<xhtmlContent> In addition to the disclosures generally permitted under 5 U.S.C. 552a(b), and the routine uses specifically described in each system of records notice, records or information in the systems of records maintained by the Federal Trade Commission may be disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows, provided that no routine use specified herein shall be construed to limit or waive any other routine use specified either herein or in the text of the individual system of records notice: (1) If the record has been appropriately incorporated into the records maintained in FTC System of Records II-6, Discrimination Complaint System--FTC, the record may be disclosed under the routine uses associated with that system; (2) May be disclosed to the National Archives and Records Administration for records management inspections conducted under authority of 44 U.S.C. 2904 and 2906; (3) May be disclosed to other agencies, offices, establishments, and authorities, whether federal, state, local, foreign, or self-regulatory (including, but not limited to organizations such as professional associations or licensing boards), authorized or with the responsibility to investigate, litigate, prosecute, enforce, or implement a statute, rule, regulation, or order, where the record of information by itself or in connection with other records or information: (a) Indicates a violation or potential violation of law, whether criminal, civil, administrative, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, or (b) Indicates a violation or potential violation of a professional, licensing, or similar regulation, rule, or order, or otherwise reflects on the qualifications or fitness of an individual who is licensed or seeking to be licensed; (4) May be disclosed to any source, private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of a legitimate investigation or audit; (5) May be disclosed to any authorized agency component of the Federal Trade Commission, Department of Justice, or other law enforcement authorities, and for disclosure by such parties: (a) To the extent relevant and necessary in connection with litigation in proceedings before a court or other adjudicative body, where (i) the United States is a party to or has an interest in the litigation, including where the agency, or an agency component, or an agency official or employee in his or her official capacity, or an individual agency official or employee whom the Department of Justice has agreed to represent, is or may likely become a party, and (ii) the litigation is likely to affect the agency or any component thereof; or (b) To obtain advice, including advice concerning the accessibility of a record or information under the Privacy Act or the Freedom of Information Act; (6) May be disclosed to a congressional office in response to an inquiry from the congressional office made at the request of the subject individual, but only to the extent that the record would be legally accessible to that individual; (7) May be disclosed to debt collection contractors for the purpose of collecting debts owed to the government, as authorized under the Debt Collection Act of 1982, 31 U.S.C. 3718, and subject to applicable Privacy Act safeguards; (8) May be disclosed to a grand jury agent pursuant either to a federal or state grand jury subpoena, or to a prosecution request that such record be released for the purpose of its introduction to a grand jury, where the subpoena or request has been specifically approved by a court; and (9) May be disclosed to the Office of Management and Budget (OMB) for the purpose of obtaining advice regarding agency obligations under the Privacy Act, or in connection with the review of private relief legislation pursuant to OMB Circular A-19. To appropriate agencies, entities, and persons when: (1) The FTC suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) The FTC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the FTC or another agency or entity) that rely upon the compromised information; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FTC's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</xhtmlContent> </appendix> <regulations id="reg" toc="yes"> <regulationsTitle number="16"> <heading> Commercial Practices </heading> <regulationsChapter number="I"> <heading> Federal Trade Commission </heading> <regulationsPart number="4"> <heading> MISCELLANEOUS RULES </heading> <xhtmlContent> Sec. 4.13 Privacy Act rules. Authority: 15 U.S.C. 46, unless otherwise noted. § 4.13 Privacy Act rules. (a) Purpose and scope. (1) This section is promulgated to implement the Privacy Act of 1974 (Pub. L. 93-579, 5 U.S.C. 552a) by establishing procedures whereby an individual can, as to all systems of records maintained by the Commission except those set forth in § 4.13(m) as exempt from disclosure, (i) Request notification of whether the Commission maintains a record pertaining to him in any system of records, (ii) request access to such a record or to an accounting of its disclosure, (iii) request that the record be amended or corrected, and (iv) appeal an initial adverse determination of any such request. This section also establishes those systems of records that are specifically exempt from disclosure and from other requirements. (2) The procedures of this section apply only to requests by an individual as defined in § 4.13(b). Except as otherwise provided, they govern only records containing personal information in systems of records for which notice has been published by the Commission in the Federal Register pursuant to section 552a(e)(4) of the Privacy Act of 1974 and which are neither exempt from the provisions of this section nor contained in government-wide systems of personnel records for which notice has been published in the Federal Register by the Office of Personnel Management. Requests for notification, access, and amendment of personnel records which are contained in a system of records for which notice has been given by the Office of Personnel Management are governed by the Office of Personnel Management's notices, 5 CFR part 297. Access to records which are not subject to the requirements of the Privacy Act are governed by §§ 4.8 through 4.11. (b) Definitions. The following definitions apply to this section only: (1) Individual means a natural person who is a citizen of the United States or an alien lawfully admitted for permanent residence. (2) Record means any item, collection, or grouping of personal information about an individual that is maintained by the Commission, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph, but does not include information concerning proprietorships, businesses, or corporations. (3) System of records means a group of any records under the control of the Commission from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual, for which notice has been published by the Commission in the Federal Register pursuant to 5 U.S.C. 552a(e)(4). (c) Procedures for requests pertaining to individual records in a record system. An individual may request access to his or her records or any information pertaining to that individual in a system of records, and notification of whether and to whom the Commission has disclosed a record for which an accounting of disclosures is required to be kept and made available to the individual, using the procedures of this section. Requests for the disclosure of records under this section or to determine whether a system of records contains records pertaining to an individual or to obtain an accounting of disclosures, shall be in writing and if mailed, addressed as follows: Privacy Act Request, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. If requests are presented in person at the Office of the General Counsel, the individual shall be required to execute a written request. All requests shall name the system of records that is the subject of the request, and shall include any additional information specified in the pertinent system notice as necessary to locate the records requested. If the requester wants another person to accompany him or her to review the records, the request shall so state. Nothing in this section will allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding. (d) Times, places, and requirements for identification of individuals making requests. Verification of identity of persons making written requests to the deciding official (as designated by the General Counsel) ordinarily will not be required. The signature on such requests will be deemed a certification by the signatory that he or she is the individual to whom the record pertains or is the parent or guardian of a minor or the legal guardian of the individual to whom the record pertains. The deciding official (as designated by the General Counsel) may require additional verification of a requester's identity when such information is reasonably necessary to assure that records are not improperly disclosed; provided, however, that no verification of identity will be required if the records sought are publicly available under the Freedom of Information Act. (e) Disclosure of requested information to individuals. Within 10 working days of receipt of a request under § 4.13(c), the deciding official (as designated by the General Counsel) will acknowledge receipt of the request. Within 30 working days of the receipt of a request under § 4.13(c), the deciding official (as designated by the General Counsel) will inform the requester whether a system of records containing retrievable information pertaining to the requester exists, and if so, either that the request has been granted or that the requested records or information is exempt from disclosure pursuant to § 4.13(m). When, for good cause shown, the deciding official (as designated by the General Counsel) is unable to respond within 30 working days of the receipt of the request, that official will notify the requester and inform him or her approximately when a response will be made. (f) Special procedures: Medical records. When the deciding official (as designated by the General Counsel) determines that disclosure of a medical or psychological record directly to a requesting individual could have an adverse effect on the individual, he or she will require the individual to designate a medical doctor to whom the record will be transmitted. (g) Request for correction or amendment of record. An individual to whom access to his records or any information pertaining to him in a system of records has been granted may request that any portion thereof be amended or corrected because he believes it is not accurate, relevant, timely, or complete. An initial request for correction or amendment of a record shall be in writing whether presented in person or by mail, and if by mail, addressed as in § 4.13(c). In making a request under this subsection, the requesting party shall state the nature of the information in the record the individual believes to be inaccurate, irrelevant, untimely, or incomplete, the correction or amendment desired, and the reasons therefore. (h) Agency review of request for correction or amendment of record. Whether presented in person or by mail, requests under § 4.13(g) will be acknowledged by the deciding official (as designated by the General Counsel) within 10 working days of the receipt of the request if action on the request cannot be completed and the individual notified of the results within that time. Thereafter, the deciding official (as designated by the General Counsel) will promptly either make the requested amendment or correction or inform the requester of his refusal to make the amendment or correction, the reasons for the refusal, and the requester's right to appeal that refusal in accordance with § 4.13(i). (i) Appeal of initial adverse agency determination. (1) If an initial request filed under § 4.13(c) or § 4.13(g) is denied, the requester may appeal that denial to the General Counsel. The appeal shall be in writing and addressed as follows: Privacy Act Appeal, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. Within 30 working days of the receipt of the appeal, the General Counsel will notify the requester of the disposition of that appeal, except that the General Counsel may extend the 30-day period for good cause, in which case, the General Counsel will advise the requester of the approximate date on which review will be completed. In unusual or difficult cases, the General Counsel may, in his or her sole discretion, refer an appeal to the Commission for determination. (2)(i) If the General Counsel refuses to amend or correct the record in accordance with a request under § 4.13(g), the General Counsel will notify the requester of that decision and inform the requester of the right to file with the deciding official (as designated by the General Counsel) a concise statement setting forth the reasons for the requester's disagreement with the General Counsel's determination and the fact that the requester's statement will be treated as set forth in paragraph (i)(2)(ii) of this section. The General Counsel will also inform the requester that judicial review of the decision is available by a civil suit in the district in which the requester resides, or has his principal place of business, or in which the agency records are situated, or in the District of Columbia. (ii) If the individual files a statement disagreeing with the General Counsel's determination not to amend or correct a record, such disagreement will be clearly noted in the record involved and the individual's statement will be made available to anyone to whom the record has been disclosed after September 27, 1975, or is subsequently disclosed together with, if the General Counsel deems it appropriate, a brief statement of his or her reasons for declining to amend the record. (j) Disclosure of record to person other than the individual to whom it pertains. Except as provided by 5 U.S.C. 552a(b), the written request or prior written consent of the individual to whom a record pertains, or of his parent if a minor, or legal guardian if incompetent, shall be required before such record is disclosed. If the individual elects to inspect a record in person and desires to be accompanied by another person, the deciding official (as designated by the General Counsel) may require the individual to furnish a signed statement authorizing disclosure of his or her record in the presence of the accompanying named person. (k) Fees. No fees will be charged for searching for a record, reviewing it, or for copies of records made by the Commission for its own purposes incident to granting access to a requester. Copies of records to which access has been granted under this section may be obtained by the requester from the deciding official (as designated by the General Counsel) on payment of the reproduction fees provided in § 4.8(b)(6). (l) Penalties. Section 552a(i)(3) of the Privacy Act, 5 U.S.C. 552a(i)(3), makes it a misdemeanor, subject to a maximum fine of $5,000, to knowingly and willfully request or obtain any record concerning an individual under false pretenses. Sections 552a(i) (1) and (2) of the Privacy Act, 5 U.S.C. 552a(i) (1) and (2), provide penalties for violations by agency employees of the Privacy Act or regulations established thereunder. Title 18 U.S.C. 1001, Crimes and Criminal Procedures, makes it a criminal offense, subject to a maximum fine of $10,000 or imprisonment for not more than 5 years or both, to knowingly and willfully make or cause to be made any false or fraudulent statements or representations in any matter within the jurisdiction of any agency of the United States. (m) Specific exemptions. (1) Pursuant to 5 U.S.C. 552a(j)(2), investigatory materials maintained by an agency component in connection with any activity relating to criminal law enforcement in the following systems of records are exempt from all subsections of 5 U.S.C. 552a, except (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i), and from the provisions of this section, except as otherwise provided in 5 U.S.C. 552a(j)(2): Office of Inspector General Investigative Files--FTC (2) Pursuant to 5 U.S.C. 552a(k)(2), investigatory materials compiled for law enforcement purposes in the following systems of records are exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a, and from the provisions of this section, except as otherwise provided in 5 U.S.C. 552a(k)(2): Investigational, Legal, and Public Records--FTC Disciplinary Action Investigatory Files--FTC Clearance to Participate Applications and the Commission's Responses Thereto, and Related Documents--FTC Management Information System--FTC Office of the Secretary Control and Reporting System--FTC Office of Inspector General Investigative Files--FTC Stenographic Reporting Service Requests--FTC Identity Theft Complaint Management System--FTC Freedom of Information Act Requests and Appeals--FTC Privacy Act Requests and Appeals--FTC Information Retrieval and Indexing System--FTC (3) Pursuant to 5 U.S.C. 552a(k)(5), investigatory materials compiled to determine suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only where disclosure would reveal the identity of a confidential source of information, in the following systems of records are exempt from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of 5 U.S.C. 552a, and from the provisions of this section, except as otherwise provided in 5 U.S.C. 552a(k)(5): Personnel Security File--FTC [40 FR 40780, Sept. 3, 1975, as amended at 46 FR 26292, May 12, 1981; 48 FR 4280, Jan. 31, 1983; 55 FR 37700, Sept. 13, 1990; 55 FR 38801, Sept. 21, 1990; 57 FR 10808, Mar. 31, 1992; 58 FR 7047, Feb. 4, 1993; 63 FR 45648, Aug. 26, 1998; 64 FR 3014, Jan. 20, 1999; 64 FR 69397, Dec. 13, 1999; 66 FR 64144, Dec. 12, 2001; 67 FR 123, Jan. 2, 2002] </xhtmlContent> </regulationsPart> </regulationsChapter> </regulationsTitle> </regulations> </agency> </pai>

Federal Trade Commission FTC

-1 Biographies of Commissioners and Key Staff Members--FTC.

