Notice2025-18547
Privacy Act of 1974; System of Records
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 25, 2025
Effective
September 25, 2025
Issuing agencies
Federal Trade Commission
Abstract
The FTC is making technical revisions to several of the notices that it has published under the Privacy Act of 1974 to describe its systems of records. This action is intended to make these notices clearer, more accurate, and up-to-date.
Full Text
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<title>Federal Register, Volume 90 Issue 184 (Thursday, September 25, 2025)</title>
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[Federal Register Volume 90, Number 184 (Thursday, September 25, 2025)]
[Notices]
[Pages 46200-46210]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2025-18547]
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FEDERAL TRADE COMMISSION
Privacy Act of 1974; System of Records
AGENCY: Federal Trade Commission (FTC).
ACTION: Notice of modified system of records.
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SUMMARY: The FTC is making technical revisions to several of the
notices that it has published under the Privacy Act of 1974 to describe
its systems of records. This action is intended to make these notices
clearer, more accurate, and up-to-date.
DATES: These modified systems will be effective on September 25, 2025.
FOR FURTHER INFORMATION CONTACT: G. Richard Gold, Attorney, Office of
the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue
NW, Washington, DC 20580, (202) 326-3355 or <a href="/cdn-cgi/l/email-protection#f88a9f97949cb89e8c9bd69f978e"><span class="__cf_email__" data-cfemail="e290858d8e86a2849681cc858d94">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: To inform the public, the FTC publishes in
the Federal Register and posts on its website a ``system of records
notice'' (SORN) for each system of records that the FTC currently
maintains within the meaning of the Privacy Act of 1974, as amended, 5
U.S.C. 552a (``Privacy Act'' or ``Act''). See <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a>. The Privacy Act
protects records about individuals in systems of records collected and
maintained by Federal agencies. (A system is not a ``system of
records'' under the Act unless the agency maintains and retrieves
records in the system by the relevant individual's name or other
personally assigned identifier.) Each Federal agency, including the
FTC, must publish a SORN that describes the records maintained in each
of its Privacy Act systems, including the categories of individuals
that the records in the system are about, where and how the agency
maintains these records, and how individuals can find out whether an
agency system contains any records about them or request access to
their records, if any. The FTC, for example, maintains 39 systems of
records under the Act. Some of these systems contain records about the
FTC's own employees, such as personnel and payroll files. Other FTC
systems contain records about members of the public, such as public
comments, consumer complaints, or phone numbers submitted to the FTC's
Do Not Call Registry.
The FTC's SORNs discussed in this notice apply only to the FTC's
own Privacy Act record systems. They do not cover Privacy Act records
that other Federal agencies may collect and maintain in their own
systems. Likewise, the FTC's SORNs and the Privacy Act of 1974 do not
cover personal records that private businesses or other non-FTC
entities may collect, which may be covered by other privacy laws. Based
on a periodic review of its SORNs, the FTC is publishing these
additional technical revisions, to ensure that the FTC's SORNs and
Appendices remain clear, accurate, and up-to-date:
<bullet> First, the FTC is amending several SORNs to clarify or
update information about the applicable records disposition schedules
published or approved by the National Archives and Records
Administration (NARA). These schedules determine how long agency
records in each system should be retained and destroyed.
<bullet> Second, the FTC is amending multiple SORNs to make other
technical changes (e.g., updating the official title of the system
manager, the authority for maintenance of the system, the policies and
practices for storage and record retention of records, changing the
words ``Web site'' to ``website'', and capitalizing the words
``Federal'' and ``State'' as recommended by the GPO Style Manual).
<bullet> Third, the FTC is republishing the full text of each of
the above SORNs, incorporating the technical amendments, for the
convenience of the reader and in accordance with OMB Circular A-108,
Federal Agency Responsibilities for Review, Reporting, and Publication
under the Privacy Act (2016), which reorganized the format and content
for SORNs published by Federal agencies.
The FTC is not substantively adding or amending any routine uses of
its Privacy Act system records. Accordingly, the FTC is not required to
provide prior public comment or notice to OMB or Congress for these
technical amendments, which are final upon publication. See 5 U.S.C.
552a(e)(11) and 552a(r); OMB Circular A-108, supra.
A SORN-by-SORN summary, including a more detailed description of
each SORN and how it is being amended, appears below, followed by the
full text of the SORNs, as amended.
I. Law Enforcement Systems of Records
FTC-I-1 (Nonpublic Investigational and Other Nonpublic Legal
Program Records-FTC). This SORN covers nonpublic investigational and
other nonpublic program records. The Commission has updated the
sections relating to the Security Classification, System Manager,
Purpose of the System, Policies and Practices for Storage of Records,
and Administrative, Technical, and Physical Safeguards. Additionally,
the template and format are being updated in accordance with OMB
Circular A-108.
FTC-I-2 (Disciplinary Action Investigatory Files--FTC). This SORN
covers records compiled to determine whether the FTC should refer an
individual practicing before the FTC to appropriate authorities for
alleged ethical or other misconduct. This SORN is being renamed Outside
Representative Disciplinary Action Investigatory Files to clarify that
this system only covers outside representatives or attorneys practicing
before the FTC. Investigations of current and former FTC employees are
covered by FTC-II-8 (Employee Adverse Action and Disciplinary Records).
The purpose section is being revised to reflect this distinction. The
Commission has also updated the section relating to the Administrative,
Technical, and Physical Safeguards.
