor 3 years.

N1-180-09-3,Item 8

Medianeutral

511-9 Statement ofReporting Trader(form 40) andsupporting

documents

Data entered into system from Statement ofReporting Trader forms 40, scanned forms 40,and scanned supporting documents. Includesdocuments required by 17 CFR 18.04 to be

submitted to the Commission by traders (ortheir designee) holding reportable positions inresponse to a special call by the Commissionfor such documentation.

Temporary Delete when data for a traderhas not been received for 10years.

N1-180-09-3,Item 9

Medianeutral


17/22


Office RcrdCode



Medium

511-10

Data from forms204 and 304

Data entered into system from Statement ofCash Positions forms 204 (grains and soybeanproducts) and 304 (cotton). Includesdocuments required by 17 CFR 19.01 and

19.02 to be submitted routinely (weekly ormonthly) to the Commission by personsholding or controlling certain futures andoptions positions.

Temporary Destroy/delete when 10 yearsold.

N1-180-09-3,Item 10

Medianeutral

511-11

Owner-levelhedge exemptionrequest records

Data and documents entered into systemrelating to hedge exemptions at the ownerlevel. Includes documents required by 17 CFR 1.47 and 1.48 to be submitted to theCommission by persons engaging in hedging.NOTE: See Record Codes 522-1 for theauthorized disposition of documents relating toowner-level hedge exemptions that are notentered into system.

Temporary Destroy/delete when data fortraders under the owner havenot been received for 10 years.

N1-180-09-3,Item 11

Medianeutral

511-12 Trader-levelhedge exemptionrequest records

Data and documents entered into systemrelating to hedge exemptions at the traderlevel. Includes documents required by 17 CFR 1.47 and 1.48 to be submitted to theCommission by persons engaging in hedging.NOTE: See Record Codes 522-2 for theauthorized disposition of documents relating totrader-level hedge exemptions that are notentered into system.

Temporary Destroy/delete when data fortrader has not been received for10 years.

N1-180-09-3,Item 12 Medianeutral

System Output511-13

Market reports Reports generated from ISS data including butnot limited to the Commitments of Tradersreport and the Cotton On-Call report.NOTE: See also Record Code 298d, which

requires that user manuals, handbooks, andguides explaining these reports be transferredto NARA as well.

Permanent Cut off annually. Transfer paperrecords to NARA when 20years old. Pre-accessionelectronic records to NARA

when 3 years old. Transfer legalcustody to electronic records toNARA when 20 years old.

N1-180-09-3,Item 13

Medianeutral

511-14

Bank Participationreports

Aggregate large-trader position data of banksparticipating in various financial and non-financial commodity futures.

Temporary Destroy/delete when 25 monthsold.

N1-180-09-3,Item 14

Medianeutral

511-15

Outputs thatsupport anotherprogrammaticfunction

Outputs, such as printouts or copied, extracted,or merged data generated from ISS thatsupport another programmatic function.

Destroy in accordance withdisposition authority that appliesto records of the otherprogrammatic function.


18/22


Office RcrdCode



Medium

511-16

Ad hoc outputs All other outputs, such as printouts or copied,extracted, or merged data files used for ad hocor one-time inspection, analysis, or review,which do not contain substantive information

not already included in ISS.

Temporary Destroy/delete when no longerneeded for business.

GRS 20, Items 6& 16

Medianeutral

DMO 512 Records Relatingto Deliveries

Consists of two categories of records:

512a a. Reports and correspondence pertaining todefault cases.


N1.180.00.1-512a

Paper

512b b. Correspondence related to deliveries,delivery notices and related work papers.

Temporary Destroy when 5 years old. N1.180.00.1-512b

Paper

DMO 513 Log Book ofSpeculative LimitViolations

Listings and related papers concerningspeculative limit violations.

Temporary Destroy 5 years after end of FY. N1.180.00.1-513 Paper

DMO 515 Special CallRecords

Records include information obtained from traders, brokers, or others as part of special calls authorized by 17 CFR 18.01,18.05, 21.01, and 21.05.