Office of Public Information--Room 496, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580.

Commissioners and key FTC staff members (current).

Contains name, biographical data (such as education, employment, etc.), and in some cases a photograph and/or news release on the individual's appointment.

Federal Trade Commission Act.

Resource material for writing news releases and FTC publications, and for filing requests for information from members of the media; used by OPA staff members. (With concurrence of individual concerned, information is prepared in biographical sketch format for release to news media and general public upon request.)

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Written documents and glossy photographs in manila folders in lockable file cabinet.

Indexed by name.

Available to public.

Upon or shortly after departure from Commission, individual's biographical sketch and photograph are destroyed. Photos may be given to subject.

Public Information Assistant, Office of Public Affairs, Room 496, Federal Trade Commission, Washington, DC 20580.

Same as above.

Individual whose biography and/or picture is contained in the system.

-2 Correspondence Control System--FTC.

Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.

All individuals formally requesting information from, or submitting complaints to, the FTC (including regional offices) in writing; staff members assigned to respond to correspondence.

Writer's name and address; nature of inquiry or complaint, including product and violation codes; and name of staff member(s) assigned to respond to letter.

Federal Trade Commission Act.

Used by headquarters and regional office staff as a management tool for tracking correspondence coming into the FTC (including regional offices), including keeping abreast of assignments and response deadlines. Nonpersonal information is abstracted to provide statistical data on the number and types of correspondence to which the Commission responds.

Referral to person, partnership, or corporation complained about by Commission staff or by another Federal, State, or local government agency to whom matter has been referred, when considered appropriate.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Records are retained in the Comnet computer after a response to the correspondence has been made, then purged from the system after the nonpersonal data has been added to a statistical accounting file. The nonpersonal statistical data accumulated in the computer since October 1977 is retrievable from the computer.

Supervisor, Correspondence Branch, Office of the Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580.

Same as above.

Individual on whom record is maintained; supervisors.

-3 System deleted.

-4 Claimants Under Federal Tort Claims Act and Military Personnel and Civilian Employees' Claims Act-FTC.

Federal Trade Commission, Office of the General Counsel, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Individuals who have claimed reimbursement from FTC under Federal Tort Claims Act and Military Personnel and Civilian Employees' Claims Act.

Personal information relating to traffic accidents and other incidents in which the FTC may be liable for property damage or loss or personal injuries.

Federal Tort Claims Act, 28 U.S.C. 2671 et seq.; Military Personnel and Civilian Employees' Claims Act, 31 U.S.C. 241 et seq.

To determine whether the FTC should honor claims for personal injuries or loss or damage to property in incidents involving FTC employees. Referral to Department of Justice, GSA, or other federal agency when the matter comes within the jurisdiction of such agency. Discussion and correspondence with insurance companies, with other persons or entities that may be liable, with potential witnesses or others having knowledge of the matter.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of a private citizen.

Storage:

Stored in manila file folders in file cabinet.

The system is filed alphabetically by name of the FTC employee involved in each incident.

The files are stored in an unlocked file cabinet in the Office of the Tort Claims officer. Access restricted to those agency personnel whose responsibilities require access.

The records are stored for 10 years, then destroyed.

Executive Director, Federal Trade Commission, Washington, DC 20580.

Same as above.

Information is obtained from claimant, FTC employee involved in incident, other FTC employees or other persons having knowledge of the circumstances, official police report (if any), and insurance company representing claimant (if any).

-IV-2 Identity Theft Complaint Management System-FTC.

Not applicable.

Federal Trade Commission, 600 Pennsylvania Avenue, NW, Washington, DC 20580. Records will be compiled and centrally maintained at this location, including any identity theft complaints that may be initially received or collected by the agency's Regional Offices.

a. Individuals who communicate with the Commission to complain about or to request assistance in resolving problems relating to identity theft, or to request information concerning identity theft.

b. Individuals who submit their complaints about identity theft to another organization that has agreed to provide its consumer complaint information on identity theft to the Commission (a "data-contributing member").

c. Individuals who communicate to the Commission on behalf of another person who is the victim of identity theft. In such a case, both individuals will be covered.

d. Individuals who are suspected of committing the complained-about identity theft.

e. Individuals who, at the time the records are added to the system, are Commission employees or contractors assigned to process or respond to correspondence or telephone calls.

a. Personal identifying information about the individual who communicates with the Commission or data contributing agency as a victim of identity theft, including, for example, the individual's name, address, telephone number, fax number, date of birth, social security or credit card numbers, e-mail address and other personal information extracted or summarized from the individual's complaint. Personal identifying information about the individual who communicates with the Commission or data-contributing agency as a reporting individual on behalf of someone else who was the victim of the identity theft, including, for example, the reporting individual's name, address, phone or fax number and e-mail address.

b. Name, address, telephone number or other information about an individual suspected of having committed the complained-about identity theft.

c. Name, address, telephone number or other information about a company that is suspected of having committed identity theft, is the subject of a complaint about how it handled the alleged incident of identity theft, or is associated with the complaint either as a creditor, debt collector, account issuer, credit bureau, or in another role (hereinafter, "company complained about or otherwise associated with the complaint"). This company information, although included in the system, is not subject to the Privacy Act.

d. Name and reference number of FTC staff member or contractor who entered or updated the complaint information in the Identity Theft Complaint Management System.

Federal Trade Commission Act, 15 U.S.C. 41 et seq.; section 5 of the Identity Theft and Assumption Deterrence Act of 1998, 18 U.S.C. 1028 note.

To maintain records of complaints and inquiries concerning identity theft, in order to: Enable the Commission to track and respond to complaints and inquiries; enable the Commission to refer complaints to appropriate entities, which may include referral to the three major national consumer reporting agencies and appropriate law enforcement agencies for potential law enforcement action; provide useful information that may lead to or be incorporated into law enforcement investigations and litigation or for other law enforcement purposes (when used in connection with law enforcement activities, also becomes part of FTC-I-1, Investigational, Legal and Public Records); provide useful information that may contribute to regulation and oversight of institutions and systems that play a role in or are affected by identity theft; and provide statistical data on the number and types of complaints and inquiries about identity theft received by the agency or its data-contributing members.

Records from this system may be disclosed as permitted by 5 U.S.C. 552a(b), and, as authorized by 5 U.S.C. 552a(b)(3), in accordance with the routine uses announced by the Commission in Appendix I of its system notice applicable to all other agency Privacy Act systems of records (57 FR 45678). Additional routine uses for records in this system are as follows, provided that no routine use specified either herein or in Appendix I shall be construed to limit or waive any other routine use published for this system:

a. Records may be made available or referred on an automatic or other basis to a company complained about or otherwise associated with the complaint, which may include the three major national consumer reporting agencies.

b. Records may be made available or referred on an automatic or other basis to other federal, state, or local government authorities for regulatory or law enforcement purposes.

c. Records may be incorporated, as appropriate, into other systems of records maintained by the Commission, including the Commission's consumer complaint database (FTC-IV-1) or its legal investigatory files (FTC-I-1), and subject to the routine uses published for those systems.

Disclosure to consumer reporting agencies:

Identity theft complaints maintained in this system of records may be referred to consumer reporting agencies (and other appropriate entities) in accordance with the Identity Theft and Assumption Deterrence Act.

Storage:

Stored in a computer data base maintained on magnetic disks and tape. Paper records stored in file folders.

Indexed by name, area code, phone number, address, state, zip code, social security number and date of birth of consumers who are the victims of identity theft. Also indexed by the name, area code, phone number, address, state, and zip code of individuals, if any, who are identity theft suspects. Also indexed by FTC reference number, by name, address, and telephone number of company complained about or otherwise associated with the complaint, by name of other government entity or consumer reporting agency, if any, contacted by consumer in effort to resolve complaint, by name of FTC office or data-contributing agency receiving complaint, by name of Commission staff member or contractor who entered or updated the information concerning the complaint in the system database, and by other categories of retrieval.

Paper records of incoming complaints maintained in lockable rooms and cabinets; access to computerized records by electronic security precautions, including "user ID" and password combinations and encrypted communications with external law enforcement agencies. Access restricted to those agency personnel and contractors whose responsibilities require access, or to approved staff members of external law enforcement agencies who have entered into a confidentiality agreement with the Commission.

Letters retained for a minimum of one year; automated information retained indefinitely.

Identity Theft Program Manager, Division of Planning &Information, Bureau of Consumer Protection, Federal Trade Commission, 600 Pennsylvania Avenue, NW, Washington, DC 20580.

16 CFR 4.13. Not applicable to the extent the system is exempt under 5 U.S.C. 552a(k)(2), as discussed below.

Individuals who have complained about identity theft and others who may submit complaints on behalf of such individuals; data-contributing agencies; companies complained about or otherwise associated with a complaint.

5 U.S.C. 552a(k)(2). See 16 CFR 4.13(m). This exemption protects records compiled for law enforcement purposes and is intended to prevent unauthorized disclosure to a target of the complaint. The Commission reserves the right to afford, at its discretion, any individual with notification, access, and contesting procedures under the Commission's rules (16 CFR 4.13) with regard to information entered or otherwise submitted by that individual into the system.

-IV-3 National Do Not Call Registry System-FTC (FTC-IV-3).

Not applicable.

Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. System records may be maintained, in whole or part, off-site by contractors.

Individuals who notify the Commission that they do not wish to receive telemarketing calls.

Telephone numbers of individuals who do not wish to receive telemarketing calls; information automatically generated by the system, including date and/or time that the telephone number was placed on or removed from the Registry; and other information that the individual may be asked to provide voluntarily (such as e-mail address, if the individual registers through the National Do Not Call Registry Web site).

Federal Trade Commission Act, 15 U.S.C. 41 et seq., Telemarketing and Consumer Fraud and Abuse Prevention Act, 15 U.S.C. 6101-6108; Do-Not-Call Implementation Act, Pub. L. 108-10 (2003).

To maintain records of the telephone numbers of individuals who do not wish to receive telemarketing calls; to disclose such records to telemarketers, sellers, and their agents in order for them to reconcile their do-not-call lists with the Registry and comply with the do-not-call provisions of the Commission's Telemarketing Sales Rule, 16 CFR Part 310; to enable the Commission and other law enforcement officials to determine whether a company is complying with the Rule; to provide statistical data that may lead to or be incorporated into law enforcement investigations and litigation; or for other law enforcement, regulatory or informational purposes.

Records from this system may be disclosed as permitted by 5 U.S.C. 552a(b), and, as authorized by 5 U.S.C. 552a(b)(3), in accordance with the routine uses announced by the Commission in Appendix I of its system notice applicable to all other agency Privacy Act systems of records (57 FR 45678), as may be revised and updated from time to time. Additional routine uses for records in this system are as follows, provided that no routine use specified either herein or in Appendix I shall be construed to limit or waive any other routine use published for this system:

a. Telephone numbers, but not any e-mail addresses, submitted by individuals may be made available or referred on an automatic or other basis to telemarketers, sellers, and their agents for the purpose of determining or verifying that an individual does not wish to receive telemarketing calls;

b. Records may be made available or referred on an automatic or other basis to other federal, state, or local government authorities for regulatory, compliance, or law enforcement purposes.

Disclosure to consumer reporting agencies:

Not applicable.

Storage:

Stored in a computer database maintained on magnetic disks and tape, or other electronic systems determined by the Commission in consultation with staff or contractors.

Indexed by area code and phone number of individuals who have informed the Commission that they do not wish to receive telemarketing calls. May also be retrieved by other data, if any, compiled or otherwise maintained with the record.

Access to computerized records by electronic security precautions. Access is generally restricted to those agency personnel and contractors whose responsibilities require access, or to approved telemarketers, sellers, and their agents. (See also "Purposes" and "Routine Uses" above to learn how information may be used or disclosed.)