FTC-I-8 (Stenographic Reporting Services Request System--FTC). This
SORN covers the database system that the FTC uses to log and fulfill
requests by FTC officials for stenographic services in FTC
investigations, litigation and other FTC matters. The Commission has
updated the sections relating to the Security Classification, System
Manager, Policies and Practices for Storage of Records, Policies and
Practices for Retention and Disposal of Records, and Administrative,
Technical, and Physical Safeguards. Additionally, the template and
format are being updated in accordance with OMB Circular A-108.
II. Personnel Systems of Records
FTC-II-8 (Employee Adverse Action and Disciplinary Records--FTC).
This SORN covers employee adverse action and disciplinary files.
Language has been added to the Purpose of the System clarifying that
this system relates to current or former employees and excludes records
that are part of FTC-I-2 (Outside Representative Disciplinary Action
Investigatory Files). That system (FTC-I-2) includes records compiled
to determine whether the FTC should refer an individual practicing
before the FTC to appropriate authorities for alleged ethical or other
misconduct. The FTC is also revising this SORN (FTC-II-8) to update the
Policies and Practices for Storage of Records and the Administrative,
Technical, and Physical Safeguards.
IV. Correspondence Systems of Records
FTC-IV-2 (Miscellaneous Office Correspondence Tracking System
[[Page 46201]]
Records--FTC). This SORN covers miscellaneous non-consumer
correspondence and matter tracking records held by various offices. The
FTC is revising this SORN to update the Policies and Practices for
Storage of Records and the Administrative, Technical, and Physical
Safeguards. Additionally, the template and format are being updated in
accordance with OMB Circular A-108.
V. Access Requests
FTC-V-1 (Freedom of Information Act Requests and Appeals--FTC). The
FTC is revising this SORN to update the System Location, Categories of
Records in the System and Administrative, Technical, and Physical
Safeguards. The Commission is also clarifying that, as required by the
FOIA statute, records that have been ``frequently requested'' or are
otherwise also subject to proactive disclosure requirements and
disclosed under the FOIA within the meaning of that Act, as determined
by the FTC, are made available to the public for routine inspection and
copying. Note that the Privacy Act never prohibits a disclosure that
the FOIA requires. 5 U.S.C. 552a(b)(2).
FTC-V-2 (Privacy Act Requests and Appeals--FTC). The FTC is
revising this SORN to update the System Location, Policies and
Practices for Storage of Records, and Administrative, Technical, and
Physical Safeguards.
VI. Mailing List Systems of Records
FTC-VI-1 (Mailing and Contact Lists-FTC). The FTC is revising this
SORN to update the System Manager, Categories of Records in the System,
Policies and Practices for Storage of Records and Administrative,
Technical, and Physical Safeguards. Additionally, the template and
format are being updated in accordance with OMB Circular A-108.
VII. Miscellaneous Systems of Records
FTC-VII-2 (Employee Locator (STAFFID) System)--FTC). This SORN is
being updated to the template and format set out in OMB Circular A-108.
FTC Systems of Records Notices
In light of the updated SORN template set forth in the revised OMB
Circular A-108, the FTC is reprinting the entire text of each amended
SORN when necessary for the public's benefit, to read as follows:
I. Law Enforcement Systems of Records
* * * * *
SYSTEM NAME AND NUMBER:
Nonpublic Investigational and Other Nonpublic Legal Program
Records-FTC (FTC-I-1).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. For other locations where records may be maintained or
accessed, see Appendix III (Locations of FTC Buildings and Regional
Offices), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 87 FR 57698
(Sept. 21, 2022).
SYSTEM MANAGER(S):
Office of the Secretary, Records Management Division, Federal Trade
Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580, email:
<a href="/cdn-cgi/l/email-protection#e7b4a8b5a994a7819384c9808891"><span class="__cf_email__" data-cfemail="50031f021e23103624337e373f26">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.
PURPOSE(S) OF THE SYSTEM:
To conduct the law enforcement, rulemaking, and advisory
responsibilities of the Federal Trade Commission; to make
determinations based upon the results of those matters; to report
results of investigations to other agencies and authorities for their
use in evaluating their programs and imposition of criminal, civil, or
administrative sanctions; to report the results of investigations to
other agencies or other regulatory bodies for any action deemed
appropriate; to make appropriate portions of the records of those
matters available to the public (see FTC-I-6, Public Records-FTC); and
to maintain records of Commission activities related to those matters,
including to make such records available within the FTC for historical,
legal research, investigational, and similar purposes (see FTC-VII-6,
Document Management and Retrieval System-FTC).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
This system consists of case or matter files and other nonpublic
records created, collected and maintained by the FTC's Bureaus and
other offices in the course of law enforcement investigations,
administrative or court litigation, and other agency legal proceedings
and matters (e.g., rulemakings, requests for formal advisory opinions).