DMO 515-1 Final submissions. Temporary Destroy/delete when 10 years

old.

N1-180-09-3,

Item 20

Media

neutralDMO 515-2 Draft or preliminary submissions. Temporary Destroy/delete after finalsubmission received.

N1-180-09-3,Item 21

Medianeutral

DMO,DCIO

517 Self-RegulatoryOrganizationReviews

Correspondence, interoffice memos, reports,studies, proposals, and related material dealingwith program reviews.

Temporary Close when completed, destroy10 years after close.

N1.180.00.1-517 Paper

DMO,DCIO,NFA

518 DisciplinaryActions

Correspondence, interoffice memos, reports, studies, and related material dealing with exchange disciplinary actions.

518a a. Paper records retained by CFTC Temporary Close when complete, destroy10 years after close.

N1.180.00.1-518a

Paper

518b b. Beginning August 1999, electronic recordskept by NFA.

Temporary Destroy 10 years after close orwhen no longer needed,

whichever is longer.

N1.180.00.1-518b

Electronic

DMO,OCE

519 TradeSurveillanceSystem (TSS)

Record of all cleared trades and time-and-sales data from all domestic commodity exchanges.

519a Original File CTR GLOBEX, Time and Sales, TradeRegister.

Temporary Destroy 10 years after the endof the FY in which the data wassubmitted.

N1.180.00.1-519a

Electronic519b Standard

Formatted FileCTR, GLOBEX, Time and Sales, TradeRegister.


N1.180.00.1-519b

Electronic


19/22


Office RcrdCode



Medium

519c Reports EDBS Reports, End User Extractions, CMECross-Reference Commodity Code File, CBTAccount Mask File, Commodity CodeDescription File, Trade Type Code file.


N1.180.00.1-519c

Paper,Electronic

519d Documentation Metadata Temporary Destroy or delete whensuperseded or obsolete, orupon authorized deletion of therelated system if the output isneeded to protect legal rights,whichever is latest.

N1.180.00.1-519d

Electronic

DCIO 520 RegulatoryStatementReview (RSR)Express

RSR is used to receive and review financial statements submitted to the Commission by registrants called futures commissionmerchants (FCMs) and dually-registered FCM/broker dealers, in accordance with Commission rules.

System Input520a1

Paper inputdocuments

Paper documents source documents, whichare scanned or data entered into RSR.

Temporary Destroy when data have beenentered into database and

verified, or when no longerrequired to supportreconstruction of the database,whichever is later.

GRS 20, Item2a4

Paper

520a2

Electronic inputdocuments

Electronic source documents, which arescanned or data entered into RSR.

Temporary Delete when data have beenentered into database andverified, or when no longerrequired to supportreconstruction of the database,whichever is later.

GRS 20, Item 2c Electronic

System Content520b1

Financialstatement dataand notes

Includes electronic data required by 17 CFR Part 1.10(b) to be submitted to the Commissionby registrants.

Temporary Delete 5 years after thestatement date.

N1-180-09-2,Item 1b1

Electronic

520b2

Edit checkformulas

Temporary Delete when system is nolonger operational.

N1-180-09-2,Item 1b2

Electronic

520b3

Registrant (firm)data

Includes electronic data about registrants, suchas firm name, address, and other identifyinginformation. Also includes contact names andcontact information. Also includes notes aboutregistrants.

Temporary Delete when there are nolonger any financial statementsfor a particular registrant (firm)in system.

N1-180-09-2,Item 1b3

Electronic

520b4

PIN agreementsand data

Includes PIN agreements and PIN-related data.


20/22


Office RcrdCode



Medium

520b4a

PIN agreementsand data

Includes agreements and data prior to 1/2010,such as PIN numbers, tax IDs, and PINagreements.

Temporary Destroy/delete 5 years after theend date of the PIN agreement.

N1-180-09-2,Item 1b4a

Medianeutral

520b

4b

PIN agreements

and data

Includes data after 1/2010, such as tax IDs Temporary Destroy/delete 5 years after the

end of the PIN agreement.

