<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Federal Trade Commission</name>
<abbrev>
FTC

</abbrev>

<section id="FTC-I-1" toc="yes">
<systemNumber>I-1</systemNumber>
<subsection type="systemName">Nonpublic Investigational and Other Nonpublic Legal Program Records--FTC
</subsection>







<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>This system consists of case or matter files and other nonpublic records created, collected and
maintained
by the FTC
's Bureaus and other offices in the course of law enforcement investigations, administrative or court
litigation, and
other agency legal proceedings and matters (<i>e.g.</i>, rulemakings, requests for formal advisory
opinions).
The system covers
investigatory targets, witnesses, consumers, redress claimants, commenters, requesters, and other
individuals
whose information
the FTC "retrieves" from these nonpublic records, as explained below. (Entities that are not "individuals,
such as businesses, sole proprietorships, or corporations, are not covered by this system.) Parties
requesting informal
advisory opinions are covered by FTC-I-3, Informal Advisory Opinion Request and Response Files--FTC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Records maintained in this system include information about individuals such as name, address,
employment
status, age,
date of birth, financial information, credit information, social security number and personal history.
Records in this system
are collected and generated during law enforcement investigations and litigation and may include: copies of
subpoenas and other
compulsory process issued during the investigation; documents and records (including copies) obtained
during
the investigation
in response to subpoenas and other compulsory process, or otherwise provided to the Commission; affidavits
and other statements
from witnesses; transcripts of testimony taken in the investigation and accompanying exhibits; internal
staff
memoranda;
interview notes, investigative notes, staff working papers, draft materials, and other documents and
records
relating to the
investigation; correspondence; and internal status reports including matter initiation reports, progress
reports, and closing
reports. Records in this system may also include other investigatory information or data relating to any of
the following:
docketed and consent matters; redress distribution proceedings; rulemakings, workshops, and other public
proceedings, including
comments or other materials submitted in such proceedings; assurances of voluntary compliance; and advisory
opinions. Other
types of records covered by this system are set out in the Department of Treasury, Financial Management
Service's Privacy
Act system of records notice TREASURY/FMS.014, or any successor system notice for this system (visit (<i>
http://www.ustreas.gov
</i>) for more information).
</p>
<p>This system is limited to files and records that are about an individual, and only when the file or
record
is pulled ("
retrieved") by the name of that individual or other personal identifier (<i>e.g.</i>, number, symbol,
fingerprint, etc.).
As described below, records in this system may become public if they are subject to such disclosure under
the
FTC's Rules
of Practice.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>; Executive Order 10450.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To conduct the law enforcement, rulemaking, and advisory responsibilities of the Federal Trade
Commission;
to make
determinations based upon the results of those matters; to report results of investigations to other
agencies
and authorities
for their use in evaluating their programs and imposition of criminal, civil, or administrative sanctions;
to
report the results
of investigations to other agencies or other regulatory bodies for any action deemed appropriate; to make
appropriate portions
of the records of those matters available to the public (<i>see</i> FTC-I-6, Public Records--FTC); and to
maintain records
of Commission activities related to those matters, including to make such records available within the FTC
for historical, legal
research, investigational, and similar purposes (<i>see</i> FTC System VII-6, Document Management and
Retrieval System--
FTC).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system may be:
</p><p>(1) Made available or referred to federal, state, local or international government authorities for
investigation, possible
criminal prosecution, civil action, regulatory order, or other law enforcement purpose;
</p><p>(2) Referred to outside experts or consultants when considered appropriate by FTC staff to assist in
the conduct of agency
matters;
</p><p>(3) Used by Commission contractors with recordkeeping, managerial, and budgeting responsibilities
for
information management
purposes; and
</p><p>(4) Disclosed on the FTC's public record under the FTC's Rules of Practice. <i>See</i> FTC-I-6,
Public
Records
--FTC.
</p>
<p>(5) Disclosed, to the extent that the records relate to a debt owed to the United States, through one or
more of its
departments and agencies; and/or States, territories and commonwealths of the United States, and the
District
of Columbia, for
any other routine use set forth in the Government-wide system of records notice published for this system
by
the Department of
Treasury, Financial Management System, see TREASURY/FMS.014, or any successor TREASURY/FMS system notice
that
may be published
for this system (visit (<i>http://www.ustreas.gov</i>) for more information).</p>

<p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I. For public portions of this system, see the system notice for FTC-I-6.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The FTC maintains these records in various electronic and non-electronic formats and media (<i>e.g.</i>,
paper,
microfilm, CD-ROMs, other digital files). The FTC maintains electronic records in this system using a
combination of different
databases and applications, rather than maintaining them in a single paper or electronic system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records are indexed by respondent's, participant's, or FTC staff member's name; company name; industry
investigation title; and FTC matter number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>For records other than those made public, access is
restricted
to agency personnel or contractors whose responsibilities
require access. Paper records are maintained in lockable rooms or file cabinets. Access to electronic
records
is controlled by
"user ID" and password combination and/or other appropriate electronic access or network controls (<i>
e.g.</i>,
firewalls). FTC buildings are guarded and monitored by security personnel, cameras, ID checks, and other
physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records from submitters in FTC investigations are destroyed or returned to the submitter, if so
requested,
at the
conclusion of the matter, except for those received into the record of any proceeding and any other copies
made for official use
or that are required to be preserved for their historical or other value under applicable Federal records
retention
requirements. <i>See</i> 15 U.S.C. 57b-2(b)(5), 16 CFR 4.12. Retention periods for other system records
depend on the type of
record and the FTC proceeding or matter involved. Records are retained and disposed of under applicable
schedules and procedures
approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Records and Filings Office, Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington,
DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual respondent(s) or proposed respondent(s), defendant(s), company records, complainants,
informants, witnesses,
participants, FTC employees, commercial sources.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Copies of records contained in this system that have
been placed on the FTC public record are available upon request or
from the FTC's Web site, where applicable. <i>See</i> FTC-I-6, Public Records--FTC. However, pursuant to 5
U.S.C.
552a(k)(2), records in this system that are not on the public record are exempt from the requirements of
subsections (c)(3),
(d), (e)(1), (e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a, and the corresponding provisions of 16 CFR
4.13.
<i>See</i> FTC
Rules of Practice 4.13(m), 16 CFR 4.13(m).
</p></xhtmlContent></subsection>
</section>
<section id="FTC-I-2" toc="yes">
<systemNumber>I-2</systemNumber><subsection type="systemName">Disciplinary Action Investigatory Files--
FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC personnel, counsel for parties in investigative or adjudicative proceedings, and others
participating
in FTC matters
who may be subject to investigation for possible improper or unethical conduct.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, employment status, age, date of
birth,
financial information, credit information, personal history, and
records collected and generated during the investigation, which may include correspondence relating to the
investigation;
internal staff memoranda; copies of subpoenas issued during the investigation, affidavits, statements from
witnesses,
transcripts of testimony taken in the investigation, and accompanying exhibits; documents, records or
copies
obtained during the
investigation; interview notes, investigative notes, staff working papers, draft materials, and other
documents and records
relating to the investigation; opening reports, progress reports, and closing reports; and other
investigatory information or
data relating to alleged violations.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>; Executive Order 10450.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To conduct disciplinary action investigations; to make determinations based upon the results of the
investigations; to
report results of investigations to other agencies and authorities for their use in evaluating their
programs
and imposition of
criminal, civil, or administrative sanctions; to report the results of investigations to other agencies or
other regulatory
bodies for any action deemed appropriate; and to maintain records related to those matters.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system:
</p><p>(1) May be used to determine whether disciplinary action, including suspension or disbarment from
practice before the
Commission, is warranted;
</p><p>(2) May be transferred to the Office of Personnel Management, to a court, or a bar association; and
</p><p>(3) May be used by personnel of other agencies, courts, or bar associations to whom the matter is
referred.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act allows the FTC to use and disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The FTC generally maintains these records in paper format, although it can also maintain them in other
electronic or
non-electronic formats and media (<i>e.g.</i>, microfilm, CD-ROMs, other digital files).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records are indexed by individual's name, company name, industry investigation title, file or docket
number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of under applicable schedules and procedures approved by the National
Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy General Counsel for Legal Counsel, Office of
General
Counsel, Federal Trade Commission, 600 Pennsylvania Avenue,
NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual on whom the record is maintained, complainants, informants, witnesses, and Commission
personnel
having
knowledge or providing analysis of matter.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(2), records in this
system
are exempt from the requirements of subsections (c)(3), (d), (e)
(1), (e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a. <i>See</i> &#167; 4.13(m) of the FTC Rules of
Practice,
16 CFR
4.13(m).