The system covers investigatory targets, witnesses, consumers, redress
claimants, commenters, requesters, and other individuals whose
information the FTC ``retrieves'' from these nonpublic records, as
explained below. (Entities that are not ``individuals,'' such as
businesses, sole proprietorships, or corporations, are not covered by
this system.) Parties requesting informal advisory opinions are covered
by FTC-I-3, Informal Advisory Opinion Request and Response Files-FTC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records maintained in this system include information about
individuals such as name, address, employment status, age, date of
birth, financial information, credit information, social security
number and personal history. Records in this system are collected and
generated during law enforcement investigations and litigation and may
include: copies of subpoenas and other compulsory process issued during
the investigation; documents and records (including copies) obtained
during the investigation in response to subpoenas and other compulsory
process, or otherwise provided to the Commission; affidavits and other
statements from witnesses; transcripts of testimony taken in the
investigation and accompanying exhibits; internal staff memoranda;
interview notes, investigative notes, staff working papers, draft
materials, and other documents and records relating to the
investigation; correspondence; and internal status reports including
matter initiation reports, progress reports, and closing reports.
Records in this system may also include other investigatory information
or data relating to any of the following: docketed and consent matters;
redress distribution proceedings; rulemakings, workshops, and other
public proceedings, including comments or other materials submitted in
such proceedings; assurances of voluntary compliance; and advisory
opinions. Other types of records covered by this system are set out in
the Department of Treasury, Financial Management Service's Privacy Act
system of records notice TREASURY/FMS.014, or any successor system
notice for this system (visit <a href="http://www.ustreas.gov">http://www.ustreas.gov</a> for more
information).
This system is limited to files and records that are about an
individual, and only when the file or record is pulled (``retrieved'')
by the name of that individual or other personal identifier (e.g.,
number, symbol, fingerprint, etc.). As described below, records in this
system may become public if they are subject to such disclosure under
the FTC's Rules of Practice.
[[Page 46202]]
RECORD SOURCE CATEGORIES:
Individual respondent(s) or proposed respondent(s), defendant(s),
company records, complainants, informants, witnesses, participants, FTC
employees, commercial sources.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records in this system may be:
(1) Made available or referred to Federal, State, local or
international government authorities for investigation, possible
criminal prosecution, civil action, regulatory order, or other law
enforcement purpose;
(2) Referred to outside experts or consultants when considered
appropriate by FTC staff to assist in the conduct of agency matters;
(3) Used by Commission contractors with recordkeeping, managerial,
and budgeting responsibilities for information management purposes; and
(4) Disclosed on the FTC's public record under the FTC's Rules of
Practice. See FTC-I6, Public Records--FTC.
(5) Disclosed, to the extent that the records relate to a debt owed
to the United States, through one or more of its departments and
agencies; and/or States, territories and commonwealths of the United
States, and the District of Columbia, for any other routine use set
forth in the Government-wide system of records notice published for
this system by the Department of Treasury, Financial Management System,
see TREASURY/FMS.014, or any successor TREASURY/FMS system notice that
may be published for this system (visit <a href="http://www.ustreas.gov">http://www.ustreas.gov</a> for more
information).
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55541, 55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The FTC maintains these records in electronic and non-electronic
formats and media. The FTC maintains these records using a combination
of different databases and applications.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed by respondent's, participant's, or FTC staff
member's name; company name; industry investigation title; and FTC
matter number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records from submitters in FTC investigations are destroyed or
returned to the submitter, if so requested, at the conclusion of the
matter, except for those received into the record of any proceeding and
any other copies made for official use or that are required to be
preserved for their historical or other value under applicable Federal
records retention requirements. See 15 U.S.C. 57b-2(b)(5), 16 CFR 4.12.
Retention periods for other system records depend on the type of record
and the FTC proceeding or matter involved. Records are retained and
disposed of under applicable schedules and procedures approved by the
National Archives and Records Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
For records other than those made public, access is restricted to
agency personnel or contractors whose responsibilities require access.
Access to electronic records is controlled by ``user ID'' and password
combination and/or other appropriate electronic access or network
controls (e.g., firewalls). Paper records are maintained in lockable
rooms or file cabinets. FTC buildings are guarded and monitored by
security personnel, cameras, ID checks, and other physical security
measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How to Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How to Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How to Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Copies of records contained in this system that have been placed on
the FTC public record are available upon request or from the FTC's
website, where applicable. See FTC-I-6, Public Records--FTC. However,
pursuant to 5 U.S.C. 552a(k)(2), records in this system that are not on
the public record are exempt from the requirements of subsections
(c)(3), (d), (e)(1), (e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a,
and the corresponding provisions of 16 CFR 4.13. See FTC Rules of
Practice 4.13(m), 16 CFR 4.13(m).
HISTORY:
73 FR 33591-33634 (June 12, 2008).
SYSTEM NAME AND NUMBER:
Outside Representative Disciplinary Action Investigatory Files--FTC
(FTC-I-2).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. For other locations where records may be maintained or
accessed, see Appendix III (Locations of FTC Buildings and Regional
Offices), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and 87 FR 57698 (Sept.
21, 2022).
SYSTEM MANAGER(S):
Principal Deputy General Counsel, Office of General Counsel,
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington, DC
20580, email: <a href="/cdn-cgi/l/email-protection#c5968a978bb685a3b1a6eba2aab3"><span class="__cf_email__" data-cfemail="c89b879a86bb88aebcabe6afa7be">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Executive Order
10450.
PURPOSE(S) OF THE SYSTEM:
To conduct disciplinary action investigations of outside attorneys
or representatives practicing before the FTC; to make determinations
based upon the results of the investigations; to report results of
investigations to other agencies and authorities for their use in
evaluating their programs and imposition of criminal, civil, or
administrative sanctions; to report the results of investigations to
other agencies or other regulatory bodies for any action deemed
appropriate; and to maintain records related to those matters.