Automated information retained indefinitely, until deleted pursuant to request by the subject individual, or deleted automatically after certain period of time, to be determined by the Commission.

National Do Not Call Registry Program Manager, Division of Planning and Information, Bureau of Consumer Protection, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

To obtain notification of whether the system contains a record pertaining to that individual (i.e., the individual's telephone number), individuals may be required to use a dial-in system or a designated Web site that will enable the identification and verification of their telephone numbers. Individuals filing written requests pursuant to 16 CFR 4.13 will be acknowledged and directed to use those automated systems.

See notification procedures above. To request access to any information maintained with your registration that is not available to you through the automated dial-in system or the designated Web site, you must submit your request in writing under the Commission's Rules to: "Privacy Act Request, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580." See 16 CFR 4.13.

See notification procedures above. Where an individual believes the system has erroneously recorded or omitted information that is collected and maintained by the system, the individual will be afforded the opportunity to register, change, or delete that information after the automated system identifies and verifies the telephone number from which the individual is calling, or the individual provides other requested identifying information if the individual is using the designated Web site. To contest the accuracy of any other information maintained on you that is not accessible to you through the automated dial-in system or Web site, you must submit your request in writing under the Commission's Rules to: "Privacy Act Request, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue NW., Washington, DC 20580." See Commission Rule 4.13, 16 CFR 4.13.

Individuals who inform the Commission through the procedures established by the Commission that they do not wish to receive telemarketing calls. Some records may come from do-not-call lists that some states or other organizations separately maintain.

None.

-5 System deleted.

-6 System deleted.

-7 Congressional Correspondence Coordination Unit Records, Office of Congressional Relations--FTC.

Congressional Correspondence Coordination Unit, Office of Congressional Relations, Federal Trade Commission, Washington, DC 20580.

Members of Congress, President and Vice President.

Name; address; title; any other personal information in letter.

Federal Trade Commission Act.

To respond to correspondence. To determine whether any law enforcement or other action by FTC may be warranted. Referral to other federal, state, or local government agencies for appropriate action when matter complained of or inquired about comes within the jurisdiction of such agency. Used by FTC employees and by personnel of any agency to which the matter is referred.

Disclosure may be made to a congressional office, White House Correspondence Office and the Vice President's Correspondence Office from the record of an individual only when these offices make requests on behalf of the private citizen.

Referral to person, partnership, or corporation complained about by Commission staff or by another federal, state, or local governmental agency to whom matter has been referred, when considered appropriate.

Storage:

Manila folders.

Indexed by name of congressman, President and Vice President.

Stored in lockable metal cabinets. Access restricted to those agency personnel whose responsibilities require access.

Transferred to Federal Records Center at end of six years.

Director, Office of Congressional Relations, Federal Trade Commission, Washington, DC 20580.

By mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act request, Office of the Executive Director, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Congressmen.

-I-7 Office of Inspector General Investigative Files-FTC.

None.

FTC Office of Inspector General, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

Subjects of OIG investigations relating to the programs and operations of the Federal Trade Commission. Subject individuals include, but are not limited to, current and former employees; current and former agents or employees of contractors or subcontractors, as well as current and former contractors and subcontractors in their personal capacity, where applicable; and other individuals whose actions affect the FTC, its programs or operations.

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, documents and records relating to the investigation; opening reports, information or data relating to alleged or suspected criminal, civil or administrative violations or similar wrongdoing by subject individuals and final reports of investigation.

Inspector General Act Amendments of 1988, Pub. L. 100-504, amending the Inspector General Act of 1978, Pub. L. 95-452, 5 U.S.C. app.

To document the conduct and outcome of investigations; to report results of investigations to other components of the FTC or 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 an action deemed appropriate and for retaining sufficient information to fulfill reporting requirements; and to maintain records related to the activities of the Office of the Inspector General.

In addition to the disclosures generally permitted under 5 U.S.C. 552a(b), and the disclosure provisions described in Appendix I of the notice published at 57 FR 45678 (Oct. 2, 1992) (compiling various FTC system notices), records or information in these records may be specifically disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows, provided that no routine use specified either herein or in Appendix I shall be construed to limit or waive any other routine use:

(1) Disclosed to agencies, offices, or establishments of the executive, legislative, or judicial branches of the federal or state government

(a) Where such agency, office, or establishment has an interest in the individual for employment purposes, including a security clearance or determination as to access to classified information, and needs to evaluate the individual's qualifications, suitability, and loyalty to the United States Government, or

(b) Where such agency, office, or establishment conducts an investigation of the individual for the purposes of granting a security clearance, or for making a determination of qualifications, suitability, or loyalty to the United States Government, or access to classified information or restricted areas, or

(c) Where the records or information in those records are relevant and necessary to a decision with regard to the hiring or retention of an employee or disciplinary or other administrative action concerning an employee, or

(d) Where disclosure is requested in connection with the award of a contract or other determination relating to a government procurement, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter, including, but not limited to, disclosure to any Federal agency responsible for considering suspension or debarment actions where such record would be germane to a determination of the propriety or necessity of such action, or disclosure to the United States General Accounting Office, the General Services Administration Board of Contract Appeals, or any other Federal contract board of appeals in cases relating to an agency procurement;

(2) Disclosed to the Office of Personnel Management, the Office of Government Ethics, the Merit Systems Protection Board, the Office of the Special Counsel, the Equal Employment Opportunity Commission, or the Federal Labor Relations Authority or its General Counsel, of records or portions thereof relevant and necessary to carrying out their authorized functions, such as, but not limited to, rendering advice requested by the OIG, investigations of alleged or prohibited personnel practices (including unfair labor or discriminatory practices), appeals before official agencies, offices, panels or boards, and authorized studies or review of civil service or merit systems or affirmative action programs;

(3) Disclosed to independent auditors or other private firms with which the Office of the Inspector General has contracted to carry out an independent audit or investigation, or to analyze, collate, aggregate or otherwise refine data collected in the system of records, subject to the requirement that such contractors shall maintain Privacy Act safeguards with respect to such records;

(4) Disclosed to a direct recipient of federal funds such as a contractor, where such record reflects serious inadequacies with a recipient's personnel and disclosure of the record is for purposes of permitting a recipient to take corrective action beneficial to the Government;

(5) Disclosed to any official charged with the responsibility to conduct qualitative assessment reviews of internal safeguards and management procedures employed in investigative operations. This disclosure category includes members of the President's Council on Integrity and Efficiency, Executive Council on Integrity and Efficiency and officials and administrative staff within their investigative chain of command, as well as authorized officials of the Department of Justice and the Federal Bureau of Investigation; and

(6) Disclosed to members of the President's Council on Integrity and Efficiency and the Executive Council on Integrity and Efficiency for the preparation of reports to the President and Congress on the activities of the Inspectors General.

Disclosure to consumer reporting agencies:

Disclosures may be made from this system, pursuant to 5 U.S.C. 552a(b)(12), to consumer reporting agencies as defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f), or the Federal Claims Collection Act of 1966, 31 U.S.C. 3701(a)(3), in accordance with 31 U.S.C. 3711(f).

Storage:

The OIG Investigative Files consist of paper records maintained in file folders, cassette tapes and CD-ROMs containing audio recordings of investigative interviews, and data maintained on computer diskettes and hard drives. The folders, cassette tapes, CD-ROMs and diskettes are stored in file cabinets in the OIG. The hard drives are retained in the OIG safe.

The records are retrieved by the name of the subject of the investigation or by a unique control number assigned to each investigation.

Records are maintained in lockable file cabinets in lockable rooms. Access is restricted to individuals whose duties require access to the records. File cabinets and rooms are locked during non-duty hours.

As prescribed in National Archives and Records Administration General Records Schedule 22, item 1b, OIG Investigative Files are destroyed 10 years after a case is closed. Cases that are unusually significant for documenting major violations of criminal law or ethical standards are offered to the National Archives for permanent retention.

Inspector General, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

Under the provisions of 5 U.S.C. 552a(d), an individual may request notification as to whether a system of records contains records retrieved using his or her personal identifier, may request access to records in a system of records, and may contest the accuracy or completeness of records. Each of those actions may be initiated by the individual by mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. See 16 CFR 4.13(c)-(k).

See above.

Employees or other individuals on whom the record is maintained, non-target witnesses, FTC and non-FTC records, to the extent necessary to carry out OIG investigations authorized by 5 U.S.C. app.

Pursuant to 5 U.S.C. 552a(j)(2), records in this system are exempt from the provisions of 5 U.S.C. 552(a), except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10) and (11) and (i) and corresponding provisions of 16 CFR 4.13, to the extent that a record in the system of records was compiled for criminal law enforcement purposes.

Pursuant to 5 U.S.C. 552a(k)(2), the system is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I) and (f) and the corresponding provisions of 16 CFR 4.13, to the extent the system of records consists of investigatory material compiled for law enforcement purposes, other than material within the scope of the exemption at 5 U.S.C. 552a(j)(2).

See 16 CFR 4.13(m), as amended.

-8 Congressional Inquiry Files, Dallas Regional Office--FTC.

Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas 75201.

Constituents who have written their congressional representatives for aid in resolving consumer problems, and Members of Congress.

Contains consumer letters, letters from Members of Congress transmitting the complaints, FTC's acknowledgement of the complaints, and FTC's replies to the congressional representatives.

FTC Administrative Manual, 1-201.1; Federal Records Act, Section 506(a); GSA Regulations (Sec. 101-11.209-3); Federal Trade Commission Act.

To respond to correspondence. To determine whether any law enforcement or other action by FTC may be warranted. Referral to other federal, state, or local governmental agencies for appropriate action when matter complained of or inquired about comes within the jurisdiction of such agency. Used by FTC employees and by personnel of any agency to which the matter is referred.

Referral to person, partnership, or corporation complained about by Commission staff or by another federal, state or local governmental agency to whom matter has been referred, when considered appropriate.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of a private citizen.

Storage:

Maintained generally on letterhead forms.

Indexed by name of Member of Congress.

Records are maintained in a file cabinet locked by key. Access restricted to those agency personnel whose responsibilities require access.

Records are retained for 6 months, then destroyed.

Regional Director, Federal Trade Commission, Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas 75201.

Same as above.

Individual on whom record is maintained, Members of Congress.

-9 Consultant Files, Division of Advertising Practices, Bureau of Consumer Protection--FTC.

Bureau of Consumer Protection, Federal Trade Commission, Star Building, Rm. 6414A, 1101 Pennsylvania Ave., NW, Washington, DC 20580.

Consultants consisting of experts in various fields, including medical and scientific.

Contains name, curriculum vitae, resume of employment, lists of publications in field, copies of application forms submitted to FTC.

Federal Trade Commission Act.

Identification of medical doctors, scientists and other experts who are available on a consultant basis to advise professional staff members of the Bureau of Consumer Protection. Used by staff members of the Bureau of Consumer Protection.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of a private citizen.

Storage:

Letter-size files in regulation cabinet.

Indexed by name:

Secured as are other files by locking of office door at night. Building guard stationed at building entrance. Access restricted to those agency personnel whose responsibilities require access.

Maintained indefinitely for future reference.

Administrative Officer, Division of Advertising Practices, Federal Trade Commission, Star Building--Room 6414A, 1101 Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Individual on whom record is maintained.

-10 Consumer and Industry Correspondence Files, Division of Credit Practices; Bureau of Consumer Protection--FTC.

Division of Credit Practices, 633 Indiana Avenue, NW, Washington, DC 20580.

Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.

Consumer and industry correspondence.

Correspondence.

Federal Trade Commission Act, Truth in Lending Act, Fair Credit Reporting Act, Equal Credit Reporting Act, Equal Credit Opportunity Act, Fair Credit Billing Act and Fair Debt Collection Practices Act.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of a private citizen.

Storage:

Maintained in folders, on credit documents coding forms, and on disc.

Folders are indexed by name--usually corporate name. Computer retrievability of the credit document coding form by consumer name, industry name, statute, Equal Credit Opportunity Act categories and statutory violation section.

Maintained in file cabinets. Access restricted to those agency personnel whose responsibilities require access.

Selected statutory correspondence maintained indefinitely; other materials retained for a minimum of 3 years, then destroyed.

Associate Director for Credit Practices, Bureau of Consumer Protection, 633 Indiana Avenue, NW, Washington, DC 20580.

Same as above.

Individual.

-11 Consumer Complaint Files, Atlanta Regional Office--FTC.

Atlanta Regional Office, 1718 Peachtree Street, NW, Room 1000, Atlanta, Georgia 30309.

Members of the general public.

Consists of letters from individuals filing complaints as to unsatisfactory commercial transactions and practices of various firms, businesses and individuals. System also includes a complaint log identifying party complained of and individual complaints.