</p>

</xhtmlContent></subsection>
</section>
<section id="FTC-I-3" toc="yes">
<systemNumber>I-3</systemNumber><subsection type="systemName">Informal Advisory Opinion Request and
Response
Files--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Applicants for informal advisory opinions from FTC staff under &#167; 1.1(b) of the Commission's Rules
of
Practice, 16 CFR 1.1(b). (Applicants for formal advisory opinions from the Commission under &#167; 1.1(a)
of
the Rules of
Practice, 16 CFR 1.1(a), are covered by FTC-I-1, Nonpublic Investigational and Other Nonpublic Legal
Program
Records--FTC.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, and other contact information of
requester; correspondence or other documents about the business and the
proposed course of action about which an advisory opinion is being sought; FTC staff responses to requests.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To respond to requests for informal advisory opinions; to maintain records of such requests and the
staff's
responses; for use by staff in coordinating and preparing future advisory opinions and assuring the
consistency of such
opinions; to make records of such requests and staff responses available within the FTC for historical,
legal
research,
investigational, and similar purposes (<i>see</i> FTC-VII-6, Document Management and Retrieval System--
FTC);
and also to
make appropriate portions of such records available to the public (<i>see</i> FTC-I-6, Public Records--
FTC).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system may be:
</p><p>(1) Referred to appropriate federal or state agencies for advice, for law enforcement, or where law
enforcement action may be
warranted; and
</p><p>(2) Disclosed on the FTC's public record under the FTC's Rules of Practice. <i>see</i> FTC-I-6,
Public
Records
--FTC.
</p>
<p><i>See also</i> Appendix I for other ways that the Privacy Act allows the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I. For public portions of this system, see the system notice for FTC-I-6.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The FTC generally maintains these records in paper format, although it can also maintain them in other
electronic or
non-electronic formats and media (<i>e.g.</i>, microfilm, CD-ROMs, other digital files).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records are indexed by name of requesting party.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>For records other than those made public, access is
restricted
to agency personnel or contractors whose responsibilities
require access. Paper records are maintained in lockable rooms or file cabinets. Access to electronic
records
is controlled by
"user ID" and password combination and/or other appropriate electronic access or network controls (<i>
e.g.</i>,
firewalls). FTC buildings are guarded and monitored by security personnel, cameras, ID checks, and other
physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of under applicable schedules and procedures approved by the National
Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Records and Filings Office, Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual proprietorship, corporation, or other business organization, counsel seeking or receiving a
staff advisory
opinion, and FTC employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="FTC-I-4" toc="yes">
<systemNumber>I-4</systemNumber><subsection type="systemName">Clearance Application and Response Files--
FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Former members or employees of the Commission who request authorization to appear or participate in a
proceeding or
investigation, formal or informal, which was pending in any manner in the Commission during that
individual's
tenure at
the Commission.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, address, and current employment status of the
requesting individual, as well as the nature of any connection with
the proceeding or investigation for which clearance is sought; letters responding to those requests
indicating the determination
of the Commission and outlining reasons for any denial or restriction; internal Commission memoranda
evaluating the request and
discussing the status of any relevant pending matters.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To evaluate applications; to make determinations in response to those applications; to maintain records
of
consideration
given to applications requesting authorization to appear in Commission proceedings; to ensure no conflict
of
interest between
former members or employees of the Commission and active proceedings; to make records of such applications
and the agency'
s responses available within the FTC for historical, legal research, investigational, and similar purposes
(<i>see</i> FTC-
VII-6, Document Management and Retrieval System--FTC); and also to make appropriate portions of such
records
available to
the public (<i>see</i> FTC-I-6, Public Records--FTC).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system may be disclosed on the FTC's public record under the FTC's Rules of Practice.
<i>
See
</i> FTC-I-6, Public Records--FTC.
</p>
<p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I. For public portions of this system, see the system notice for FTC-I-6.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The FTC generally maintains these records in paper format, although it can also maintain them in other
electronic or
non-electronic formats and media (<i>e.g.</i>, microfilm, CD-ROMs, other digital files).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Indexed by name of the applicant and by the name of the investigation or proceeding.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>For records other than those made public, access is
restricted
to agency personnel or contractors whose responsibilities
require access. Paper records are maintained in lockable rooms or file cabinets. Access to electronic
records
is controlled by
"user ID" and password combination and/or other appropriate electronic access or network controls (<i>
e.g.</i>,
firewalls). FTC buildings are guarded and monitored by security personnel, cameras, ID checks, and other
physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of under applicable schedules and procedures approved by the National
Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy General Counsel for Legal Counsel, Office of
General
Counsel, Federal Trade Commission, 600 Pennsylvania Avenue,
NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual on whom the record is maintained and Commission staff who prepare the memoranda and response
to
request.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Copies of records contained in this system that have
been placed on the FTC public record are available upon request or
from the FTC's Web site, where applicable. <i>See</i> FTC-I-6, Public Records--FTC. However, pursuant to 5
U.S.C.
552a(k)(2), records in this system, which reflect records that are contained in other systems of records
that
are designated as
exempt, are exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f)
of
5 U.S.C. 552a. <i>
See</i> &#167; 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

</p></xhtmlContent></subsection>
</section>
<section id="FTC-I-5" toc="yes">
<systemNumber>I-5</systemNumber><subsection type="systemName">Matter Management System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Past and present Commission employees, and other participants or parties in Commission investigations,
rulemaking,
advisory, and law enforcement matters or proceedings. (Businesses, sole proprietorships, or corporations
are
not covered by this
system.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>For records about past or present Commission
employees: name; employee identification number; organization name and
code; employee work activities; and specific responsibilities and assignments on individual matters. For
others: records related
to investigatory, rulemaking, advisory opinion and other matters or proceedings, including name and
associated matter number;
matter status; alleged or potential law violation; and goods or services associated with the proceeding.
The
records also
include brief descriptions or summaries of planned or actual actions or events during an FTC investigation,
rulemaking, court
case, or other FTC matter or proceeding. The system also includes records of assignments, votes,
circulations, or other
activities or actions of the FTC's Commissioners on agency proceedings and matters.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>This system, currently known within the FTC as Matter Management System 2 (MMS2), is used to record and
track the status
or occurrence of planned or actual actions and events that may arise in investigations, rulemakings, or
other
Commission
matters, and to generate status or history reports on these actions, events, and matters for use by
Commission management and
staff, in combination, as needed, with matter-related data from other systems (<i>e.g.</i>, FTC-II-13,
Staff
Time and Attendance
Reporting (STAR) System--FTC). Specific purposes of this system (FTC-I-5) include: to maintain records of
employee work and
Commission law enforcement activities; to make workload and budget determinations and personnel-related
evaluations; to assist
in investigative and adjudicative proceedings, enforcement actions, civil penalty proceedings,
consideration
of compliance
reports, issuance of cease and desist orders, advisory opinions, and other Commission matters and
proceedings; to refer
information compiled in system records to experts and consultants when considered appropriate by Commission
staff; and to use
those records to properly manage Commission resources.