Investigations of current and former FTC employees are covered by FTC-
II-8 (Employee Adverse Action and Disciplinary Records).
[[Page 46203]]
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
FTC personnel, counsel for parties in investigative or adjudicative
proceedings, and others participating in FTC matters who may be subject
to investigation for possible improper or unethical conduct.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, address, employment status, age, date of birth, financial
information, credit information, personal history, and records
collected and generated during the investigation, which may include
correspondence relating to the investigation; internal staff memoranda;
copies of subpoenas issued during the investigation, affidavits,
statements from witnesses, transcripts of testimony taken in the
investigation, and accompanying exhibits; documents, records or copies
obtained during the investigation; interview notes, investigative
notes, staff working papers, draft materials, and other documents and
records relating to the investigation; opening reports, progress
reports, and closing reports; and other investigatory information or
data relating to alleged violations.
RECORD SOURCE CATEGORIES:
Individual on whom the record is maintained, complainants,
informants, witnesses, and Commission personnel having knowledge or
providing analysis of matter.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records in this system:
(1) May be used to determine whether disciplinary action, including
suspension or disbarment from practice before the Commission, is
warranted;
(2) May be transferred to the Office of Personnel Management, to a
court, or a bar association; and
(3) May be used by personnel of other agencies, courts, or bar
associations to whom the matter is referred.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS
The FTC generally maintains these records in electronic or paper
format.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed by individual's name, company name, industry
investigation title, file or docket number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of under applicable schedules and
procedures approved by the National Archives and Records
Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access is restricted to agency personnel or contractors whose
responsibilities require access. Access to electronic records is
controlled by ``user ID'' and password combination and/or other
appropriate electronic access or network controls (e.g., firewalls).
Paper records are maintained in lockable rooms or file cabinets. FTC
buildings are guarded and monitored by security personnel, cameras, ID
checks, and other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4) (G),
(H), (I), and (f) of 5 U.S.C. 552a. See Sec. 4.13(m) of the FTC Rules
of Practice, 16 CFR 4.13(m).
HISTORY:
87 FR 964-974 (January 7, 2022).
73 FR 33591-33634 (June 12, 2008).
* * * * *
SYSTEM NAME AND NUMBER:
Stenographic Reporting Services Request System--FTC (FTC-I-8).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580.
For other locations where records may be maintained or accessed,
see Appendix III (Locations of FTC Buildings and Regional Offices),
available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 87 FR 57698 (Sept. 21,
2022).
SYSTEM MANAGER(S):
Office of the Secretary, Records Management Division, Federal Trade
Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580, email:
<a href="/cdn-cgi/l/email-protection#7f2c302d310c3f190b1c51181009"><span class="__cf_email__" data-cfemail="7b28342935083b1d0f18551c140d">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.
PURPOSE(S) OF THE SYSTEM:
To track and fulfill FTC staff requests for stenographic services
from the agency's stenographic reporting service contractors; to
schedule services with such contractors; to provide information
necessary for the contractor to render such services; and for other
internal administrative purposes, including to ensure that stenographic
services are being properly allocated and authorized, to provide
statistical data on service usage for agency managerial and budget
purposes, and as source for transcript dates and times for
incorporation as appropriate into FTC-I-5 (Matter Management System--
FTC) and FTC-VII-6 (Document Management and Retrieval System--FTC).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
FTC staff who have requested stenographic reporting services for
depositions, testimony or other transcriptions in FTC proceedings;
other FTC staff or contractors involved in processing the request or
providing such services; witnesses or other individuals who are deposed
or provide testimony at hearings or proceedings in which stenographic
reporting services are used. (Businesses, sole proprietorships, or
corporations are not covered by this system.)
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, phone number, mail drop, and FTC organization of the
individual
[[Page 46204]]
requesting stenographic reporting services and other information about
the service request, including but not limited to: request number,
request status, request submitted date, funding organization name and
number, matter name, number and organization, activity code name and
number, lead attorney name and number, contract and delivery order
number and name, deponent name, witness language, due dates, service
date and time, duration time of service, name and number of individuals
eligible to purchase the transcripts, name and address of location
where deposition will be taken including home addresses when
applicable, type of recording device that contains the material to be
transcribed, type of formatting required for draft and final copies;
recording details such as number of recordings, total minutes, digital
file size, total number of tapes/CDs/DVDs; original language of media,
specific types of audio and video and the name, address and phone
number of anybody other than the requester that is receiving a copy of
the transcript.
RECORD SOURCE CATEGORIES:
Individual on whom the record is maintained and Commission staff
associated with the matter.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records in this system may be:
(1) Disclosed to and used by FTC contractors for purposes of
scheduling and providing FTC staff with stenographic reporting services
for depositions and hearings; and
(2) Made part of public record proceedings, to the extent
appropriate and necessary to identify the individual being deposed or
providing testimony in a hearing, when the hearing is a matter of
public record. See FTC-I-6, Public Records--FTC.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55541, 55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Service requests are submitted electronic format, and data are
entered and maintained electronically in a structured database on an
internal agency server, and as needed on CD-ROM and/or external hard
drives.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Data in the system may be retrieved electronically by the name of
the individual being deposed or providing testimony, the individual
requesting stenographic services, the managing attorney, the fund
manager name, the request number, the matter number, the delivery order
number, the contract number, or by other data entered into and
searchable in the system.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of in accordance with schedules
and procedures issued or approved by the National Archives and Records
Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
For records other than those made public, access is restricted to
agency personnel or contractors whose responsibilities require access.