Federal Trade Commission Act.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained in letter-size file folders.

Filed alphabetically by name.

Filed in metal file cabinet. Office locked when unattended. Access restricted to those agency personnel whose responsibilities require access.

Retained for a minimum of one year and destroyed by delivering to and placing the material in local government-operated incinerator.

Regional Director, Atlanta Regional Office, 1718 Peachtree Street, NW, Room 1000, Atlanta, Georgia 30309.

Same as above.

From individual members of the public and occasionally from other federal or state agencies.

-12 Consumer Complaint File, Dallas Regional Office--FTC.

Federal Trade Commission, Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas 75201.

Individuals who have filed complaints or requested information.

Contains name and location of company complained about, violation, date complaint was received, and correspondence number.

Federal Trade Commission Act.

To identify companies complained about, number of complaints received on a company, and to identify problems in a particular industry. To respond to correspondence.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

File folders filed numerically. Indexed and stored on NBI 3000 word processor.

Retrieval is by violation code, product code, complainant's name, state, and the name of the company the complaint was filed against.

Stored in lockable file cabinets and on NBI. Access restricted to those agency personnel whose responsibilities require access.

Records are retained for 2 years in the Dallas regional office, then destroyed.

Regional Director, Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas 75201.

Same as above.

Individual filing complaint.

-13 Consumer Complaint Files, Division of Marketing Practices; Bureau of Consumer Protection--FTC.

Division of Marketing Practices, Bureau of Consumer Protection, Federal Trade Commission, Washington, DC 20580.

Persons associated with, affiliated with, or representing the businesses involved in the alleged practices. Persons affected by the business or its alleged practices.

Name; address; transaction history with persons, partnerships or corporations.

Section 5 of the Federal Trade Commission Act.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained in folders, on franchise coding forms, and on disc.

Indexed by name, company involved, alleged practice, names of persons associated with, affiliated with, or representing the business involved in the alleged practices, names of persons affected by the business or its alleged practices, source of contact, type of franchise, method of promotion, state of violation, product name, product category, source, victim, accession number, location number, types of violations, amounts of initial fees.

Filing cabinets in secure buildings, computer ID required to enter computer system, computer job control language required to activate data, computer passwork required to open file. Access to computer system and filing cabinets restricted to those agency personnel whose responsibilities require access.

Records maintained until enforcement action is final and then removed to GSA for permanent storage.

Associate Director for Marketing Practices, Bureau of Consumer Protection, Federal Trade Commission, Washington, DC 20580.

Same as above.

Consumer; federal, state or local enforcement agencies; private organizations (e.g., Better Business Bureaus, consumer hot lines) that receive consumer complaint letters.

-14 Consumer Complaint Files, Los Angeles Regional Office--FTC.

Federal Trade Commission, Los Angeles Regional Office,11000 Wilshire Boulevard, Room 13209, Los Angeles, California 90024.

Individuals who submit complaints against companies, practices, individuals in the Los Angeles Office area.

Name; address; information about the practices, activities, and policies of organizations or individuals submitted by various complainants.

Federal Trade Commission Act.

Referral to person, partnership, or corporation complained about by Commission staff or by another federal, state, or local government agency to whom matter has been referred, when considered appropriate. Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

File folders.

Indexed in log book by name of complainant.

Stored in file cabinets. Access restricted to those agency personnel whose responsibilities require access.

Retained for one year, then destroyed.

Assistant Regional Director, Federal Trade Commission, Los Angeles Regional Office, 11000 Wilshire Boulevard, Room 13209, Los Angeles, California 90024.

Same as above.

Consumers and business complainants.

-15 Application for Reimbursement for Participation in Rulemaking Proceedings--FTC.

Information Division, Office of the Secretary, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Director, Division of Budget and Finance, Federal Trade Commission, Room 774, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Section 18(h) of the Federal Trade Commission Act.

Used by the Division of Budget and Finance to prepare audit reports on applicant's use of approved funding.

Storage:

All material submitted by applicants, related correspondence, and all determinations by the General Counsel are placed on the public record (1) in the rulemaking record, and (2) in binders devoted solely to such applications.

The information is stored in binders on the public record in the Public Reference Room; duplicate and related internal memoranda stored in file folders in the Division of Budget and Finance.

Filed under title of rulemaking proceeding and indexed by name of applicant.

Maintained in lockable offices; requests for funding and responses thereto available to public.

Retained indefinitely.

Secretary, Federal Trade Commission (Address same as System Location).

Director, Division of Budget and Finance, Federal Trade Commission (Address same as System Location).

By mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the Executive Director, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580. In order for personal information in this system to be retrieved, a request must specify the title of the rulemaking proceeding.

Same as above.

Individual applicant and commenting third parties, if any.

-16 Consumer Complaint Letters, Seattle Regional Office--FTC.

Federal Trade Commission, Seattle Regional Office, 2840 Federal Building, 915 Second Avenue, Seattle, Washington 98174.

Those persons who direct a consumer complaint or request for assistance or information to the Seattle Regional Office; those forwarding a complaint from a consumer such as a member of the media or another federal, state or local agency; individuals against whom complaints are received.

Name; address; nature of the consumer's complaint; the name and location of the party complained of; and the supporting documents, where provided.

Federal Trade Commission Act; FTC Operating Manual provides for processing of consumer complaints.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained alphabetically by company name in file cabinet.

Alphabetically by name of company complained of.

Files are maintained in folders in a file cabinet; responsibility of file clerk. Access restricted to those agency personnel whose responsibilities require access.

Held two years, then destroyed.

Regional Director, Seattle Regional Office, 2840 Federal Building, 915 Second Avenue, Seattle, Washington 98174.

Same as above.

Those consumers who have submitted a complaint or a request for assistance or information.

-17 Consumer Mailing List, Los Angeles Regional Office--FTC.

Federal Trade Commission, Los Angeles Regional Office, 11000 Wilshire Boulevard, Room 13209, Los Angeles, California 90024.

Individuals who have requested publications from the Los Angeles Regional Office and individuals who receive local Call for Comment.

Name; mailing address; and business title, if any.

Federal Trade Commission Act.

Used to mail Los Angeles Regional Office publications, FTC publications, and local Call for Comment to listed names. Used by Regional Office personnel.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Daconics magnetic disc.

By name.

Daconics disc storage. Access restricted to those agency personnel whose responsibilities require access.

By disc erasure when consumer no longer desires publications or local Call for Comment. List is revised at least annually.

Assistant Director, Federal Trade Commission, Los Angeles Regional Office, 11000 Wilshire Boulevard, Room 13209, Los Angeles, California 90024.

Same as above.

Individual on whom the record is maintained.

-18 Consumer Redress Lists, Enforcement Division, Bureau of Consumer Protection--FTC.

Enforcement Division, Bureau of Consumer Protection, Federal Trade Commission, 600 E Street NW, Rm. 801, Washington, DC 20580.

Consumers entitled to redress pursuant to Commission or court order.

Name, address, and other information pertinent to identifying consumers qualifying for consumer redress in specific proceedings.

Federal Trade Commission Act.

To identify consumers qualifying for consumer redress pursuant to Commission or court order. Used by Enforcement Division personnel, other FTC personnel, and personnel of other Federal agencies participating in proceedings involving consumer redress.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Manila file folders and computer terminal.

Indexed by name.

Access restricted to those agency personnel whose responsibilities require access.

Records maintained until consumer redress is completed, then disposed of.

Associates Director for Enforcement, Division of Enforcement, Bureau of Consumer Protection, Federal Trade Commission, 600 E Street NW, Rm. 801, Washington, DC 20580.

By mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the Executive Director, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580. In order for personal information in this system to be retrieved, a request must specify the name of the firm or proceeding.

Same as above.

Affected consumers and other members of the public, persons, partnerships, or corporations subject to consumer redress orders.

-19 Correspondence With Enforcement Division, Bureau of Consumer Protection, Concerning Parties Subject to Commission Orders--FTC.

Enforcement Division, Bureau of Consumer Protection, Federal Trade Commission, 600 E Street, NW, Rm. 801, Washington, DC 20580.

Persons corresponding with Enforcement Division concerning parties subject to Commission orders.

Correspondence.

Federal Trade Commission Act.

To respond to correspondence. To determine whether any further law enforcement or other action by FTC may be warranted. Referral to other federal, state, or local governmental agencies for appropriate action when the matter complained of or inquired about comes within the jurisdiction of such agency. Used by FTC employees and by personnel of any agency to which the matter may be referred.

Referral to person, partnership, or corporation complained about by Commission staff or by another federal, state, or local governmental agency to whom the matter was been referred, when considered appropriate.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Manila file folders.

Indexed by name of the respondent within file of each compliance matter.

Access restricted to those agency personnel whose responsibilities require access.

Records maintained indefinitely in the Enforcement Division or shipped to the Legal and Public Records Division of FTC for permanent storage.

Associate Director of Enforcement (Address same as System Location).

By mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the Executive Director, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580. In order for personal information in this system to be obtained, a request must specify the name of the firm or proceeding.

Same as above.

Individuals corresponding with Enforcement Division.

-20 Employee Locator System--FTC.

Federal Trade Commission, Room 120, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Current FTC employees.

Name; employee number; building code and room number; office telephone number; correspondence code; contact code; mail drop code.

Federal Trade Commission Act.

Used to produce FTC telephone directory used by all agency personnel, and mail locator listings used by mail room personnel; used by library staff to ascertain an employee's identification number for subsequent use in retrieving information from the Automated Serials Routing System (FTC-45).

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Magnetic disc and tape.

By name or employee number.

Access restricted to those agency personnel with knowledge of the computer password for the system.

Information is continuously updated; obsolete data is erased from system.

Chief, Facilities Management Section, Division of Administrative Services, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained, administrative officers.

-21 Counseling Records--FTC.

Division of Personnel, Federal Trade Commission, Washington, DC 20580.

Current employees of the Federal Trade Commission.

(a) Upward Mobility: Individual Development Plan and counseling notes; (b) Professional Training: Individual Development Plan and counseling notes; (c) Executive Development: Individual Development Plan and counseling notes; (d) Employee Relations: Counseling notes, unofficial memoranda about or given to employee concerning problems(s) which arises; (e) Debt Letters: Letters from creditors about debts owed by current employees and copies of employee responses.

5 U.S.C. Chapter 41; Executive Order 11348; EEO Act 1972; Executive Order 11478; Title 5 U.S.C. 735.207; Executive Order 9830; 5 U.S.C.230.101; Federal Personnel Manual Chapter 250.

Upward Mobility, Professional Training and Executive Development--Used by program director or others whose official duties require such information to provide a record of employee goals and objectives and classes needed to attain those objectives and to maintain a record of courses taken.

Employee Relations and Debt--Used by Employee Relation Specialist or others whose official duties require such information. Information provides a record of counseling provided and resolution of problem(s). If the problem results in a disciplinary action, information in file may become part of an official record.

Referral to the Office of Personnel Management concerning pay, benefits, retirement deductions, and other information necessary for the Commission to carry out its governmentwide personnel management functions.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Records are maintained in manila folders.

Records are indexed by name.

Records are stored in lockable metal file cabinets. Access to and use of these records is limited to those persons whose official duties require such access.

Destroyed upon completion of the program (Upward Mobility, Professional and Executive Development Programs) or upon employee's separation from the agency (Employee Relations and Debt Counseling).

Director of Personnel, Federal Trade Commission, Washington, DC 20580.

Same as above.

Individual to whom the records pertain, supervisor, program manager, counselor.

-22 Disciplinary Action Investigatory Files--FTC.

Office of the Executive Director, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

FTC personnel, counsel for parties under investigatory or adjudicatory proceedings, and others participating in FTC matters subject to investigation for possible improper or unethical conduct.

Name, address, current employment status, subject matter of investigation.

Federal Trade Commission Act; Executive Order No. 10450.

Determination of whether disciplinary action, including suspension or disbarment from practice before Commission, is warranted; could include transfer of information to Office of Personnel Management, to a court, or a bar association. Used by agency personnel assigned to investigate and handle matter and by personnel of other agencies, court, or bar association to whom matter is referred.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained in standard letter-size file cabinets, in Record Center Storage Containers, on microfilm or microfiche.

Indexed by individual name, company name, industry investigation title, file or docket number.

Unlocked file cabinets with normal building security, record center storage and security. Access restricted to National Archives; remainder destroyed by shredding or burning. Docket records retained five years and then transferred to National Archives.