</p>
<p>This system includes a subsystem of records (formerly known as the Office of the Secretary Control and
Reporting System or
OSCAR) to record and keep track of the status of matters pending for a vote or other review or action
before
the full Commission
(<i>i.e.</i>, the five Federal Trade Commissioners). The specific purposes of those records include: to
process and control
assignments made to individual Commissioners; to coordinate the consideration of and votes on appropriate
issues; to assist
Commissioners and staff in investigative, adjudicative and rulemaking proceedings, enforcement actions,
civil
penalty
proceedings, consideration of compliance reports, issuance of complaints, negotiation of consent orders,
issuance of cease and
desist orders, advisory opinions, and other matters before the Commission; and to retain records of the
matters before the
Commission, the Commission's deliberations and decisions concerning those matters, and related documents.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system:
</p><p>(1) May be made available or referred to federal, state, local or international government
authorities
for investigation,
possible criminal prosecution, civil action, regulatory order or other law enforcement purpose; and
</p><p>(2) May be disclosed on the FTC's public record under the FTC's Rules of Practice. <i>See</i> FTC-
I-6,
Public
Records--FTC.
</p>
<p><i>See</i> also Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i> Appendix
I. For public portions of this system, see the system notice for FTC-I-6 (Public Records--FTC).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>System records are primarily maintained and accessed electronically. The system can generate electronic
or
printed
status or history reports.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by Commissioner, staff, or other individual
name,
employee identification number, matter number, respondent
's or correspondent's name, company name, industry investigation title, and FTC matter number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>For records other than those made public, access is
restricted
to agency personnel or contractors whose responsibilities
require access. Access to nonpublic electronic records is controlled by "user ID" and password combination
and/or
other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC buildings are guarded
and monitored by
security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are being retained indefinitely, pending approval of a proposed retention and disposal schedule
by
the National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Records and Filings Office, Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual on whom the record is maintained and Commission staff associated with the matter.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Copies of records contained in this system that have
been placed on the FTC public record are available upon request or
from the FTC's Web site, where applicable. <i>See</i> FTC-I-6, Public Records--FTC. However, pursuant to 5
U.S.C.
552a(k)(2), records in this system, which reflect records that are contained in other systems of records
that
are designated as
exempt, are exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f)
of
5 U.S.C. 552a. <i>
See</i> &#167; 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

</p></xhtmlContent></subsection>
</section>
<section id="FTC-I-6" toc="yes">
<systemNumber>I-6</systemNumber>
<subsection type="systemName">Public Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Participants in Commission investigations, rulemaking, advisory, and law enforcement proceedings;
parties
requesting
formal advisory opinions; and consumers who have received redress or who are entitled to redress pursuant
to
Commission or court
orders. (Businesses, sole proprietorships, or corporations are not covered by this system.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Public comments and other records that an
individual
may submit in an agency matter, where such record is subject to
routine inspection and copying under the FTC's Rules of Practice, 16 CFR 4.9(b). These records include
records that either
have become or are likely to become the subject of subsequent requests for substantially the same records
under the Freedom of
Information Act (FOIA). <i>See</i> 5 U.S.C. 552(a)(2)(D). This system (FTC I-6) is limited to files and
records that are about
an individual, and only when the file or record is pulled ("retrieved") by the name of that individual or
other
identifying particular assigned to that individual (<i>e.g.</i>, number, symbol, fingerprint, etc.). Public
comments received in
connection with FTC rulemakings, workshops and consent agreements are also collected on behalf of the FTC
and
maintained by the
Government-wide Federal Docket Management System (FDMS) through a Web site (<i>www.regulations.gov</i>).
The
Environmental
Protection Agency (EPA) manages and operates the FDMS on behalf of the Federal Government, and has
published
a system of records
notice to cover the FDMS, including any records collected on behalf of the FTC through that system. <i>
See</i> EPA-GOVT-2
(FDMS).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>; Executive Order 10450; Freedom of Information
Act, 5 U.S.C.
552; 16 CFR 4.9.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To make appropriate portions of the records in FTC matters available to the public; to enable members of
the public to
review and comment on or respond to such comments; to maintain records of Commission activities related to
those matters.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be:
</p><p>(1) Disclosed on the FTC's public record under the FTC's Rules of Practice, including by posting
copies of such
records on the FTC's Web site, <i>www.ftc.gov</i>, or made public by other electronic or non-electronic
means. <i>See</i>
16 CFR 4.9(b); or
</p>
<p>(2) Disclosed publicly through the FDMS or for any other routine use set forth in the system of records
notice published for
that system of records, EPA-GOVT-2 (FDMS), or any successor system notice for that system.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>Public records are not routinely referred to consumer reporting agencies, but because they are
publicly accessible, they
can be searched and used by any person or entity outside the FTC, which could include a consumer reporting
agency. Disclosure is
also authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>The FTC maintains these records in various electronic and non-electronic formats and media (<i>e.g.</i>,
paper,
microfilm, CD-ROMs, other digital files). The FTC maintains electronic records in this system using a
combination of different
databases and applications, rather than maintaining them in a single electronic system.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Indexed by respondent's, participant's, or FTC staff member's name; company name; industry
investigation title; and FTC matter number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>The FTC's Web sites are secured and monitored to protect
against unauthorized deletion or alteration of records
posted on such sites. Access to the official record copy of such records is restricted, where appropriate,
to
agency personnel
or contractors whose responsibilities require access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and disposed of under
applicable schedules and procedures approved by the National Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Records and Filings Office, Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual respondent(s) or proposed respondent(s), company records, complainants, informants,
witnesses,
participants,
and FTC employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="FTC-I-7" toc="yes">
<systemNumber>I-7</systemNumber><subsection type="systemName">Office of Inspector General Investigative
Files--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Office of Inspector General (OIG), Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. <i>See
</i> Appendix III for other locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be:
</p><p>(1) Disclosed to agencies, offices, or establishments of the executive, legislative, or judicial
branches of the federal or
state government--
</p><p>(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
</p><p>(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
</p><p>(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
</p><p>(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 Accountability
Office, the General
Services Administration Board of Contract Appeals, or any other federal contract board of appeals in cases
relating to an agency
procurement;
</p><p>(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;
</p><p>(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;
</p><p>(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;
</p><p>(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;
</p><p>(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; and
</p><p>(7) Disclosed to complainants and/or victims to the extent necessary to provide such persons with
information and
explanations concerning the progress and/or results of the investigation or case arising from the matters
of
which they
complained and/or which they were a victim.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>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(e).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>The FTC maintains system records in various electronic and non-electronic formats and media. 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.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>The records are retrieved by the name of the subject of
the investigation or by a unique control number assigned to each
investigation.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets, which are kept locked during non-duty hours. Records in file
folders are retained
as long as needed and then destroyed by shredding or burning. Computer disks and CD-ROMs are cleared,
retired
or destroyed when
no longer useful. Entries on electronic media are deleted or erased when no longer needed. To the extent
records or portions
thereof are incorporated into e-mails or other electronic communications, access to such electronic records
is controlled by
"user ID" and password combination and/or other electronic access or network controls (<i>e.g.</i>,
firewalls). FTC
buildings are guarded and monitored by security personnel, cameras, ID checks, and other physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained indefinitely, pending approval of an applicable retention and disposal schedule by
the National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Inspector General, Federal Trade Commission, 600
Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>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.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>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.
</p><p>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).
<i>See</i> 16 CFR
4.13(m).
</p></xhtmlContent></subsection>
</section>
<section id="FTC-I-8" toc="yes">
<systemNumber>I-8</systemNumber><subsection type="systemName">Stenographic Reporting Services Request
System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC staff who have requested stenographic reporting services for depositions or testimony in FTC
proceedings; other FTC
staff or contractors involved in processing the request or providing such services; witnesses or other
individuals who are
deposed or provide testimony at hearings or proceedings in which stenographic reporting services are used.