Access to electronic records is controlled by ``user ID'' and password
combination and/or other appropriate electronic access or network
controls (e.g., firewalls). Paper records are maintained in lockable
rooms or file cabinets. FTC buildings are guarded and monitored by
security personnel, cameras, ID checks, and other physical security
measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Copies of records contained in this system that have been placed on
the FTC public record are available upon request or from the FTC's
website, where applicable. See FTC-I-6, Public Records--FTC. However,
pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect
records that are contained in other systems of records that are
designated as exempt, are exempt from the requirements of subsections
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See
Sec. 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
HISTORY:
73 FR 33591-33634 (June 12, 2008).
* * * * *
SYSTEM NAME AND NUMBER:
Employee Adverse Action and Disciplinary Records--FTC (FTC-II-8).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. For other locations where records may be maintained or
accessed, see Appendix III (Locations of FTC Buildings and Regional
Offices), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 87 FR 57698
(Sept. 21, 2022).
SYSTEM MANAGER(S):
Chief Human Capital Officer, Human Capital Management Office,
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington, DC
20580.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 4301 et seq.; 5 U.S.C. 4311 et seq.; 5 U.S.C. 7101 et
seq.; 5 U.S.C. 7501 et seq.; 5 U.S.C. 7511 et seq.; 5 U.S.C. 7541 et
seq.; and 5 CFR parts 293, 315, 432, and 752.
PURPOSE(S) OF THE SYSTEM:
To document proposed and final agency decisions on disciplinary
actions, adverse actions, and performance-based actions relating to
current or former employees in order for them to be defensible before
third-party review. This system excludes records that are part of FTC-
I-2 (Outside Representative Disciplinary Action Investigatory Files),
which includes records compiled to determine whether the FTC should
refer an individual practicing before the FTC to appropriate
authorities for alleged ethical or other misconduct.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Current or former FTC employees who have been disciplined or had a
[[Page 46205]]
performance- based action taken against them, or who have a proposed
disciplinary or performance-based action against them.
CATEGORIES OF RECORDS IN THE SYSTEM:
Case files and records related to adverse actions and performance-
based actions (removal, suspension, reduction-in- grade) against
employees. The file can include a copy of the proposed adverse action
with supporting documents, statements of witnesses, employee's reply,
hearing notices, reports, agency decisions, reversal of action, and
appeal records. Other types of records are set out in the Office of
Personnel Management (OPM) Privacy Act system of records notice
applicable to this system, OPM/GOVT-3 (Records of Adverse Actions,
Performance Based Reduction in Grade and Removal Actions, and
Termination of Probationers), or any successor system notice for this
system.
RECORD SOURCE CATEGORIES:
Individual about whom the records pertain, witnesses, supervisors,
program managers, counselors, related correspondence from organizations
or persons.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records in this system may be disclosed for any of the routine uses
set forth in OPM/GOVT-3. In addition, records in this system:
(1) Including records of disciplinary actions, adverse actions and
performance-based actions, may be disclosed to and used by employee
relations specialists or others whose official duties require such
information;
(2) Including records of official time used and travel and per diem
money spent while attending to union business, may be disclosed to and
used by labor relations specialists and others whose official duties
require such information. Information in system records may also be
disclosed to officials of labor organizations recognized under 5 U.S.C.
7101 et seq. when relevant and necessary to their duties as exclusive
representative; and
(3) May be disclosed to the Federal Labor Relations Authority
(including its General Counsel) when requested in connection with
investigation and resolution of allegations of unfair labor practices,
in connection with the resolution of exceptions to arbitrator's awards
where a question of material fact is raised and matters before the
Federal Service Impasses Panel.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55541, 55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The FTC generally maintains these records in electronic or paper
format.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Indexed by individual's name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records related to adverse actions, performance-based reduction-
in-grade and removal actions, and termination of probationers are
destroyed seven years after case is closed in accordance with General
Records Schedule 2.3, items 60-62, issued by the National Archives and
Records Administration. Actions related to labor management relations
arbitration are destroyed 5 years after final resolution in accordance
with General Records Schedule 2.3, item 52.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access is restricted to agency personnel or contractors whose
responsibilities require access. Access to any electronic records is
controlled by ``user ID'' and password combination and/or other
appropriate access or network controls (e.g., firewalls). Paper records
are maintained in lockable rooms or file cabinets. FTC buildings are
guarded and monitored by security personnel, cameras, ID checks, and
other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
80 FR 9460-9465 (February 23, 2015).
73 FR 33591-33634 (June 12, 2008).
* * * * *
IV. Correspondence Systems of Records
* * * * *
SYSTEM NAME AND NUMBER:
Miscellaneous Office Correspondence Tracking System--FTC (FTC-IV-
2).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. For other locations where records may be maintained or
accessed, see Appendix III (Locations of FTC Buildings and Regional
Offices), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 87 FR 57698
(Sept. 21, 2022).
SYSTEM MANAGER(S):
Office of the Secretary, Records Management Division, Federal Trade
Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580, email:
<a href="/cdn-cgi/l/email-protection#b7e4f8e5f9c4f7d1c3d499d0d8c1"><span class="__cf_email__" data-cfemail="cd9e829f83be8dabb9aee3aaa2bb">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.