N1-180-09-2,

Item 1b4b

Media

neutral520b5

Notice letters anddata entered intothe systemregarding notices

Includes notice letters required by 17 CFR Part 1.12, among others, to be submitted byregistrants to the Commission notifying staff ofa possible rule violation or other event. Alsoincludes information about analysis and actionundertaken by Commission staff as a result ofthe notice.

Temporary Delete 5 years after the noticedate.

N1-180-09-2,Item 1b5

Medianeutral

520b6

Entity data Includes electronic data about contacts atdesignated clearing organizations.

Temporary Delete 5 years after the enddate of a contact.

N1-180-09-2,Item 1b6

Medianeutral

System Output520c1

Outputs, such as printouts or copied, extracted,or merged data files generated from the

system that support another programmaticfunction.

Temporary Destroy/delete in accordancewith disposition authority that

applies to records producedfrom other programmaticfunction.

Filing instruction

520c2

All other outputs, such as printouts or copied,extracted, or merged data files used for ad hocor one-time inspection, analysis, or review,which do not contain substantive informationalready included in the system.

Temporary Destroy/delete when no longerneeded to conduct business.

GRS 20, Items 5and 16

Medianeutral

DCIO 521 StressingPositions at Risk(SPARK)

SPARK is used to identify large traders whose positions may pose financial risk to the industry or a clearing firm. SPARK obtainssome of its data from the ISS (511) and RSR (519) systems.

System Input521a Data loaded or

keyed into SPARKElectronic data files and other paper andelectronic inputs loaded or keyed into SPARK.

Temporary Delete when data have beenentered into database andverified, or when no longerrequired to supportreconstruction of the database,whichever is later.

GRS 20, Items2a4 and 2b

Medianeutral

System Content521b Contracts data Data may include but is not limited to contract

market code, name, exchange, and ISSexchange commodity code. Data is importedfrom ISS.

Temporary Delete when 10 years old orwhen no longer needed forbusiness purposes, whicheveris longer.

N1-180-09-4,Item 2

Medianeutral


21/22


Office RcrdCode



Medium

521c Margin rate datafor flagshipcontracts

Margin rates are set by the exchanges for eachcontract trading on the exchange. Flagshipcontracts are those that have been identifiedby the agency as the largest on an exchange.

Data may include but is not limited to marginrates for flagship contracts and beginning andend dates of the rates.

Temporary Delete when 10 years old orwhen no longer needed forbusiness purposes, whicheveris longer.

N1-180-09-4,Item 3

Medianeutral

521d Margin rate datafor all othercontracts

Margin rates are set by the exchanges for eachcontract trading on the exchange. Data mayinclude but is not limited to margin rates for allnon-flagship contracts and beginning and enddates of the rates.


Medianeutral

521e Top traders bycontract data

Data identifies the largest net long traders andthe largest net short traders on the daily pricereport. Data may include but is not limited totrader, reporting firm, number of net long andnet short contracts, owner ID, trader suffix,reporting firm ID, and account number bycontract market. Data is imported from ISS.


Medianeutral

521f Margin by traderdata

Data identifies the margin requirements for alllarge trader positions. Data may include but isnot limited to trader, reporting firm, long andshort option values, long and short futurevalues, initial total margin, etc.


Medianeutral

521g Hedge fund reportand supportingdata

Some data originates from ISS. Temporary Delete when data for a traderhave not been received in 10years.

N1-180-09-4,Item 7

Medianeutral

521h New YorkMercantileExchange watchlist data

Data includes accounts for which NYMEXgathered additional information from clearingfirms.NOTE: As of September 2009, this data is no

longer received.


Medianeutral

521i CFTC watch listdata

Includes accounts that CFTC staff would like towatch more closely.

Temporary Delete 3 years after end date. N1-180-09-4,Item 9

Medianeutral

521j Firm financial data Includes data required by 17 CFR Part 1.10(b)to be submitted to the agency. Data mayinclude but is not limited to excess net capitalfor futures commission merchants (FCM) andFCM broker/dealers. Data is imported fromRSR.

Temporary Delete when superseded. N1-180-09-4,Item 10

Medianeutral


22/22