(Businesses, sole
proprietorships, or corporations are not covered by this system.)
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, phone, mail drop, and FTC organization of the
individual requesting stenographic reporting services and other
information about the service request, including: date of request; matter number and name; name of managing
attorney; time and
location where stenographic reporting services are to be provided; name and phone number of contact person
at
location; name of
witness/deponent; type of deposition, hearing, or proceeding; court name and civil action number, if
applicable; recording
devices to be used; other services requested (<i>i.e.</i>, notary, witness or deponent signature); method
and
timing of
performance and delivery; other comments or instructions; name of stenographic reporting company to be used
and contact person;
name of FTC staff person processing the request; hearing or service schedule changes, if any.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To track and fulfill FTC staff requests for stenographic services from the agency's stenographic
reporting
service
contractors; to schedule services with such contractors; to provide information necessary for the
contractor
to render such
services; and for other internal administrative purposes, including to ensure that stenographic services
are
being properly
allocated and authorized, to provide statistical data on service usage for agency managerial and budget
purposes, and as source
for transcript dates and times for incorporation as appropriate into FTC-I-5 (Matter Management System--
FTC)
and FTC--
VII-6 (Document Management and Retrieval System--FTC).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be:
</p><p>(1) Disclosed to and used by FTC contractors for purposes of scheduling and providing FTC staff with
stenographic reporting
services for depositions and hearings; and
</p><p>(2) Made part of public record proceedings, to the extent appropriate and necessary to identify the
individual being deposed
or providing testimony in a hearing, when the hearing is a matter of public record. <i>See</i> FTC-I-6,
Public Records--
FTC.
</p>
<p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I. For public portions of this system, see the system notice for FTC-I-6.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Service requests are submitted in paper and electronic format, and data are entered and maintained
electronically in a
structured database on an internal agency server, and as needed on CD-ROM and/or external hard drives.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Data in the system can be retrieved electronically by
the
name of the individual being deposed or providing testimony,
the individual requesting stenographic services, the managing attorney, the contact person at location
where
service is to be
provided, and the staff person processing the service request, the matter number of the event, or by other
data entered in and
searchable in the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>For records other than those made public, access is
restricted
to agency personnel or contractors whose responsibilities
require access. Paper records are maintained in lockable rooms or file cabinets. Access to electronic
records
is controlled by
"user ID" and password combination and/or other appropriate electronic access or network controls (<i>
e.g.</i>,
firewalls). FTC buildings are guarded and monitored by security personnel, cameras, ID checks, and other
physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained indefinitely, pending approval of an applicable retention and disposal schedule by
the National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Records and Filings Office, Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual on whom the record is maintained and Commission staff associated with the matter.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Copies of records contained in this system that have
been placed on the FTC public record are available upon request or
from the FTC's Web site, where applicable. <i>See</i> FTC-I-6, Public Records--FTC. However, pursuant to 5
U.S.C.
552a(k)(2), records in this system, which reflect records that are contained in other systems of records
that
are designated as
exempt, are exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f)
of
5 U.S.C. 552a. <i>
See</i> &#167; 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
</p></xhtmlContent></subsection></section>
<section id="FTC-II-1" toc="yes">
<systemNumber>II-1</systemNumber><subsection type="systemName">General Personnel Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current Federal Trade Commission employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Each category of records may include identifying
information such as name(s), date of birth, home residence, mailing
address, Social Security number, and home telephone number. This system includes, but is not limited to,
the
contents of the
Official Personnel Folder (OPF) maintained by the FTC's Human Resources Management Office (HRMO) and
described in the
United States Office of Personnel Management (OPM) Guide to Personnel Recordkeeping and in OPM's
Government-
wide system of
records notice for this system, OPM/GOVT-1. (Non-duplicative personnel records maintained by FTC employee
managers in other FTC
offices are covered by FTC-II-2, Unofficial Personnel Records--FTC.) Records in this system (FTC-II-1)
include copies of
current employees' applications for employment, documentation supporting appointments and awards, benefits
records (health
insurance, life insurance, retirement information, and Thrift Savings Plan information), investigative
process documents,
personnel actions, other personnel documents, changes in filing requirements, and training documents. Other
records include:
</p><p>a. Records reflecting work experience, educational level achieved, specialized education or training
obtained outside of
Federal service.
</p><p>b. Records reflecting Federal service and documenting work experience and specialized education or
training received while
employed. Such records contain information about past and present positions held; grades; salaries; and
duty
station locations;
commendations, awards, or other data reflecting special recognition of an employee's performance; and
notices
of all
personnel actions, such as appointments, transfers, reassignments, details, promotions, demotions,
reductions
in force,
resignations, separations, suspensions, approval of disability retirement applications, retirement and
removals.
</p><p>c. Records relating to participation in the Federal Employees' Group Life Insurance Program and
Federal Employees
Health Benefits Program.
</p><p>d. Records relating to an Intergovernmental Personnel Act assignment or Federal-private exchange
program.
</p><p>e. Records relating to participation in an agency Federal Executive or SES Candidate Development
Program.
</p><p>f. Records relating to Government-sponsored training or participation in the agency's Upward
Mobility
Program or other
personnel programs designed to broaden an employee's work experiences and for purposes of advancement (<i>
e.g.</i>, an
administrative intern program).
</p>
<p>g. Records connected with the Senior Executive Service (SES), for use in making studies and analyses of
the SES, preparing
reports, and in making decisions affecting incumbents of these positions, <i>e.g.</i>, relating to
sabbatical
leave programs,
training, reassignments, and details, that are perhaps unique to the SES and which may or may not be filed
in
the employee
's OPF. These records may also serve as basis for reports submitted to OMB's Executive Personnel and
Management
Development Group for purposes of implementing the Office's oversight responsibilities concerning the SES.
</p>
<p>h. Records on an employee's activities on behalf of the recognized labor organization representing
agency
employees,
including accounting of official time spent and documentation in support of per diem and travel expenses.
</p><p>i. To the extent that the records listed here are also maintained in the agency automated personnel
or
microform records
system, those versions of the above records are considered to be covered by this system notice. Any
additional copies of these
records (excluding performance ratings of record and conduct-related documents maintained by first-line
supervisors and managers
covered by FTC-II-2) maintained by agencies at field or administrative offices remote from where the
original
records exist are
considered part of this system.
</p><p>j. Records relating to designations for lump sum death benefits.
</p><p>k. Records relating to classified information nondisclosure agreements.
</p><p>l. Records relating to the Thrift Savings Plan (TSP) concerning the starting, changing, or stopping
of
contributions to the
TSP as well as the how the individual wants the investments to be made in the various TSP Funds.
</p><p>m. Copies of records contained in the Enterprise Human Resources Integration (EHRI) data warehouse
(including the Central
Employee Record, the Business Intelligence file that provide resources to obtain career summaries, and the
electronic Official
Personnel Folder (eOPF)) maintained by OPM. These data elements include many of the above records along
with
additional human
resources information such as training, payroll and performance information from other OPM and agency
systems
of records. A
definitive list of EHRI data elements is contained in OPM's Guide to Human Resources Reporting and The
Guide
to Personnel
Data Standards.
</p><p>n. Emergency contact information for the employee (<i>see</i>, <i>e.g.</i>, FTC Form 75), which is
kept on the left side of
the OPF.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>5 U.S.C. 301, 1302, 2951, 3301, 3372, 4118, 8347; Executive Orders 9397, 9830, and 12107; and 5 CFR 293.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>The Official Personnel Folder (OPF) and other general personnel
records are the official repository of the records,
reports of personnel actions, and the documents required in connection with those actions effected during
an
employee's
Federal service. The personnel action reports and other documents, some of which are filed as long term
records in the OPF, give
legal force and effect to personnel transactions and establish employee rights and benefits under pertinent
laws and regulations
governing Federal employment.