PURPOSE(S) OF THE SYSTEM:
For the Office of the Secretary and certain other offices within
the Commission to log and track the receipt, processing, and response,
referral, or other action taken by those offices on correspondence,
assignments or other agency matters for which those offices are
responsible in whole or part; to help manage workloads, anticipate
resources needed, and ensure that a response or other necessary or
appropriate action is taken by those offices in a timely and complete
manner; and to maintain records of the offices' responses or other
actions taken on correspondence, assignments or other matters. (This
system encompasses matter tracking records similar to, but maintained
and
[[Page 46206]]
managed separately from, those in FTC-I-5, Matter Management System--
FTC.)
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who correspond with individual FTC offices (e.g.,
members of Congress, counsel for regulated entities, consumers); FTC
staff assigned to or responsible for supervising, responding or taking
other action on correspondence, assignments, or other matters that may
also be tracked in the system.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name; matter name, number and/or description of the correspondence,
assignment, or other matter; date of receipt or assignment, date of
response, action, or other relevant dates; FTC organization and other
internal administrative codes.
RECORD SOURCE CATEGORIES:
FTC staff; incoming and outgoing correspondence; internal memoranda
or other FTC documents.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
When correspondence is referred to the FTC by a member of Congress,
official committee or subcommittee, or other Government entity or
official, the FTC may disclose to such official or authorized staff of
such entity or official the status of the FTC's handling and processing
of such correspondence.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The FTC maintains these records in electronic and non-electronic
formats and media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Name of corresponding or referring individual, and/or of FTC staff
with responsibility for supervising, processing, responding or
otherwise handling the correspondence or other matter. System records
may also be retrieved by other system search fields or parameters not
pertaining to an individual (e.g., matter or tracking number, date, FTC
organization code).
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of under applicable schedules and
procedures approved by the National Archives and Records
Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access is restricted to agency personnel or contractors whose
responsibilities require access. Access to electronic records is
controlled by ``user ID'' and password combination and/or other network
access or security controls (e.g., firewalls). Paper records are
maintained in lockable rooms or file cabinets. FTC buildings are
guarded and monitored by security personnel, cameras, ID checks, and
other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How to Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How to Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How to Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
73 FR 33591-33634 (June 12, 2008).
* * * * *
V. Access Requests
SYSTEM NAME AND NUMBER:
Freedom of Information Act Requests and Appeals--FTC (FTC-V-1).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. The records are maintained off-site on a web-based/cloud-
based application by an FTC vendor. For other locations where records
may be maintained or accessed, see Appendix III (Locations of FTC
Buildings and Regional Offices), available on the FTC's website at
<a href="https://www.ftc.gov/about-ftc/foia/foiareading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foiareading-rooms/privacy-act-systems</a> and 87 FR 57698 (Sept. 21, 2022).
SYSTEM MANAGER(S):
FOIA/PA Supervisor, Office of General Counsel, Federal Trade
Commission, 600 Pennsylvania Avenue NW, Washington, DC 20580, email:
<a href="/cdn-cgi/l/email-protection#f1a2bea3bf82b1978592df969e87"><span class="__cf_email__" data-cfemail="a1f2eef3efd2e1c7d5c28fc6ced7">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Freedom of
Information Act, 5 U.S.C. 552.
PURPOSE(S) OF THE SYSTEM:
To consider requests and appeals for access to records under the
Freedom of Information Act; to determine the status of requested
records; to respond to the requests and appeals; to make copies of FOIA
requests and frequently requested records available publicly, under the
FTC's Rules of Practice and FOIA; to maintain records, documenting the
consideration and disposition of the requests for reporting, analysis,
and recordkeeping purposes.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing requests for access to information under the
Freedom of Information Act (FOIA); individuals named in the FOIA
request; FTC staff assigned to help process, consider, and respond to
such requests, including any appeals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Communications (e.g., letters, emails) to and from the requesting
party, including requests submitted through the FTC's FOIA application
and the national FOIA portal at <a href="http://foia.gov">foia.gov</a>; agency documents generated or
collected during processing and consideration of the request, including
scanned copies of materials responsive to the FOIA request.
RECORD SOURCE CATEGORIES:
Individual about whom the record is maintained and agency staff
assigned to help process, review, or respond to the access request,
including any appeal.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
(1) Request and appeal letters, and agency letters responding
thereto, are
[[Page 46207]]
placed on the FTC's public record and available to the public for
routine inspection and copying. See FTC-I-6 (Public Records--FTC).
(2) As required by the FOIA, records that have been ``frequently
requested'' or are subject to other proactive disclosure requirements
and disclosed under the FOIA within the meaning of that Act, as
determined by the FTC, are made available to the public for routine
inspection and copying. See FTC-I-6 (Public Records--FTC).
(3) Disclosure to the National Archives and Records Administration,
Office of Government Information Services (OGIS), to the extent
necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures, and compliance with the
Freedom of Information Act (FOIA), and to facilitate OGIS's offering of
mediation services to resolve disputes between persons making FOIA
requests and administrative agencies.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foiareading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foiareading-rooms/privacy-act-systems</a> and at 73 FR
33592, 36333-36334 (June 12, 2008).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained electronically using a commercial software
application accessible via the internet and provided by an FTC vendor.
Additional records may be maintained in electronic forms on agency
servers or in hard copies stored on the agency's premises.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Indexed by name of requesting party and subject matter of request.