Supervisor, Records Management Branch, Office of the Secretary, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Records in this system are generally exempt from mandatory disclosure under 5 U.S.C. 552a(k)(2). However, some individual records may be disclosable, and access to them may be requested by mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the Executive Director, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained, complainants, informants, witnesses, and Commission personnel having knowledge or providing analysis of matter.

Pursuant to 5 U.S.C.552a(k)(2), records in this system generally are exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a. See section 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

-23 Financial Management System--FTC.

Division of Budget and Finance, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

FTC personnel who travel or otherwise might be involved in reimbursement of expenses situations.

Contains names and employee number or social security number of person involved in travel or otherwise reimbursed for expenses conducted in performances of official duties of FTC. Information relating to travel expenses.

5 U.S.C. Chapter 57.

Identification and retrieval for use in financial reports of FTC. Recording information relating to expenses incurred by FTC personnel in performance of official duties.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Computer hardcopy listing; computerized tape vendor file.

Indexed by name and employee number.

Records are maintained in division files and computer file; access limited to Budget and Finance personnel.

Retained per GSA Archives schedule of retention and disposal.

Director, Division of Budget and Finance (Same address as System Location).

Same as above.

Individual on whom the record is maintained, complainants, informants, witnesses, and Commission personnel having knowledge or providing analysis of matter.

Pursuant to 5 U.S.C. 552a(k)(2), records in this system generally are exempt from the requirements of subsections (c)(3), (d), (e)(1), (3)(4) (G), (H), and (I), and (f) of 5 U.S.C. 552a. See section 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

-24 Financial Statements of Commissioners-Elect-FTC.

Office of General Counsel, Rm. 568, Federal Trade Commission, Washington, DC 20580.

FTC Commissioners-elect.

Financial statements of Commissioners-elect: Lists of personal property, stocks, bonds, indebtedness, etc.

Federal Trade Commission Act.

Reviewed for adequacy of disclosure and potential conflict of interest purposes when a new Commissioner-elect requests assistance with his/her financial statements. Used by the General Counsel and his staff.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained in legal-size accordion folders.

Indexed by name.

Maintained in a metal locked cabinet in GC's secretary's office. Access restricted to those agency personnel whose responsibilities require access.

Held since 1970. Retention indefinite.

General Counsel, Federal Trade Commission, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained.

-25 General Correspondence Records--FTC.

Office of the Secretary, Correspondence Branch, Federal Trade Commission, Room 701, 6th and Pennsylvania Avenue NW, Washington, DC 20580.

Consumers; individuals; public officials; company and corporation officers; attorneys; members of consumer groups, student groups, and committees.

Letters of complaint, inquiry, comment, petitions, and/or communications concerning FTC actions and activities.

Federal Trade Commission Act.

To respond to previous correspondence. To determine whether any law enforcement action by FTC may be warranted. Referral to other federal, state, or local governmental agencies for appropriate action when matter complained of or inquired about comes within the jurisdiction of such agency. Used by FTC employees and by personnel of any agency to which the matter is referred.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Legal-size standard file cabinets.

Indexed by correspondent's name on computer printout.

Unlocked file cabinets. Office security: Blue seal locked doors. Access restricted to those agency personnel whose responsibilities require access.

Copies of correspondence and correspondent index are retained for 1 year from date of receipt by Correspondence Branch.

Supervisor, Correspondence Branch, Office of the Secretary, Federal Trade Commission, Washington, DC 20580.

Same as above.

Individual on whom record is maintained.

-26 Applicant Files and General Personnel Records (Official Personnel Folder and Records Related Thereto): Duplicate Personnel Files and Automated Records-FTC.

Automated Records:

Division of Personnel

Federal Trade Commission

Washington, DC 20580

Comnet, Inc.

5185 MacArthur Blvd.

Washington, DC 20016

Duplicate Records:

Federal Trade Commission

6th Street &Pennsylvania Avenue, NW

Washington, DC 20580

Atlanta Regional Office

1718 Peachtree Street, NW, Room 1000

Atlanta, Georgia 30309

Boston Regional Office

150 Causeway Street

Boston, Massachusetts 02114

Chicago Regional Office

55 East Monore Street

Chicago, Illinois 60603

Cleveland Regional Office

Suite 500, Mall Building

118 Saint Clair Avenue

Cleveland, Ohio 44114

Dallas Regional Office

2001 Bryan Street, Suite 2665

Dallas, Texas 75201

Denver Regional Office

1405 Curtis Street

Suite 2900

Denver, Colorado 80202

Los Angeles Regional Office

13209 Federal Building

11000 Wilshire Boulevard

Los Angeles, California 90024

New York Regional Office

2243-EB Federal Building

26 Federal Plaza

New York, New York 10007

San Francisco Regional Office

450 Golden Gate Avenue

San Francisco, California 94102

Seattle Regional Office

28th Floor, Federal Building

915 Second Avenue

Seattle, Washington 98174

Current Federal Trade Commission employees and applicants for vacancies.

This system consists of a variety of records relating to personnel action determinations made about applicants or individual while employed in the federal service. These records contain information about an individual relating to birth date; social security number; verteran's preference; tenure; handicap; past and present job salaries, grades and position titles; position control information; letters of commendation, reprimand, charges, and decision on charges; notice of reduction-in-force; locator files; personnel actions, including but not limited to, appointment, reassignment, demotion, detail, promotion, transfer, and separation; training; minority group designator; records relating to life insurance, health benefits, and designation of beneficiary; performance rating; data documenting the reasons for personnel actions or decisions made about an individual; awards; and other information relating to the status of the individual.

Title 5 U.S.C. 1302, 2951, 4118, 4305, 4506, and Executive Order 10561.

Information or a record may be used:

a. By agency officials for purposes of review in connection with appointments, transfers, promotions, reassignments, adverse actions, disciplinary actions, and determination of qualification of an individual.

b. By the Office of Personnel Management for purposes of making a decision when a federal employee or former federal employee is questioning the validity of a specific document in an individual's record.

c. By the district courts to render a decision when an agency has refused to release to current or former federal employees a record under the Freedom of Information Act.

d. To provide information to a prospective employer of a government employee or former federal employee at the individual's request.

e. To provide data for the automated Center Personnel Data File.

f. To provide data on adverse actions, terminations, and for Security Investigation Index on New Hires.

g. To provide statistical reports to Congress, agencies, and the public on characteristics of the federal work force.

h. To provide information or disclose to a federal agency, in response to its request, in connection with the hiring or retention of an employee, the letting of a contract, or issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter.

i. To request information from a federal, state, or local agency maintaining civil, criminal, or other relevant enforcement or other pertinment information, such as licenses, if necessary to obtain relevant information or other pertinent information to an agency decision concerning the hiring or retention of an employee, the issuance of a security clearance the letting of a contract, or the issuance of a license, grant, or other benefit.

j. To refer, where there is an indication of a violation or potential violation of the law, whether civil, criminal, or regulatory in nature, to the appropriate agency, whether federal, state or local, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation, or order issued pursuant thereto.

k. As a data source for management information for promotion of summary descriptive statistic and analytical studies in support of the related personnel management functions of human resource studies; may also be utilized to locate specific individuals for personnel research or other personnel management functions.

l. Disclosed to health insurance carriers or plans participating in Federal Employee's Health Benefits Program in support of a claim for health insurance benefits.

m. Disclosed to the Department of Labor; Veterans Affairs Department; Department of Defense; Federal agencies which may have special civilian employee retirement programs; national, state, county, municipal, or other publicly recognized charitable or Social Security Administration agency to adjudicate a claim for benefits under OPM's Bureau of Retirement, Insurance, and Occupational Health or the recipient's benefit program(s), or to conduct an analytical study of benefits being paid under such program.

n. Disclosed to educational institutions for training purposes.

o. Disclosed to the Office of Management and Budget at any stage in the legislative coordination and clearance process in connection with private relief legislation as set forth in OMB Circular No. A-19.

p. Disclosed to officials of foreign governments for clearance before employee is assigned to that country.

q. Disclosed to Federal Employee's Group Life Insurance Program in support of an individual's claim for life insurance.

r. Disclosed to labor organizations in response to requests for names of employees and identifying information.

s. Disclosed to officials of labor organizations recognized under Executive Orders 11636 and 11491, as amended, when relevant and necessary to their duties of exclusive representation concerning personnel policies, practices and matters affecting working conditions.

t. Disclosed in response to a request for discovery or for appearance of a witness, if relevant to the subject matter involved in a pending judicial or administrative proceeding.

u. Disclosed for any routine use noted in the Office of Personnel Management Act Notice for this system of records. See 44 FR 30882 (1979).

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Records are maintained in file folders, magnetic tapes, and punched cards.

Records are indexed by any combination of name, birth date, social security number, or identification number.

Duplicate files--Records are located in lockable metal file cabinets or in metal file cabinets in secured rooms with access limited to those whose official duties require access. Automated files--Restricted password to access data.

Duplicate files--The Official Personnel Folder (OPF) is retained indefinitely. The OPF is sent to the National Personnel Records Center within 30 days of the date of the employee's separation from the Federal service. Some records such as letters of reprimand, indebtedness, and vouchers are maintained for 2 years or destroyed when an individual resigns, transfers, or is separated from the federal service. Automated files--Files of individuals are erased after they leave the FTC; only statistical turnover information is retained.

Duplicate file--Regional Director, Regional Office (see name and address of regional office listed in location above). Automated records--Director of Personnel, Division of Personnel, Federal Trade Commission, Washington, DC 20580.

Same as above.

Information in this system of records comes either from the individual to whom it applies or is derived from information he/she supplied, except information provided by agency officials.

-27 Assignment Control System, Bureau of Consumer Protection--FTC.

Federal Trade Commission, Bureau of Consumer Protection, 6th Street and Pennsylvania Ave., NW, Washington, DC 20580.

Professional staff of the Bureau of Consumer Protection.

Control number, subject and status, staff attorney, Office of the Director liaison, staff deadline, Office of the Director liaison deadline, Office of the Director deadline, and completion date.

Federal Trade Commission Act.

Used by the Bureau Director, Deputy Directors, Regional Directors, Assistant Directors, and Assistants to the Director for management purposes and recording and tracking all internal assignments.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Stored in the computer--Four Phase System.

By attorney name, control number, and organization code.

Distribution of reports restricted to agency personnel whose responsibilities require access.

Retained indefinitely.

Records Division, Bureau of Consumer Protection, Room 485, Federal Trade Commission, 6th &Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Assignments under the responsibility of the Bureau of Consumer Protection, and information and instructions from the staff.

-28 Investigational, Legal, and Public Records--FTC.

Records Division, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580 (Record Center, Suitland, Maryland).

Respondents, proposed respondents, and others in Commission investigations and law enforcement proceedings; parties requesting formal advisory opinions.

Name and some or all of the following: Address; company affiliation; age; date of birth; place of birth; employment; financial, credit, and personal history background in the records contained in this system. This system is composed of the following files: Formal investigation files; docketed and consent matters; assurances of voluntary compliance; and advisory opinions; but is limited to those files from which personal information is retrieved by the name of an individual or other identifying particular assigned to the individual.

Federal Trade Commission Act and Executive Order 10450.

For use by Commission staff in investigative and adjudicative proceedings, enforcement actions, penalty proceedings, enforcement of compliance orders, issuance of complaints, negotiation of consent orders, issuance of cease and desist orders, and advisory opinions. Referral to Federal, State, or local government authorities for investigation and possible criminal prosecution, civil action or regulatory order. Used by Commission staff assigned to, reviewing, or supervising matter; used by Commission personnel with recordkeeping, managerial, and budgeting responsibilities; used by personnel of other agencies to whom a matter is referred.

Referral to experts, when considered appropriate by Commission staff.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained on standard legal- and letter-size paper; mag-card tapes; microfilm; and microfiche.

Indexed by respondent's or correspondent's name; company name; industry investigation title; FTC internal 7-digit or 4-digit investigation number; or complaint assigned number.

Metal legal- and letter-size file cabinets; official records center containers. Access restricted to those agency personnel whose responsibilities require access.

Retained at FTC office for 5 years, after which transferred to National Archives and Federal Records Center, Suitland, Maryland. Investigatory files, except history portions, destroyed after 5 years.

Supervisor, Records Management Branch, Office of the Secretary, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

Public records contained in this system are available upon request, as indicated below. Otherwise, records in this system generally do not contain personal information about individuals and are generally exempt from mandatory disclosure under 5 U.S.C. 552a(k)(2). However, some personal information relating to individuals may be included and, if retrievable, may be disclosable. Access to such information may be requested by mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the Executive Director, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580. In order for personal information in this system to be retrieved, A request must specify the name of the party subject to the investigation or adjudicatory proceeding.