</p><p>The OPF is maintained for the period of the employee's service in the Commission and is then
transferred to the
National Personnel Records Center for storage or, as appropriate, to the next employing Federal agency.
Other
records are either
retained at the agency for various lengths of time in accordance with National Archives and Records
Administration records
schedules or destroyed when they have served their purpose or when the employee leaves the agency. They
provide the basic source
of factual data about a person's Federal employment while in the service and after his or her separation.
Records in this
system have various uses including: screening qualifications of employees; determining status, eligibility,
and employee's
rights and benefits under pertinent laws and regulations governing Federal employment; computing length of
service; and for
other information needed in providing personnel services. These records and their automated or microformed
equivalents may also
be used to locate individuals for personnel research.
</p><p>Temporary documents on the left side of the OPF may lead (or have led) to a formal action, but do
not
constitute a record of
it, nor make a substantial contribution to the employee's long term record.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Performance Related Uses
</p><p>(a) To disclose information to any source from which additional information is requested (to the
extent necessary to identify
the individual, inform the source of the purpose(s) of the request, and to identify the type of information
requested), where
necessary to obtain information relevant to an agency decision concerning the hiring or retention of an
employee, the issuance
of a security clearance, the conducting of a security or suitability investigation of an individual, the
classifying of jobs,
the letting of a contract, or the issuance of a license, grant, or other benefit;
</p><p>(b) To disclose to an agency in the executive, legislative, or judicial branch, or the District of
Columbia Government in
response to its request, or at the initiation of the agency maintaining the records, information in
connection with the hiring
of an employee; the issuance of a security clearance; the conducting of a security or suitability
investigation of an
individual; the classifying of jobs; the letting of a contract; the issuance of a license, grant, or other
benefit by the
requesting agency; or the lawful statutory, administrative, or investigative purpose of the agency to the
extent that the
information is relevant and necessary to the requesting agency's decision on the matter;
</p><p>(c) By the agency or by OPM to locate individuals for personnel research or survey response, and in
the production of summary
descriptive statistics and analytical studies in support of the function for which the records are
collected
and maintained, or
for related work force studies. While published statistics and studies do not contain individual
identifiers,
in some instances
the selection of elements of data included in the study may be structured in such a way as to make the data
individually
identifiable by inference;
</p><p>(d) To provide an official of another Federal agency information needed in the performance of
official
duties related to
reconciling or reconstructing data files, in support of the functions for which the records were collected
and maintained;
</p><p>(e) To disclose information to officials of the Merit Systems Protection Board, including the Office
of the Special Counsel,
when requested in connection with appeals, special studies of the civil service and other merit systems,
review of Office rules
and regulations, investigations of alleged or prohibited personnel practices, and such other functions,
promulgated in 5 U.S.C.
1205 and 1206, or as may be authorized by law;
</p><p>(f) To disclose information to the Equal Employment Opportunity Commission when requested in
connection with investigations
into alleged or possible discrimination practices in the Federal sector, examination of Federal affirmative
employment programs,
compliance by Federal agencies with the Uniform Guidelines on Employee Selection Procedures, or other
functions vested in the
Commission by the President's Reorganization Plan No. 1 of 1978;
</p><p>(g) To disclose to prospective non-Federal employers, the following information about a specifically
identified current or
former Federal employee:
</p><p>(i) Tenure of employment;
</p><p>(ii) Civil service status;
</p><p>(iii) Length of service in the agency and the Government; and
</p><p>(iv) When separated, the date and nature of action as shown on the Notification of Personnel Action,
Standard Form 50 (or
authorized exception);
</p><p>(h) To consider employees for recognition through quality step increases, and to publicize those
granted. This may include
disclosure to other public and private organizations, including news media, which grant or publicize
employee
recognition;
</p><p>(i) To consider and select employees for incentive awards and other honors and to publicize those
granted. This may include
disclosure to other public and private organizations, including news media, which grant or publicize
employee
awards or honors;
</p><p>(j) To disclose information to any member of the agency's Performance Review Board or other board or
panel
(<i>e.g.</i>, one convened to select or review nominees for awards of merit pay increases), when the member
is not an official
of the employing agency; information would then be used for the purposes of approving or recommending
selection of candidates
for executive development of SES candidate programs, issuing a performance appraisal rating, issuing
performance awards,
nominating for Meritorious and Distinguished Executive ranks, and removal, reduction-in-grade, and other
personnel actions based
on performance;
</p>
<p>(k) By agency officials for purposes of review in connection with appointments, transfers, promotions,
reassignments, adverse
actions, disciplinary actions, and determinations of the qualifications of an individual;
</p><p>(l) 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; and
</p><p>(m) As a data source for management information for promotion of summary descriptive statistics 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;
</p><p>(2) Training/Education Related Uses
</p><p>(a) To disclose information to Government training facilities (Federal, State, and local) and to
non-
Government training
facilities (private vendors of training courses or programs, private schools, etc.) for training purposes;
and
</p><p>(b) To disclose information to educational institutions on appointment of a recent graduate to a
position in the Federal
service, and to provide college and university officials with information about their students working
under
the Cooperative
Education Volunteer Service, or other similar programs where necessary to a student's obtaining credit for
the experience
gained;
</p><p>(3) Retirement/Insurance/Health Benefits Related Uses
</p><p>(a) To disclose information to: the Department of Labor, Department of Veterans Affairs, Social
Security Administration,
Department of Defense, Federal agencies that have special civilian employee retirement programs; or a
national, State, county,
municipal, or other publicly recognized charitable or income security administration agency (<i>e.g.</i>,
State unemployment
compensation agencies) where necessary to adjudicate a claim under the retirement, insurance or health
benefits programs of the
Office of Personnel Management or an agency cited above, or to an agency to conduct an analytical study or
audit of benefits
being paid under such programs;
</p>
<p>(b) To disclose to the Office of Federal Employees Group Life Insurance information necessary to verify
election,
declination, or waiver of regular and/or optional life insurance coverage or eligibility for payment of a
claim for life
insurance;
</p><p>(c) To disclose to health insurance carriers contracting with the Office of Personnel Management to
provide a health benefits
plan under the Federal Employees Health Benefits Program, information necessary to identify enrollment in a
plan, to verify
eligibility for payment of a claim for health benefits, or to carry out the coordination or audit of
benefit
provisions of such
contracts;
</p><p>(d) When an individual to whom a record pertains is mentally incompetent or under other legal
disability, information in the
individual's record may be disclosed to any person who is responsible for the care of the individual, to
the
extent
necessary to assure payment of benefits to which the individual is entitled;
</p><p>(e) To disclose to the agency-appointed representative of an employee all notices, determinations,
decisions, or other
written communications issued to the employee, in connection with an examination ordered by the agency
under:
</p><p>(i) Fitness-for-duty examination procedures; or
</p><p>(ii) Agency-filed disability retirement procedures;
</p><p>(f) To disclose to a requesting agency, organization, or individual the home address and other
relevant information
concerning those individuals who, it is reasonably believed, might have contracted an illness, been exposed
to, or suffered from
a health hazard while employed in the Federal work force; and
</p><p>(g) To disclose information to the Department of Defense, National Oceanic and Atmospheric
Administration, and the United
States Coast Guard needed to effect any adjustments in retired or retained pay required by the dual
compensation provisions of 5
U.S.C. 5532;
</p><p>(4) Labor Relations Related Uses
</p><p>(a) To disclose information to the Federal Labor Relations Authority (including its General Counsel)
when requested in
connection with investigation and resolution of allegations of unfair labor practices, in connection with
the
resolution of
exceptions to arbitrator's awards where a question of material fact is raised and matters before the
Federal
Service
Impasses Panel; and
</p><p>(b) To disclose information to officials of labor organizations recognized under 5 U.S.C. 71 <i>et
seq.</i> when relevant and
necessary to their duties of exclusive representation concerning personnel policies, practices, and matters
affecting working
conditions; and
</p>
<p>(5) Miscellaneous Uses
</p><p>(a) To provide data to OPM for inclusion in the automated Center Personnel Data File;