Records can also be searched by name, address, phone number, fax
number, and email of the requesting party, subject matter of the
request, requestor organization, FOIA number, and staff member assigned
to the request.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of in accordance with General
Records Schedule 4.2, issued by the National Archives and Records
Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Requests, appeals, and responses available to the public, as
described above. Access to nonpublic system records is restricted to
FTC personnel or contractors whose responsibilities require access.
Access to electronic records is controlled by ``user ID'' and password
combination and other electronic access or network controls (e.g.,
firewalls). Nonpublic paper records are temporary, maintained in
lockable file cabinets or offices, and destroyed once the request is
complete. FTC buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-readingrooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-readingrooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-readingrooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-readingrooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-readingrooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-readingrooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Records contained in this system that have been placed on the FTC
public record are available upon request, as discussed above. However,
pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect
records that are contained in other systems of records that are
designated as exempt, are exempt from the requirements of subsections
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See
Sec. 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
HISTORY:
82 FR 27483-27485 (June 15, 2017).
82 FR 10012-10014 (February 9, 2017).
73 FR 33592-33634 (June 12, 2008).
SYSTEM NAME AND NUMBER:
Privacy Act Requests and Appeals--FTC (FTC-V-2).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. The records are maintained off-site on a web-based/cloud-
based application by our vendor. For other locations where records may
be maintained or accessed, see Appendix III (Locations of FTC Buildings
and Regional Offices), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and
at 87 FR 57698 (Sept. 21, 2022).
SYSTEM MANAGER(S):
Freedom of Information Act/Privacy Act Supervisor, Office of the
General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue NW,
Washington, DC 20580, email: <a href="/cdn-cgi/l/email-protection#4714081509340721332469202831"><span class="__cf_email__" data-cfemail="24776b766a57644250470a434b52">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Privacy Act, 5
U.S.C. 552a.
PURPOSE(S) OF THE SYSTEM:
To process and review requests and appeals for access to,
correction of, or an accounting of disclosure of records under the
Privacy Act; to determine the status of requested records or the
request for correction or disclosure; to respond to such requests and
appeals; and to maintain records documenting the consideration and
disposition of these requests for reporting, analysis, and
recordkeeping purposes.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals filing requests for access to, correction of, or an
accounting of disclosures of personal information contained in system
of records maintained by the Commission, pursuant to the Privacy Act;
FTC staff assigned to help process, consider, and respond to such
requests, including any appeals.
CATEGORIES OF RECORDS IN THE SYSTEM:
Requests and other communications and documents generated or
compiled by the FTC to process, review, and respond to the Privacy Act
request, including any appeals.
RECORD SOURCE CATEGORIES:
Individual about whom record is maintained and agency staff
assigned to help process, review or respond to the request, including
any appeal.
[[Page 46208]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR
33592, 36333-36334 (June 12, 2008).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained electronically using a commercial software
application accessible via the internet and provided by an FTC vendor.
Additional records may be maintained in electronic forms on agency
servers or in hard copies stored on the agency's premises.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Indexed by name of requesting party. Records can also be searched
by address, phone number, fax number, and email of the requesting
party, subject matter of the request, requestor organization, FOIA
number, and staff member assigned to request.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of in accordance with General
Records Schedule 4.2, issued by the National Archives and Records
Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access to nonpublic system records is restricted to FTC personnel
or contractors whose responsibilities require access. Access to
electronic records is controlled by ``user ID'' and passphrase
combination and other electronic access or network controls (e.g.,
firewalls). Nonpublic paper records are temporary, maintained in
lockable file cabinets or offices, and destroyed once the request is
complete. FTC buildings are guarded and monitored by security
personnel, cameras, ID checks, and other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system, which
reflect records that are contained in other systems of records that are
designated as exempt, are exempt from the requirements of subsections
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See
Sec. 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
HISTORY:
82 FR 50871-50882 (November 2, 2017).
73 FR 33591-33634 (June 12, 2008).
* * * * *
VII. Mailing List Systems of Records
SYSTEM NAME AND NUMBER:
Mailing and Contact Lists--FTC (FTC-VI-1).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580.
For other locations where records may be maintained or accessed,
see Appendix III (Locations of FTC Buildings and Regional Offices),
available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 87 FR 57698 (Sept. 21,
2022).
SYSTEM MANAGER(S):
Associate Director, Division of Consumer and Business Education,
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington, DC,
20580.
Director, Office of Public Affairs, Federal Trade Commission, 600
Pennsylvania Avenue NW, Washington, DC, 20580.
For all other FTC offices: Office of Secretary, Records Management
Division, Federal Trade Commission, 600 Pennsylvania Avenue NW,
Washington, DC 20580. Email: <a href="/cdn-cgi/l/email-protection#4e1d011c003d0e283a2d60292138"><span class="__cf_email__" data-cfemail="b0e3ffe2fec3f0d6c4d39ed7dfc6">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.
PURPOSE(S) OF THE SYSTEM:
To assist the Commission in the distribution of documents and
information to individuals who request such materials; to maintain
lists of media, Congressional, business, or other contacts for future
reference.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have indicated an interest in receiving FTC
materials or who are participants or contacts in matters under
consideration at the FTC; other individuals who may be regular
resources, contacts, or leads for various FTC subject matter areas or
programs.