Same as above.

Individual respondents or proposed respondents, company records, complainants, informants, witnesses or other third parties.

Pursuant to 5 U.S.C. 552a(k)(2), records in this system generally are exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(3), (e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a. See section 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

-29 System deleted.

-30 Consultant Files, Bureau of Competition--FTC.

Federal Trade Commission, Bureau of Competition, Washington, DC 20580.

Consultants consisting of experts in various fields, including economic and legal.

Contains name, curriculum vitae, resume of employment, lists and copies of publications in field, copies of application forms submitted to FTC.

Federal Trade Commission Act.

For identification of background, previous publications, and current research work.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Letter- and/or legal-size files in regulation cabinet.

Indexed by name.

Secured as are other files by locking of office door at night. Access restricted to those agency personnel whose responsibilities require access.

Maintained indefinitely for future reference.

Administrative Officer, Bureau of Competition, Room 544, Pennsylvania Bldg., 425 13th Street, NW, Washington, DC 20580.

Same as above.

Individual on whom record is maintained.

-31 Payroll Processing System--FTC.

Division of Budget and Finance, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

All FTC personnel.

All payroll information on individual FTC employees, including basic employment information, pay and deduction information, and leave and tax information.

5 U.S.C. 1301; Federal Personnel Manual.

Salary and wage processing in accordance with applicable laws and regulations. Used by Division of Budget and Finance personnel and by other agency personnel whose responsibilities include salary and wage processing and evaluation.

Referral of unemployment compensation information to state and local unemployment compensation boards.

Referral of information to the Office of Personnel Management (OPM) concerning pay, benefits, retirement deductions, and other information necessary for OPM to carry out its governmentwide personnel management functions.

Disclosure may be made to a congressional office from the record of an individual only when congressional office makes the request on behalf of the private citizen.

Storage:

Maintained in comprehensive computer listing and tape and payroll file folders at the system location in Washington, DC., and on computer tape at the Treasury Department in San Francisco.

By Social Security number.

Access restricted to those agency personnel whose responsibilities require access.

Maintained according to GSA/Archives schedule of retention and disposal.

Director, Division of Budget and Finance (address same as System Location).

Same as above.

Pay forms completed by individual on whom the records are maintained; personnel system.

-32 Payroll-Retirement Records--FTC.

Division of Budget and Finance, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580.

All FTC personnel who qualify for federal retirement benefits.

Payroll information relating to retirement benefits.

5 U.S.C. 5301, 5501, 6101, 6301, 8301.

Calculation of retirement benefits. Referred to Office of Personnel Management (OPM) upon retirement or resignation from federal service.

Referral to OPM concerning pay, benefits, retirement deductions, and other information, for OPM to carry out its government personnel management functions.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained on computer tape at the Treasury Department in San Francisco, or on individual cards for those not included in the regular payroll system.

Indexed by employee Social Security number.

Access restricted to those agency personnel whose responsibilities require access.

Held for length of service of employee while at FTC, information forwarded to next employing agency or OPM.

Director, Division of Budget and Finance, Federal Trade Commission, 6th Street &Pennsylvania Avenue, NW, Washington, DC 20580

Same as above.

Payroll system; personnel system.

-33 Preliminary Investigatory Files-FTC.

Federal Trade Commission, 6th and Pennsylvania Avenue NW, Washington, DC 20580.

Indiana Building, 633 Indiana Avenue NW, Washington, DC 20580.

Star Building, 101 Pennsylvania Avenue NW., Washington, DC 20580.

Gelman Building, 2120 L Street NW, Washington, DC 20580.

Pennsylvania Building, 425 13th Street NW, Washington, DC 20580.

Logan Building, 1111 18th Street NW, Washington, DC 20580.

Bicentennial Building, 600 E Street NW, Washington, DC 20580.

Atlanta Regional Office, 1718 Peachtree Street NW, Atlanta, Georgia 30309.

Boston Regional Office, 150 Causeway Street, Boston, Massachusetts 02114.

Chicago Regional Office, 55 East Monroe Street, Chicago, Illinois 60603.

Cleveland Regional Office, Suite 500, Mall Building, 118 Saint Clair Avenue, Cleveland, Ohio 44114.

Dallas Regional Office, 2001 Bryan Street, Suite 2665, Dallas, Texas 75201.

Denver Regional Office, 1405 Curtis Street, Suite 2900, Denver, Colorado 80202.

Los Angeles Regional Office, 13209 Federal Building, 11000 Wilshire Boulevard, Los Angeles, California 90024.

New York Regional Office, 2243-EB Federal Building, 26 Federal Plaza, New York, New York 10007.

San Francisco Regional Office, 450 Golden Gate Ave., San Francisco, California 94102.

Seattle Regional Office, 28th Floor, Federal Building, 915 Second Avenue, Seattle, Washington 98174.

Respondents and correspondents in preliminary investigations.

Information on individuals generally concerns relations or transactions with, or knowledge about, respondents, or general business and isolated personal information on individual respondents, and other items of information relating to the individual's involvement in the matter in question. This system is composed of files of preliminary investigations (investigations which have not yet become formal and assigned a 7-digit number), but is limited to those files from which personal information is retrieved by the name of an individual or other identifying particular assigned to the individual.

Federal Trade Commission Act.

To determine whether a formal investigation or other action is appropriate. Referral to federal, state, or local government authorities for investigation and possible criminal prosecution, civil action, or regulatory order. Used by Commission staff assigned to reviewing or supervising matter; used by Commission personnel with recordkeeping, managerial, and budgeting responsibilities; used by personnel of other agencies to whom a matter is referred.

Referral to experts, when considered appropriate by Commission.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Records maintained in file folders and on magnetic disc and tape.

Indexed by name of respondent or correspondent.

Access to use of these records is limited to those agency personnel whose official duties require such access.

Records are transferred to the Records Division if the preliminary investigation becomes a formal investigation; otherwise records are retained by office that conducted the preliminary investigation. No disposal system at present. As of August 1978, the Commission discontinued the utilization of preliminary investigations. See FTC Operating Manual, Chapter 3.

Supervisor, Records Management Branch, Office of the Secretary; or the Regional Director of the respective Regional Office.

Records in this system generally do not contain personal information about individuals and are generally exempt from mandatory disclosure under 5 U.S.C. 552a(k)(2). However, some personal information relating to individuals may be included and, if retrievable, may be disclosable. Access to such information may be requested by mailing or delivering a written request bearing the individual's name, return address, and signature, addressed as follows: Privacy Act Request, Office of the Executive Director, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580. In order for personal information in this system to be retrieved, a request must specify the name of the party subject to the investigation or adjudicatory proceeding. The request should also specify the bureau (and division, if possible) or Regional Office responsible for the investigation.

Same as above.

Individual respondent or proposed respondent, company records, complainants, informants, witnesses or other third parties.

Pursuant to 5 U.S.C. 552a(k)(2), records in this system generally 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 section 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

-34 Public Contact Report System, Atlanta Regional Office--FTC.

Atlanta Regional Office, Room 1000, 1718 Peachtree Street NW, Atlanta, Georgia 30309.

Individual members of the public who file complaints or request information either by telephone or in person concerning matters believed to be of interest or within the jurisdiction of the FTC.

Consist of completed form listing the name of the individual, name of the company about which the individual inquiries or complaints, and the matter complained of.

Federal Trade Commission Act.

Filed for future reference as to possible witnesses if company complained of should come under investigation by the FTC. Also may be used for reference to another office of the FTC or other federal agencies for law enforcement purposes when deemed appropriate. Used by Atlanta Regional Office personnel and by personnel of other FTC units or other agencies to whom a matter is referred.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Public contact forms maintained in letter-size file folders.

Contact form filed alphabetically by name.

Contact forms in standard file cabinet. Access restricted to those agency personnel whose responsibilities require access.

Retained for a minimum of one year and disposed of by delivery to and placing in a local government incinerator.

Regional Director, Federal Trade Commission, Atlanta Regional Office, 1718 Peachtree Street NW, Room 1000, Atlanta, Georgia 30309.

Same as above.

Information obtained from the individual.

-35 Public Information Mailing List--FTC.

Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.

Individuals, businesses, and organizations which have indicated an interest in receiving FTC materials; selected news media and special interest groups (i.e., organizations to be reached on specific FTC matters).

Contains some or all of the following: Name, title, company or organization, mailing address, occupation, and capacity/interest codes.

Federal Trade Commission Act.

Producing address labels for mailing FTC materials by Office of Public Affairs and other Commission personnel.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Computer disc storage.

Labels for individual addresses can be retrieved by name or computer-assigned identification number.

Retrieval of records is restricted to Office of Public Affairs and computer support personnel who have knowledge of computer password.

Records are retained until a purge action occurs or a request to delete is received. A purge action occurs when an affirmative response to a purge inquiry is not received, and each list entry receives a purge inquiry annually. News media and special interest addresses are retained indefinitely or for a specified length of time unless removal from the list is requested by the individual.

Director, Office of Public Affairs, Room 496, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580.

Same as above.

Individual who wishes to receive FTC material and FTC staff referring mailing list requests.

-36 Public Information Mailing Lists, Boston Regional Office--FTC.

Boston Regional Office, Suite 1301, 150 Causeway Street, Boston, Mass. 02114.

News media personnel, heads of consumer organizations, Attorneys General and key staff, heads of business organizations, selected key individuals such as legislators, government leaders, professors, etc., concerned with consumerism.

Contains name, title, organization and address.

Federal Trade Commission Act.

Information is used by staff for purposes of mailing or distributing press releases and other information materials.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Maintained on a typed listing which is periodically updated.

Indexed by name and organization.

Public Information Officer, Boston Regional Office, 150 Causeway St., Suite 1301, Boston, Mass. 02114.

Same as above.

Boston Regional Office staff, the media, consumer organizations, materials and information supplied by the public, directories, and government officials.

-37 Individual Claims Submitted Pursuant to Consent Agreement in" Bachman v. Pertschuk", CA No. 76-0079 (D.D.C. 1978).

Office of the Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Room 164, Washington, DC 20580.

Current and former FTC economists, accountants, attorneys, computer specialists, research analysts, and consumer protection specialists and applicants for those positions who file individual claims of discrimination pursuant to the consent agreement in " Bachman v. Pertschuk".

Will be used by Administrator of Bachman agreement, his assistants, and the magistrate of U.S. District Court of District for Columbia in deciding claims presented.

Storage:

In cabinet in locked office; held by attorney-advisor to Administrator of agreement.

By name of claimant.

Availability only to authorized individuals conducting inquiry into claims.

No disposal system at present.

Benjamin I. Berman, Office of the Secretary, Room 164, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580.

Same as above.

Claimants' submissions, FTC personnel records.

-38 System deleted.

-39 Staff Advisory Opinion Records-FTC.

Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580.

Applicants for advisory opinions under section 1.1 of the Commission's Rules of Practice, 16 CFR 1.1.

Name and address of requester; business information; proposed courses of business action.

Federal Trade Commission Act.

Used by staff and members of the public. To provide staff advice responsive to a request from a member of the public; to maintain record of advice given for use of the staff for preparation of future Commission opinions and to coordinate and assure consistency of position; possible referral to other parts of the FTC or to appropriate federal or state agencies for advice or where law enforcement action may be warranted; used by FTC personnel and other agencies to whom a matter is referred.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Stored in binders in Public Reference Room. Available to the public.

Generally indexed by name of requesting party.

Maintained in lockable office.

Maintained from June 1962; no present disposal program.

Supervisor, Public Reference Branch, Office of the Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC 20580.

Same as above.

Individual proprietorship, corporation, or other business organization, or counsel seeking or receiving a staff advisory opinion.

-40 Statement of Employment and Financial Interests--FTC.

Assistant General Counsel, Office of the General Counsel, Federal Trade Commission, 6th &Pennsylvania Avenue, NW, Washington, DC 20580.

Personnel required by FTC regulations to file statements of employment and financial interests.

Contains name, organization, statement of employment and financial interests.

Executive Order 11222 and 5 CFR part 735.

Review of statement of employment and financial interests to ascertain whether a conflict of interest or apparent conflict of interest exists and, if so, to insure that appropriate action is taken to remove conflict. Used by senior Commission employees and members of the General Counsel's Office.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request n behalf of the private citizen.

Storage:

Maintained on 8\1/2\x 11 paper.

Indexed by calendar year and organization.

Records are maintained in a combination steel vault. Access restricted to those agency personnel whose responsibilities require access.

Records are maintained indefinitely.

Assistant General Counsel, Room 506, Federal Trade Commission, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained.

-41 Unofficial Personnel Records-FTC.

Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Indiana Building, 633 Indiana Avenue, NW, Washington, DC 20580.

Bicentennial Building, 600 E Street, NW, Washington, DC 20580.

Star Building, 1101 Pennsylvania Avenue, NW, Washington, DC 20580.

Gelman Building, 2120 L Street, NW, Washington, DC 20580.

Pennsylvania Building, 425 13th Street, NW, Washington, DC 20580.

Logan Building, 1111 18th Street, NW, Washington, DC 20580.

Regional Offices:

Atlanta Regional Office, 1718 Peachtree Street, NW, Atlanta, Georgia 30309.

Boston Regional Office, 150 Causeway Street, Boston, Massachusetts 02114.

Chicago Regional Office, 55 East Monroe Street, Chicago, Illinois 60603.

Cleveland Regional Office, Suite 500, Mall Building, 118 Saint Clair Avenue, Cleveland, Ohio 44114.

Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas 75201.

Denver Regional Office, Suite 2900, 1405 Curtis Street, Denver, Colorado 80202.

Los Angeles Regional Office, 13209 Federal Building, 11000 Wilshire Boulevard, Los Angeles, California 90024.

New York Regional Office, 2243-EB Federal Building, 26 Federal Plaza New York, New York 10007.

San Francisco Regional Office, 450 Golden Gate Avenue, San Francisco, California 94102.

Seattle Regional Office, 28th Floor Federal Building, 915 Second Avenue, Seattle, Washington 98174.

Current and former employees of the FTC.

The system of records contains information or documents about the employment and work history of individual employees. The types of records maintained vary with each supervisor and Commission unit. Each supervisor may maintain some or all of the following records: Written notes or memoranda on employee performance (i.e., Attorney Evaluation, Employment Forms), leave, work assignments, or disciplinary problems.

Title 5 U.S.C. 4301-4308; 6101-6106; 6301-6326; 7301-7352; and 7501-7533.

To be used by the employee's supervisor in evaluating performance, preparing promotion and award recommendations, preparing informal or formal disciplinary actions, approving leave, and making work assignments.

Referral to the Office of Personnel Management concerning pay, benefits, retirement deductions, and other information necessary for OPM to carry out its governmentwide personnel management functions.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

These records are maintained in file folders.

These records are indexed by the names of individuals on whom they are maintained.

Access to and use of these records is limited to those whose official duties require such access. Screening by system managers is used to prevent unauthorized disclosure.

Records are destroyed when no longer relevant to the purpose for which they were compiled and maintained. Generally, records are destroyed when the employee no longer works in the bureau or office which compiled and maintained the information.

Employee's supervisors, Federal Trade Commission (same address as system location).

Same as above.

Individuals to whom record pertains; supervisors of employee.

-42 System deleted.

-43 System deleted.

-44 System deleted.

-45 Automated Serials Routing System--FTC.

Library, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Readers of FTC Library periodicals wishing to be on the routing system.

Name and location of reader, employee number, and the name and number of periodical.

Federal Trade Commission Act.

To manage serials-routing among readers. Used by staff of FTC Library and other FTC employees with a need to use this system.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

On computer disc/tape.

By periodical number and employee number.

Access limited to authorized users by means of password.

Record maintained as long as reader wishes to be on the routing system.

Librarian, Federal Trade Commission (address same as system location).

Same as above.

Individual on whom the record is maintained.

-46 Clearance to Participate Applications and the Commission's Responses Thereto--FTC.

Office of the Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Copies of letters from former members or employees of the Commission requesting authorization to appear or participate in a proceeding or investigation, formal or informal, which was pending in any manner in the Commission while such former member of employee served with the Commission.

Name, address, current employment status, nature of any connection with the proceeding or investigation during service with the Commission.

Federal Trade Commission Act.

Used by the public. Used also by the Commission's Correspondence Branch staff to track the processing of clearance requests by the Commission. Other Commission staff use the records to make recommendations and determinations on new applications for clearance.

Storage:

Stored in binders and on microfilm in the Public Reference Room.

Indexed by name of the applicant, by the name of the investigation or proceeding, and by date.

Maintained in a lockable office.

Maintained from January 1969; no present disposal schedule.

Supervisor, Public Reference Branch, Office of the Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained.

-47 System deleted.

-48 System deleted.

-49 Freedom of Information Act Requests and Appeals from Other Than Governmental Agencies and the Commission's Responses Thereto--FTC.

Records Division, Office of the Secretary, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Information Division, Office of the Executive Director, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Office of the General Counsel, Room 560, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Automated Records:

Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.

Persons filing requests for access to information under the Freedom of Information Act (FOIA).

Name, address, sometimes purpose of request, and intended use of information, and agreement to pay fees, if any.

Federal Trade Commission Act; Freedom of Information Act.

Used by staff of the Executive Director's Office, General Counsel's Office, and Bureaus of the Commission to make recommendations and determinations in response to FOIA requests and appeals. Referral to the Office of Management and Budget and to the Congress for annual reports required by the FOIA. Referral to federal enforcement authorities to assist with administrative processing and litigation.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Request and appeal letters, and agency responses thereto, are available to the public for inspection and copying.

Storage:

(1) Copies of request and appeal letters, and agency responses thereto, are stored in binders in the Public Reference Room (available to the public). (2) Original request letters, copies of appeal letters (if any) and agency responses, and related internal memoranda, are stored in folders in lockable file cabinets in the Freedom of Information and Privacy Act Branches of the Information Division. (3) Original appeal letters, copies of request letters and agency responses, and related internal memoranda are stored in folders in lockable file cabinets in the General Counsel's Office. Automated data stored on magnetic disc.

Generally indexed by name of requesting party.

Maintained in lockable file cabinets in office.

Full grant response letters and files are destroyed after 2 years. Denials and appeal files are destroyed 4 years after final determination by agency or 3 years after final adjudication by courts, whichever is later.

Supervisor, FOIA/PA Branch, Office of the Executive Director, and Assistant to the General Counsel for FOIA/PA, Federal Trade Commission (address same as System Location above).

Same as above.

Individual on whom the record is maintained.

-50 System deleted.

-51 Privacy Act Requests and Appeals--FTC.

Information Division, Office of the Executive Director, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Office of the General Counsel, Room 559, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Persons 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 of 1974.

Name, address; sometimes purpose of request; intended use of information; agreement to pay fees, if any; and nature of correction of information requested.

Federal Trade Commission Act; Privacy Act of 1974.

Used by staff of the Executive Director's Office, General Counsel's Office, and Commissioners, to make recommendations and determinations in response to Privacy Act requests and appeals. Referral to the Office of Management and Budget and to the Congress for annual reports required by the Privacy Act. Referral to federal enforcement authorities to assist with administrative processing and litigation.

Disclosure may be made to a congressional office from the record of an individual only when the congressional office makes the request on behalf of the private citizen.

Storage:

Initial requests stored in lockable files in Secretary's Office. Appeals stored in lockable files in General Counsel's Office.

Indexed by request index number, date of request, and name of requester or appellant.

Maintained in lockable offices. Access restricted to those agency personnel whose responsibilities require access.

Full grant correspondence and files are destroyed after 2 years. Denials and appeal files are destroyed 4 years after final determination by agency or 3 years after final adjudication by courts, whichever is later.

Supervisor, FOIA/PA Branch, Office of the Executive Director, and Assistant General Counsel for Legal Counsel, Federal Trade Commission (address same as System Location above).

Same as above.

Individual on whom record is maintained.

-52 Equal Employment Opportunity Statistical Reporting System--FTC.

Optimum Systems, Inc., 5615 Fishers Lane, Rockville, Maryland 20852.

Former and current FTC employees.

Coded minority group designations.

5 U.S.C. 1301, 3301, 7151, 7154, and Executive Order 10577.

Used by the Equal Employment Opportunity Director in composite statistical form only, for analyses and reports within the Commission and to the Congress, Office of Management and Budget, Equal Employment Opportunity Commission, and Office of Personnel Management as required by law.

Storage:

Stored on magnetic disc.

Minority group designations may be retrieved by name of group, or by cross-reference to title and grade information contained in FTC System 26, General Personnel Records (Official Personnel Folder and Records Related Thereto); Duplicated Personnel Files and Automated Records.

Access may be obtained only by written authorization of the Equal Employment Opportunity Director.

Records are retained indefinitely.

Director, Equal Employment Opportunity, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Self-identification or visual identification of each employee by Division of Personnel staff and administrative officer in regional office.

-53 Medical Participation in Control of Certain Open-Panel Medical Prepayment Plans Mailing List.

Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.

Individuals formally requesting information from the staff regarding the Commission's now-closed investigation of Medical Participation in Control of Blue Shield and Certain Other Open-Panel Medical Prepayment Plans, and individuals from whom comments on advance notice of proposed rulemaking were sought.

Name; mailing address; business title, if any; type of comment or requests received, if any.

Federal Trade Commission Act.

Used to mail staff report and materials related to the Commission's actions in this matter to interested individuals, and for tracking requests and comments received from such individuals.

If any individual requests that his congressman obtain access to a record concerning that individual, disclosure may be made to the congressional office requesting such information.

Storage:

Magnetic disc packs.

By name and type of comment or request.

Access restricted to personnel whose responsibilities require access.

Insofar as individuals request that their names be deleted from the mailing list, records may be retained in the Comnet computer for the duration of related investigations. Disposal will be made upon demand, at the close of related investigations, or prior to the close of those investigations if no longer deemed necessary.

Assistant Director, Bureau of Competition, Room 1038, Pennsylvania Building, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained.

-54 Discrimination Complaint System--FTC.

Director, Office of Equal Employment Opportunity, Room 411, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Former and current FTC employees and applicants for employment.

Complaint file.

Section 717 of Title VII of the Civil Rights Act of 1964, as amended, and 29 CFR part 1613.

Used to resolve issues related to discrimination because of race, national origin, religion, sex, age, and physical or mental handicap presented in formal complaints and used to make reports to Office of Management and Budget, Merits Systems Protection Board, and Equal Employment Opportunity Commission.

Disclosure of information from discrimination complaint files is limited to the complainant, his/her representatives, agency representatives involved in the processing, and the EEO staff.

Storage:

Stored in lockable file cabinets.

Generally indexed by name of the complainants.

Access restricted to Commission's EEO staff and parties concerned in any related proceeding.

Records are retained indefinitely.

Director, Equal Employment Opportunity, Room 411, Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.

Same as above.

Individual on whom the record is maintained.

-55 Consumer Education Mailing List--FTC.

Bureau of Consumer Protection, Federal Trade Commission, Room 668, 600 E Street, NW, Washington, DC 20580.

Comnet, Inc., 5182 MacArthur Boulevard, Washington, DC 20016

Individuals and organizations who have expressed an interest in receiving Commission consumer education material and who are in a position to share the information with consumers.

Contains name, title, organization, mailing address, and telephone number in most cases.

Federal Trade Commission Act.

Used to mail consumer education material to individuals and organizations in the best position to disseminate the information to consumers.

Used by staff members of the Bureau of Consumer Protection. Most of the mailing lists are available to the public for inspection and copying, with the exception of lists that are exempt from disclosure under 5 U.S.C. 552.

Storage:

Letter-size files in filing cabinet and computer disc files.

Indexed by name, name of organization, by zip code, and by list category.

Secured as are other files in the Bureau of Consumer Protection by being in a closed drawer in a building with guards stationed at the building entrance. Access limited to those agency personnel whose responsibilities require access.

Maintained indefinitely for future reference, updating, and mailing.

Associate Director for Consumer Education, Bureau of Consumer Protection, Federal Trade Commission.

Same as above.

Individual on whom the record is maintained.