</p><p>(b) To be disclosed for any other routine use set forth in the Government-wide system of records
notice published for this
system by OPM, <i>see</i> OPM/GOVT-1, or any successor OPM system notice that may be published for this
system (visit <i>
www.opm.gov</i> for more information);
</p>
<p>(c) To disclose information to a Federal, state, or local agency for determination of an individual's
entitlement to
benefits in connection with Federal Housing Administration programs; and
</p><p>(d) To locate individuals for personnel research or survey response, and in the production of
summary
descriptive statistics
and analytical studies in support of the function for which the records are collected and maintained, or
for
related work force
studies. While published statistics and studies do not contain individual identifiers, in some instances,
the
selection of
elements of data included in the study may be structured in such a way as to make the data individually
identifiable by
inference.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to disclose system
records outside the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records may be maintained on standard legal-size and letter-size paper, and in electronic storage media
such as
personnel system databases and .pdf forms.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are indexed by employee name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. (In addition, FTC HRMO offices are in a locked suite
separate
from other FTC
offices not generally accessible to the public or other FTC staff.) Access to electronic records is
controlled by "user ID
" and password combinations and/or other appropriate electronic access or network controls (<i>e.g.</i>,
firewalls). FTC
buildings are guarded and monitored by security personnel, cameras, ID checks, and other physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>The Official Personnel Folder (OPF) is retained by the Commission as long as the individual is employed
with the
Commission. The Commission maintains all OPFs according to the most current version of OPM's Guide to
Personnel
Recordkeeping. When the individual transfers to any Federal agency or to another appointing office, the
OPF,
with long-term
medical records, if any, inserted in a separate envelope, is sent to that agency or office. Other medical
records covered by
this system (<i>i.e.</i>, fitness-for-duty examinations) are considered temporary in nature. Such records,
when not submitted to
the OPM for retention in a disability retirement file (or submitted, but OPM), shall be destroyed no later
than 6 months after
closing action on the case or sooner at the discretion of the Commission. Other personnel-related medical
records are covered by
a separate OPM Privacy Act system of records notice, OPM/GOVT-10.
</p>
<p><i>Long-term records</i>. Within 90 days after the individual separates from the Federal service, the
OPF
is sent to the
National Personnel Records Center for long-term storage. In the case of administrative need, a retired
employee, or an employee
who dies in service, the OPF is sent to the Records Center within 120 days. Destruction of the OPF is in
accordance with General
Records Schedule GRS-1. Folders are retained for 65 years from date of last separation from Federal
employment.
</p>
<p><i>Other records</i>. These records are retained for varying periods of time. Generally they are
maintained for a minimum of
1 year or until the employee transfers or separates.
</p>
<p>Some records within the Commission's automated personnel records may be retained indefinitely as a basis
for
longitudinal work history statistical studies. After the disposition date in GRS-1, such records may not be
used in making
decisions concerning employees.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office, Federal
Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II. Current FTC employees may
also request access to their records directly through their designated
FTC HRMO contact or managers, as applicable, and may be required to complete a written request form and to
show identification
to obtain access to their records.
</p>
<p>Former FTC employees subsequently employed by another Federal agency should contact the personnel office
for their current
Federal employer. Former employees who have left Federal service and want access to their official
personnel
records in storage
should contact the National Personnel Records Center, 111 Winnebago Street, St. Louis, MO 63118-4126.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual to whom the record applies and agency
employees.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-2" toc="yes">
<systemNumber>II-2</systemNumber>
<subsection type="systemName">Unofficial Personnel Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current and former Commission employees, consultants, and contractors.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>This system of records contains information or
documents about the educational background, employment, and work history
of individuals. 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 conduct and performance (<i>
i.e.</i>,
employee
evaluation, employee forms, leave records, work assignments, or disciplinary problems), including
performance-related records
described in the Government-wide system of records notice published by the Office of Personnel Management
(OPM) for this system
of records, OPM/GOVT-2, or any successor OPM system notice that may be published for this system. There may
be records relating
to employee work schedules, consideration given to applicants for positions with the FTC, and "emergency
contact"
information collected by various offices informally.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>5 U.S.C. 301, 1104, 3321, 4301-4305; 4311-4315; 5405, 6101-6106; 6301-6326; 6331-6340;
6361-6373; 6381-6387; 6391; 7301-7353; 5 U.S.C. Chapter 75; Executive Order 12107; and 5 CFR 293.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To assist Commission managers and supervisors in making work
assignment, evaluation, and other types of decisions
related to the employees of the Federal Trade Commission; to assist in evaluating performance, preparing
promotion and award
recommendations, preparing informal or formal disciplinary actions, approving leave, coordinating
schedules,
and preparing news
releases; to assist supervisors in the interviewing, evaluation, and selection process when filling
position
vacancies; and to
maintain records of those considerations and actions.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Records identifying the individual's work
schedule may be disclosed to that extent and for that purpose to
others within or outside the agency;
</p><p>(2) Records may be referred to the Office of Personnel Management concerning pay benefits,
retirement
deductions, and other
information necessary for OPM to carry out its government-wide personnel management functions; and
</p><p>(3) Records may also be used or disclosed for any of the purposes or routine uses set forth in the
Government-wide systems of
records notice published by OPM for this system of records, OPM/GOVT-2, or any successor OPM system notice
that may be published
for this system. (Visit <i>www.opm.gov</i> for more information.)
</p>
<p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Maintained in file folders, envelopes and in electronic formats.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>A detailed retention schedule for employee performance-related records; which include ratings of record,
supporting
documentation for those ratings, and any other performance-related material required by agency performance
appraisal system, is
set forth in OPM/GOVT-2. Additional information is set forth in OPM's Guide to Personnel Recordkeeping for
Federal
agencies.
</p><p>Records are generally retained in accordance with GRS-1, items 18 (supervisory personnel files) and
23
(employee performance
records):
</p><p>(1) Certain records from supervisors' personnel files, including correspondence, forms,
authorizations, requests for
personnel action and other materials on individual employees are destroyed when superseded or obsolete.
Records for former
employees are destroyed within one year after separation or transfer.
</p><p>(2) For employee performance-related files, the records for non-Senior Executive Service employees
are
to be destroyed when 4
years old or no longer needed, as set forth in GRS-1, item 23; for Senior Executive Service (SES)
employees,
when 5 years old or
no longer needed, as set forth in GRS-1, item 23.
</p><p>Generally, performance records for former employees are retained no longer than one year after the
employee leaves. Records
on former SES employees may be retained up to 5 years under 5 U.S.C. 4314.
</p><p>Where any of these records are needed in connection with an administrative, quasi-judicial or
judicial
proceeding, they may
be retained as needed beyond the retention schedules of GRS-1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office (HRMO),
Federal
Trade Commission, 600 Pennsylvania Avenue, NW., Washington,
DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II. Current FTC employees may
also request access to their records directly through their designated
FTC HRMO contact or managers, as applicable, and may be required to complete a written request form and to
show identification
to obtain access to their records.
</p>
<p>Former FTC employees subsequently employed by another Federal agency should contact the personnel office
for their current
Federal employer. Former employees who have left Federal service and want access to their official
personnel
records in storage
should contact the National Personnel Records Center, 111 Winnebago Street, St. Louis, MO 63118-4126.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Individual to whom the record pertains;
individual's supervisors; managers; Performance Review Boards; Executive
Resource Boards; and other interested parties.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-3" toc="yes">
<systemNumber>II-3</systemNumber>
<subsection type="systemName">Workers' Compensation--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals (<i>i.e.</i>, FTC employees) and/or their survivors who file claims seeking benefits under
the
Federal
Employees' Compensation Act (FECA) for injuries sustained by the individual while in the performance of
duty.