CATEGORIES OF RECORDS IN THE SYSTEM:
System records contain some or all of the following: name; title;
company or organization; mailing address; email address; telephone
number; date. This system includes bulk order mailing lists, sign-in
sheets, rosters or event registration form submissions compiled at
meetings and workshops held at or by the FTC, contact lists developed
from publicly available information or information provided by the
relevant individual (e.g., business cards, email subscriptions), or
other similar, miscellaneous contact and address lists.
This system excludes mailing or contact lists or similar records
collected or maintained under other FTC systems of records. For
example, addresses or other contact information for individuals who
make requests through the FTC's Consumer Response Center to be mailed
FTC materials are covered by FTC-IV-1 (Consumer Information System--
FTC). Mailing lists prepared for serving official documents in
Commission proceedings or for other law enforcement purposes (e.g.,
administering consumer redress) are covered by FTC-I-1 (Nonpublic
Investigatory and Other Nonpublic Legal Program Records--FTC).
RECORD SOURCE CATEGORIES:
Individuals requesting FTC information, commercial directories or
other public sources, attendees at FTC meetings or other events, and
staff members involved in Commission proceedings.
[[Page 46209]]
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records in this system may be compiled by or disclosed to FTC
contractors in fulfilling requests for FTC materials or sending other
FTC communications to individuals covered by this system.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55541, 55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The FTC maintains system records in various electronic and non-
electronic formats and media.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Indexed by individual's name. When records are stored
electronically, records may also be searched and retrieved by other
data, such as by phone number, address, ZIP or area code, etc.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained until the individual requests deletion from
the agency's list, or when distribution of records from the associated
matter is not anticipated, or as otherwise prescribed under record
schedules and procedures issued or approved by the National Archives
and Records Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Access is restricted to FTC personnel or contractors whose
responsibilities require access. Access to electronic records is
controlled by ``user ID'' and password combination and/or other
electronic access or network controls (e.g., firewalls). Paper records
are maintained in lockable offices or file cabinets. FTC buildings are
guarded and monitored by security personnel, cameras, ID checks, and
other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
73 FR 33591-33634 (June 12, 2008).
* * * * *
SYSTEM NAME AND NUMBER:
Employee Locator (STAFFID)-FTC (FTC-VII-2).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Federal Trade Commission, 600 Pennsylvania Avenue NW, Washington,
DC 20580. For other locations where records may be maintained or
accessed, see Appendix III (Locations of FTC Buildings and Regional
Offices), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 87 FR 57698
(Sept. 21, 2022).
SYSTEM MANAGER(S):
Assistant Director for Infrastructure Operations, Office of the
Chief Information Officer, Federal Trade Commission, 600 Pennsylvania
Avenue NW, Washington, DC 20580, email: <a href="/cdn-cgi/l/email-protection#0d5e425f437e4d6b796e236a627b"><span class="__cf_email__" data-cfemail="80d3cfd2cef3c0e6f4e3aee7eff6">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Federal Trade Commission Act, 15 U.S.C. 41 et seq.
PURPOSE(S) OF THE SYSTEM:
To maintain records that will assist in locating and communicating
with FTC employees, contractors, etc.; to identify mail locator
listings used by mail room personnel; and to identify, in other
Commission automated information systems, Commission staff names and
locations; to help document the check-in/check-out process for
employees or others entering or leaving FTC service. This system is a
core data source for other FTC automated systems to draw basic
identifying information about FTC employees and others working for or
at the Commission.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
FTC employees, contractors, volunteers, or others (e.g., students)
working for or at the FTC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, employee identification number, building code, office room
number, office telephone, mail drop code, electronic mail user
identification, default printer designation, other identification codes
or data.
RECORD SOURCE CATEGORIES:
Individual about whom the record is maintained; administrative
officers or other staff who manage the staff check-in/check-out
process; personnel records.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
(1) To produce the FTC Directory which is used by all agency
personnel and made available to the public; and
(2) To provide employee locator information to the public.
For other ways that the Privacy Act permits the FTC to use or
disclose system records outside the agency, see Appendix I (Authorized
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems
of Records), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 83 FR
55541, 55542-55543 (Nov. 6, 2018).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
FTC Directory printed and distributed to staff and the public, and
posted on the agency's website. System is maintained electronically in
a structured database on agency network servers.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Indexed by individual's name, employee identification number, and
database can also be searched by other data fields or codes.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are retained and disposed of under applicable schedules and
procedures approved by the National Archives and Records
Administration.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Certain information is available to the public through locator
information and
[[Page 46210]]
posting of the FTC Directory online. Access to other information is
restricted to agency personnel or contractors whose responsibilities
require access. Access to nonpublic electronic records is controlled by
``user ID'' and password combination and/or other appropriate
electronic access or network controls (e.g., firewalls). FTC buildings
are guarded and monitored by security personnel, cameras, ID checks,
and other physical security measures.
RECORD ACCESS PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
CONTESTING RECORD PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
NOTIFICATION PROCEDURES:
See Sec. 4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For
additional guidance, see also Appendix II (How To Make A Privacy Act
Request), available on the FTC's website at <a href="https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems">https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems</a> and at 73 FR 33592,
33634 (June 12, 2008).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
73 FR 33591-33634 (Jun 12, 2008).
* * * * *
April J. Tabor,
Secretary.
[FR Doc. 2025-18547 Filed 9-24-25; 8:45 am]
BILLING CODE 6750-01-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.