<xhtmlContent> In addition to the disclosures generally permitted under 5 U.S.C. 552a(b), and the routine uses specifically described in each system of records notice, records or information in the systems of records maintained by the Federal Trade Commission may be disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows, provided that no routine use specified herein shall be construed to limit or waive any other routine use specified either herein or in the text of the individual system of records notice: (1) If the record has been appropriately incorporated into the records maintained in FTC System of Records II-6, Discrimination Complaint System--FTC, the record may be disclosed under the routine uses associated with that system; (2) May be disclosed to the National Archives and Records Administration for records management inspections conducted under authority of 44 U.S.C. 2904 and 2906; (3) May be disclosed to other agencies, offices, establishments, and authorities, whether federal, state, local, foreign, or self-regulatory (including, but not limited to organizations such as professional associations or licensing boards), authorized or with the responsibility to investigate, litigate, prosecute, enforce, or implement a statute, rule, regulation, or order, where the record of information by itself or in connection with other records or information: (a) Indicates a violation or potential violation of law, whether criminal, civil, administrative, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, or (b) Indicates a violation or potential violation of a professional, licensing, or similar regulation, rule, or order, or otherwise reflects on the qualifications or fitness of an individual who is licensed or seeking to be licensed; (4) May be disclosed to any source, private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of a legitimate investigation or audit; (5) May be disclosed to any authorized agency component of the Federal Trade Commission, Department of Justice, or other law enforcement authorities, and for disclosure by such parties: (a) To the extent relevant and necessary in connection with litigation in proceedings before a court or other adjudicative body, where (i) the United States is a party to or has an interest in the litigation, including where the agency, or an agency component, or an agency official or employee in his or her official capacity, or an individual agency official or employee whom the Department of Justice has agreed to represent, is or may likely become a party, and (ii) the litigation is likely to affect the agency or any component thereof; or (b) To obtain advice, including advice concerning the accessibility of a record or information under the Privacy Act or the Freedom of Information Act; (6) May be disclosed to a congressional office in response to an inquiry from the congressional office made at the request of the subject individual, but only to the extent that the record would be legally accessible to that individual; (7) May be disclosed to debt collection contractors for the purpose of collecting debts owed to the government, as authorized under the Debt Collection Act of 1982, 31 U.S.C. 3718, and subject to applicable Privacy Act safeguards; (8) May be disclosed to a grand jury agent pursuant either to a federal or state grand jury subpoena, or to a prosecution request that such record be released for the purpose of its introduction to a grand jury, where the subpoena or request has been specifically approved by a court; and (9) May be disclosed to the Office of Management and Budget (OMB) for the purpose of obtaining advice regarding agency obligations under the Privacy Act, or in connection with the review of private relief legislation pursuant to OMB Circular A-19. To appropriate agencies, entities, and persons when: (1) The FTC suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised; (2) The FTC has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the FTC or another agency or entity) that rely upon the compromised information; and (3) The disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the FTC's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm.</xhtmlContent> </appendix> <regulations id="reg" toc="yes"> <regulationsTitle number="16"> <heading> Commercial Practices </heading> <regulationsChapter number="I"> <heading> Federal Trade Commission </heading> <regulationsPart number="4"> <heading> MISCELLANEOUS RULES </heading> <xhtmlContent> Sec. 4.13 Privacy Act rules. Authority: 15 U.S.C. 46, unless otherwise noted. § 4.13 Privacy Act rules. (a) Purpose and scope. (1) This section is promulgated to implement the Privacy Act of 1974 (Pub. L. 93-579, 5 U.S.C. 552a) by establishing procedures whereby an individual can, as to all systems of records maintained by the Commission except those set forth in § 4.13(m) as exempt from disclosure, (i) Request notification of whether the Commission maintains a record pertaining to him in any system of records, (ii) request access to such a record or to an accounting of its disclosure, (iii) request that the record be amended or corrected, and (iv) appeal an initial adverse determination of any such request. This section also establishes those systems of records that are specifically exempt from disclosure and from other requirements. (2) The procedures of this section apply only to requests by an individual as defined in § 4.13(b). Except as otherwise provided, they govern only records containing personal information in systems of records for which notice has been published by the Commission in the Federal Register pursuant to section 552a(e)(4) of the Privacy Act of 1974 and which are neither exempt from the provisions of this section nor contained in government-wide systems of personnel records for which notice has been published in the Federal Register by the Office of Personnel Management. Requests for notification, access, and amendment of personnel records which are contained in a system of records for which notice has been given by the Office of Personnel Management are governed by the Office of Personnel Management's notices, 5 CFR part 297. Access to records which are not subject to the requirements of the Privacy Act are governed by §§ 4.8 through 4.11. (b) Definitions. The following definitions apply to this section only: (1) Individual means a natural person who is a citizen of the United States or an alien lawfully admitted for permanent residence. (2) Record means any item, collection, or grouping of personal information about an individual that is maintained by the Commission, including, but not limited to, his education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph, but does not include information concerning proprietorships, businesses, or corporations. (3) System of records means a group of any records under the control of the Commission from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual, for which notice has been published by the Commission in the Federal Register pursuant to 5 U.S.C. 552a(e)(4). (c) Procedures for requests pertaining to individual records in a record system. An individual may request access to his or her records or any information pertaining to that individual in a system of records, and notification of whether and to whom the Commission has disclosed a record for which an accounting of disclosures is required to be kept and made available to the individual, using the procedures of this section. Requests for the disclosure of records under this section or to determine whether a system of records contains records pertaining to an individual or to obtain an accounting of disclosures, shall be in writing and if mailed, addressed as follows: Privacy Act Request, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. If requests are presented in person at the Office of the General Counsel, the individual shall be required to execute a written request. All requests shall name the system of records that is the subject of the request, and shall include any additional information specified in the pertinent system notice as necessary to locate the records requested. If the requester wants another person to accompany him or her to review the records, the request shall so state. Nothing in this section will allow an individual access to any information compiled in reasonable anticipation of a civil action or proceeding. (d) Times, places, and requirements for identification of individuals making requests. Verification of identity of persons making written requests to the deciding official (as designated by the General Counsel) ordinarily will not be required. The signature on such requests will be deemed a certification by the signatory that he or she is the individual to whom the record pertains or is the parent or guardian of a minor or the legal guardian of the individual to whom the record pertains. The deciding official (as designated by the General Counsel) may require additional verification of a requester's identity when such information is reasonably necessary to assure that records are not improperly disclosed; provided, however, that no verification of identity will be required if the records sought are publicly available under the Freedom of Information Act. (e) Disclosure of requested information to individuals. Within 10 working days of receipt of a request under § 4.13(c), the deciding official (as designated by the General Counsel) will acknowledge receipt of the request. Within 30 working days of the receipt of a request under § 4.13(c), the deciding official (as designated by the General Counsel) will inform the requester whether a system of records containing retrievable information pertaining to the requester exists, and if so, either that the request has been granted or that the requested records or information is exempt from disclosure pursuant to § 4.13(m). When, for good cause shown, the deciding official (as designated by the General Counsel) is unable to respond within 30 working days of the receipt of the request, that official will notify the requester and inform him or her approximately when a response will be made. (f) Special procedures: Medical records. When the deciding official (as designated by the General Counsel) determines that disclosure of a medical or psychological record directly to a requesting individual could have an adverse effect on the individual, he or she will require the individual to designate a medical doctor to whom the record will be transmitted. (g) Request for correction or amendment of record. An individual to whom access to his records or any information pertaining to him in a system of records has been granted may request that any portion thereof be amended or corrected because he believes it is not accurate, relevant, timely, or complete. An initial request for correction or amendment of a record shall be in writing whether presented in person or by mail, and if by mail, addressed as in § 4.13(c). In making a request under this subsection, the requesting party shall state the nature of the information in the record the individual believes to be inaccurate, irrelevant, untimely, or incomplete, the correction or amendment desired, and the reasons therefore. (h) Agency review of request for correction or amendment of record. Whether presented in person or by mail, requests under § 4.13(g) will be acknowledged by the deciding official (as designated by the General Counsel) within 10 working days of the receipt of the request if action on the request cannot be completed and the individual notified of the results within that time. Thereafter, the deciding official (as designated by the General Counsel) will promptly either make the requested amendment or correction or inform the requester of his refusal to make the amendment or correction, the reasons for the refusal, and the requester's right to appeal that refusal in accordance with § 4.13(i). (i) Appeal of initial adverse agency determination. (1) If an initial request filed under § 4.13(c) or § 4.13(g) is denied, the requester may appeal that denial to the General Counsel. The appeal shall be in writing and addressed as follows: Privacy Act Appeal, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. Within 30 working days of the receipt of the appeal, the General Counsel will notify the requester of the disposition of that appeal, except that the General Counsel may extend the 30-day period for good cause, in which case, the General Counsel will advise the requester of the approximate date on which review will be completed. In unusual or difficult cases, the General Counsel may, in his or her sole discretion, refer an appeal to the Commission for determination. (2)(i) If the General Counsel refuses to amend or correct the record in accordance with a request under § 4.13(g), the General Counsel will notify the requester of that decision and inform the requester of the right to file with the deciding official (as designated by the General Counsel) a concise statement setting forth the reasons for the requester's disagreement with the General Counsel's determination and the fact that the requester's statement will be treated as set forth in paragraph (i)(2)(ii) of this section. The General Counsel will also inform the requester that judicial review of the decision is available by a civil suit in the district in which the requester resides, or has his principal place of business, or in which the agency records are situated, or in the District of Columbia. (ii) If the individual files a statement disagreeing with the General Counsel's determination not to amend or correct a record, such disagreement will be clearly noted in the record involved and the individual's statement will be made available to anyone to whom the record has been disclosed after September 27, 1975, or is subsequently disclosed together with, if the General Counsel deems it appropriate, a brief statement of his or her reasons for declining to amend the record. (j) Disclosure of record to person other than the individual to whom it pertains. Except as provided by 5 U.S.C. 552a(b), the written request or prior written consent of the individual to whom a record pertains, or of his parent if a minor, or legal guardian if incompetent, shall be required before such record is disclosed. If the individual elects to inspect a record in person and desires to be accompanied by another person, the deciding official (as designated by the General Counsel) may require the individual to furnish a signed statement authorizing disclosure of his or her record in the presence of the accompanying named person. (k) Fees. No fees will be charged for searching for a record, reviewing it, or for copies of records made by the Commission for its own purposes incident to granting access to a requester. Copies of records to which access has been granted under this section may be obtained by the requester from the deciding official (as designated by the General Counsel) on payment of the reproduction fees provided in § 4.8(b)(6). (l) Penalties. Section 552a(i)(3) of the Privacy Act, 5 U.S.C. 552a(i)(3), makes it a misdemeanor, subject to a maximum fine of $5,000, to knowingly and willfully request or obtain any record concerning an individual under false pretenses. Sections 552a(i) (1) and (2) of the Privacy Act, 5 U.S.C. 552a(i) (1) and (2), provide penalties for violations by agency employees of the Privacy Act or regulations established thereunder. Title 18 U.S.C. 1001, Crimes and Criminal Procedures, makes it a criminal offense, subject to a maximum fine of $10,000 or imprisonment for not more than 5 years or both, to knowingly and willfully make or cause to be made any false or fraudulent statements or representations in any matter within the jurisdiction of any agency of the United States. (m) Specific exemptions. (1) Pursuant to 5 U.S.C. 552a(j)(2), investigatory materials maintained by an agency component in connection with any activity relating to criminal law enforcement in the following systems of records are exempt from all subsections of 5 U.S.C. 552a, except (b), (c) (1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i), and from the provisions of this section, except as otherwise provided in 5 U.S.C. 552a(j)(2): Office of Inspector General Investigative Files--FTC (2) Pursuant to 5 U.S.C. 552a(k)(2), investigatory materials compiled for law enforcement purposes in the following systems of records are exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a, and from the provisions of this section, except as otherwise provided in 5 U.S.C. 552a(k)(2): Investigational, Legal, and Public Records--FTC Disciplinary Action Investigatory Files--FTC Clearance to Participate Applications and the Commission's Responses Thereto, and Related Documents--FTC Management Information System--FTC Office of the Secretary Control and Reporting System--FTC Office of Inspector General Investigative Files--FTC Stenographic Reporting Service Requests--FTC Identity Theft Complaint Management System--FTC Freedom of Information Act Requests and Appeals--FTC Privacy Act Requests and Appeals--FTC Information Retrieval and Indexing System--FTC (3) Pursuant to 5 U.S.C. 552a(k)(5), investigatory materials compiled to determine suitability, eligibility, or qualifications for Federal civilian employment, military service, Federal contracts, or access to classified information, but only where disclosure would reveal the identity of a confidential source of information, in the following systems of records are exempt from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of 5 U.S.C. 552a, and from the provisions of this section, except as otherwise provided in 5 U.S.C. 552a(k)(5): Personnel Security File--FTC [40 FR 40780, Sept. 3, 1975, as amended at 46 FR 26292, May 12, 1981; 48 FR 4280, Jan. 31, 1983; 55 FR 37700, Sept. 13, 1990; 55 FR 38801, Sept. 21, 1990; 57 FR 10808, Mar. 31, 1992; 58 FR 7047, Feb. 4, 1993; 63 FR 45648, Aug. 26, 1998; 64 FR 3014, Jan. 20, 1999; 64 FR 69397, Dec. 13, 1999; 66 FR 64144, Dec. 12, 2001; 67 FR 123, Jan. 2, 2002] </xhtmlContent> </regulationsPart> </regulationsChapter> </regulationsTitle> </regulations> </agency> </pai>