The FECA
applies to all civilian Federal employees, including various classes of persons whom provide or have
provided
personal service
to the government of the United States.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>This system may contain the following kinds of records: names; Social Security numbers; reports of
injury
by the
employee and/or the Commission; claim forms filed by or on behalf of injured employees or their survivors
seeking benefits under
the FECA; forms authorizing medical care and treatment; other medical records and reports; bills and other
payment records;
compensation payment records; copies of formal orders for or against the payment of benefits; copies of
transcripts of hearings
conducted; and any other medical, employment, or personal information submitted or gathered in connection
with the claim. The
system may also contain information relating to dates of birth, marriage, divorce, and death; notes of
telephone conversations
conducted in connection with the claim; information relating to vocational and/or medical rehabilitation
plans and progress
reports; records relating to court proceedings, insurance, banking and employment; articles from newspapers
and other
publications; information relating to other benefits (financial and otherwise) the claimant may be entitled
to; and information
received from various investigative agencies concerning possible violations of Federal civil or criminal
law.
The system may
also contain consumer credit reports on individuals indebted to the United States, information relating to
the debtor's
assets, liabilities, income and expenses, personal financial statements, correspondence to and from the
debtor, information
relating to the location of the debtor, and other records and reports relating to the implementation of the
Federal Claims
Collection Act (as amended), including investigative reports or administrative review matters. Individual
records listed here
are included in a claim file only insofar as they may be pertinent or applicable to the employee or
beneficiary.
</p><p>This system includes only claims-related records maintained by the FTC. Claims are transmitted the
United States Department
of Labor (DOL) for processing and adjudication. Data maintained by DOL by the Government-wide system of
records notice published
by DOL for its system of records, <i>see</i> DOL/GOVT-1 (Office of Workers' Compensation Programs, Federal
Employees
' Compensation Act File) or any successor DOL system notice that may be published for that system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Employees Compensation Act (FECA), 5 U.S.C. 8101 <i>et seq.</i>, 20 CFR 1.1 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To consider claims filed by employees and/or their survivors for compensation under FECA based on work-
related injuries,
and to maintain records concerning such claims. The FECA establishes the system for processing and
adjudicating claims that the
Commission employee and/or the Commission and other covered individuals file with DOL's Office of Workers'
Compensation Programs, seeking monetary, medical and similar benefits for injuries or deaths sustained by
the
individual while
in the performance of duty. The records maintained in this system are created as a result of and are
necessary to this process.
The records provide information and verification about the individual's employment-related injury and the
resulting
disabilities and/or impairments, if any, on which decisions awarding or denying benefits provided under the
FECA must be based.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be:
</p><p>(1) Disclosed in response to queries from Department of Labor, Office of Workers Compensation
Programs, supervisors and
employees about compensation claims; and
</p><p>(2) Used or disclosed for any purpose or routine use set forth in the system of records notice
published by DOL for this
system of records, DOL/GOVT-1 (Office of Workers' Compensation Programs, Federal Employees' Compensation
Act
File),
or any successor DOL system notice that may be published for this system.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>In accordance with DOL/GOVT-1, the amount, status and history of overdue debts, the name and
address, Social Security
number (or other taxpayer identification number, if any), and other information necessary to establish the
identity of a debtor,
the agency and program under which the claim arose, may be disclosed pursuant to 5 U.S.C. 552a(b)(12) to
consumer reporting
agencies as defined by section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in
accordance
with section 3(d)
(4)(A)(ii) of the Federal Claims Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose of
encouraging the
repayment of an overdue debt, or when otherwise trying to collect a claim of the Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Maintained in file folders or temporary electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of under schedules and procedures approved or issued by the National
Archives and
Records Administration.
</p><p><i>See</i> DOL/GOVT-1 for the retention and disposal schedules that apply to claims files maintained
by that agency. In
general, all case files and automated data in that system pertaining to a claim are destroyed 15 years
after
the case file has
become inactive. Case files that have been scanned to create electronic copies are destroyed after the
copies
are verified.
Automated data are retained in their most current form only, however, and as information is updated,
outdated
information is
deleted.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Human Resources Management Office (HRMO), Federal Trade Commission, 600 Pennsylvania Avenue,
NW., Washington,
DC 20580. <i>See</i> DOL/GOVT-1 for information about the system manager and address for that system.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p><i>See</i> Appendix II. Current FTC employees may also request access to their records directly through
their Human
Resources contact or managers as applicable and may be required to complete a written form and show
identification to obtain
access to their records. <i>See</i> DOL/GOVT-1 for information about the notification, record access and
contesting procedures
for claims records maintained by DOL.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Employee claiming work-related injury; beneficiaries; witnesses; FTC supervisors, managers, and
responsible FTC HRMO
staff; DOL; suppliers of health care products and services and their agents and representatives, including
physicians,
hospitals, and clinics; consumer credit reports, etc.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>As explained in DOL/GOVT-1, in accordance with 5
U.S.C.
552a(k)(2), investigative materials, if any, in this system of
records compiled for law enforcement purposes are exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H)
and (I), and (f)
of 5 U.S.C. 552a, provided, however, that if any individual is denied any right, privilege, or benefit that
he or she would
otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a result of
the maintenance of
these records, such material shall be provided to the individual, except to the extent that the disclosure
of
the material would
reveal the identity of a source who furnished information to the Government under an express promise that
the
identity of the
source would be held in confidence, or prior to January 1, 1975, under an implied promise that the identity
of the source would
be held in confidence.

</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-4" toc="yes">
<systemNumber>II-4</systemNumber>
<subsection type="systemName">Employment Application-Related Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who have applied for employment at the FTC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Applications for employment, correspondence, and
other records submitted, generated, or otherwise compiled and
maintained by the FTC as part of the recruitment, examination, or placement of individuals seeking FTC
employment. Records
covered by this system are fully described in the Government-wide system of records notice published by the
Office of Personnel
Management (OPM) for this system of records, OPM/GOVT-5 (Recruiting, Examining, and Placement Records).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>; 5 U.S.C. ch. 33, subch. I; 5 U.S.C. 4103; Executive Order
9397.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To consider individuals who have applied for FTC employment by evaluating and making determinations of
their
qualifications or ineligibility; to rate and rank applicants for purposes of selecting candidates for
employment. As noted in
OPM/GOVT-5, records are also maintained and used to help identify training needs and for referral or
research
purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p><i>See</i> OPM/GOVT-5 for a list of routine uses
authorized by OPM for records in this system. Those uses include, for
example:
</p>
<p>(1) To disclose pertinent information to the appropriate Federal, State, or local agency responsible for
investigating,
prosecuting, enforcing, or implementing a statute, rule, regulation, or order, when the disclosing agency
becomes aware of an
indication of a violation or potential violation of civil or criminal law or regulation.
</p><p>(2) To disclose information to any source from which additional information is requested (to the
extent necessary to identify
the individual, inform the source of the purposes of the request, and to identify the type of information
requested), when
necessary to obtain information relevant to an agency decision concerning hiring or retaining an employee,
issuing a security
clearance, conducting a security or suitability investigation of an individual, classifying positions,
letting a contract, or
issuing a license, grant or other benefit.
</p><p>(3) To disclose information to a Federal agency, in response to its request, in connection with
hiring
or retaining an
employee, issuing a security clearance, conducting a security or suitability investigation of an
individual,
classifying
positions, letting a contract, or issuing 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 in the matter.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act allows the FTC to disclose system
records outside the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic, paper, or other non-electronic records. The FTC (through an FTC contractor and in
conjunction
with OPM) uses
Web sites to collect personal data from applicants for electronic management, processing, and storage.
These
data can also be
downloaded and printed out.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name, date of birth, Social Security number, and/or
identification number assigned to the individual on whom they are
maintained, or by other data fields or codes.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to FTC personnel and contractors whose
job duties require such access. Paper records are maintained
in lockable cabinets or offices. Burn bags or shredding is used to destroy printouts, correspondence, or
other records
containing sensitive data. Access to electronic records is protected by "user ID" and password combination
and/or
other access or network controls (<i>e.g.</i>, firewalls). FTC buildings are guarded and monitored by
security personnel,
cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and destroyed in accordance with applicable schedules and guidance issued or
approved
by the
National Archives and Records Administration. Retention periods vary depending on the record type and use.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office, Federal
Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p><p><i>See</i> OPM/GOVT-5 for information about the system manager and address for OPM's system of
records.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Applicants; OPM; applicants' personal references; FTC contractor's Web site.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p><i>See</i> OPM/GOVT-5 and 5 CFR 297.501.
Investigatory
materials, if any, relating to eligibility determinations, where
disclosure may reveal confidential sources, in this system are exempted under 5 U.S.C. 552a(k)(5).

</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-5" toc="yes">
<systemNumber>II-5</systemNumber>
<subsection type="systemName">Equal Employment Opportunity Statistical Reporting System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Coded minority group designations and other data
relevant to equal employment opportunity (EEO) at the FTC; other
employee identification data (<i>e.g.</i>, position, grade, office or duty station).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>5 U.S.C. 1301, 3301, 7201, 7204; Executive Order 10577; 42 U.S.C. 2000e-16; Pub. L. 93-112.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain EEO-related data about the FTC workforce; to
protect
and limit access to such workforce data by collecting
and maintaining such data separately from certain other human resources records about employees; to provide
the FTC's EEO
Office with data necessary to create general statistical analyses and reports.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data from system records are disclosed only in
aggregate, non-individually identifiable form in analyses and reports
generated for use within the FTC and for reporting to Congress, the Office of Management and Budget, the
Equal Employment
Opportunity Commission, and the Office of Personnel Management, as required by law.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act allows the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Data from information collection forms completed by FTC employees are entered into and stored in a
structured electronic
database maintained on agency servers, with restricted access (<i>see</i> "Safeguards" below). Paper forms
are
compiled and kept in the FTC's EEO Office.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Indexed by name of individual, name of group, or by cross-reference to title and grade or other human
resources data
fields or codes.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to FTC personnel or contractors whose
job
duties require such access. Initial receipt and handling
of information collection forms, as well as entry of data into computerized databases, is limited to
authorized FTC individuals.
Information collection forms are forwarded to and stored in lockable cabinets and offices within the FTC's
EEO Office.
Completed forms and system data are stored and maintained separately from other human resources records to
prevent access or use
by unauthorized individuals. Access to electronic records is controlled by "user ID" and password
combination, and
may be obtained only by written authorization of the FTC's EEO Director. System database is further
protected
by other
network controls (<i>e.g.</i>, firewalls). FTC buildings are guarded and monitored by security personnel,
cameras, ID checks,
and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and destroyed in accordance with schedules and guidance issued or approved by the
National Archives
and Records Administration. <i>See, e.g.</i>, General Records Schedule 1.25.f (EEO-related employment
statistics), which
authorizes disposal after five years.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Equal Employment Opportunity Office, Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC
20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Self-identification by employee (<i>e.g.</i>, on information collection forms completed by the
employee);
visual
identification of employees or other personal information or knowledge used by FTC Human Resources or other
staff for coding
EEO-related data into the system; employee identification data from other human resources record systems
(<i>
e.g.</i>, FTC-II-I,
General Personnel Records--FTC).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None.</p></xhtmlContent>
</subsection>
</section>
<section id="FTC-II-6" toc="yes">
<systemNumber>II-6</systemNumber>
<subsection type="systemName">Discrimination Complaint System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Past or present Federal Trade Commission employees and applicants for employment.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Complaints, affidavits, supporting documents,
memoranda, correspondence, and notes relevant to and compiled during
precomplaint and complaint investigations and matters at the FTC; investigatory files and reports
incorporating copies of such
records.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Section 717 of Title VII of the Civil Rights
Act
of 1964, as amended, 42 U.S.C. 2000e-16; 29 CFR part 1614.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To assist in the consideration given to reviews of potential or
alleged violations of equal employment opportunity (EEO)
statutes and regulations and to maintain records on pre-complaint and complaint matters relating to those
issues; for the
purpose of counseling, investigating, and adjudicating such complaints; to resolve issues related to
alleged
discrimination
because of race, color, religion, sex, national origin, age, physical or mental disability, sexual
orientation, or status as a
parent in connection with EEO matters; to make reports to Office of Management and Budget, Merit Systems
Protection Board, and
Equal Employment Opportunity Commission. (This system corresponds to EEOC/GOVT-1, Equal Employment
Opportunity in the Federal
Government Complaint and Appeal Records.)
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>The system of records notice published for this
system by the EEOC (EEO/GOVT-1) sets forth the routine uses
(disclosures) of records in this system outside the agency. (For further information, the EEOC's Web site
is
<i>
www.eeoc.gov</i>.)
</p>
<p>In addition, records in this system may be routinely used and/or disclosed:
</p><p>(1) To the complainant's lawyer or other formally designated representative of the individual, to
the
extent required
by applicable Federal sector equal employment law and regulations. Portions of the investigatory file may
be
redacted to protect
against disclosure outside the agency of information about individuals other than the complainant.
</p><p>(2) As relevant and necessary in administrative hearings and appeals to which the complainant and
the
FTC are parties before
the EEOC, including any related court litigation or appeals.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act permits the FTC to use and disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Documents consist mainly of paper records; certain records (<i>e.g.</i>, draft memoranda, letters, e-
mails) may be
generated or maintained electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Indexed by name of the complainant.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to FTC personnel and contractors whose
responsibilities require access. Paper records are
maintained in lockable cabinets in the FTC's EEO Office, and access is restricted to FTC's EEO staff and
parties
concerned in any related proceeding. Access to electronic records is controlled by "user ID" and password
combination, and/or other appropriate electronic access and network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are to be maintained for one year after resolution of the case and then transferred to the
Federal
Records
Center where they are destroyed after three years. <i>See</i> EEOC/GOVT-1.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Equal Employment Opportunity Office, Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC
20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained, affiants, and EEO staff, other personnel records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>As provided in EEOC/GOVT-1, pursuant to subsection
(k)
(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory
materials, if any, compiled for law enforcement purposes in this system of records are exempt from
subsections (c)(3), (d), (e)
(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and (f) of the Act</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-7" toc="yes">
<systemNumber>II-7</systemNumber>
<subsection type="systemName">Ethics Program Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Commission officials and employees required by FTC regulations to file statements of employment and
financial interests,
to enter into ethics agreements, or to obtain clearance or approval for travel reimbursements or outside
employment. This system
corresponds to the systems described and covered by the Government-wide system of record notices (SORNs)
issued by the Office of
Government Ethics (OGE) for agency ethics program records. <i>See</i> OGE/GOVT-1 (Executive Branch
Personnel
Public Financial
disclosure Reports and Other Name-Retrieved Ethics Program Records); OGE/GOVT-2 (Executive Branch
Confidential Financial
Disclosure Reports). Visit OGE's Web site, <i>www.oge.gov</i>, for more information.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Statements of employment and financial interests (containing name, organization, statement of personal
and
family
holdings and other interests in business enterprises and real property, listings of creditors and outside
employment, opinions
of counsel, and other information related to conflict of interest disclosures and determinations); ethics
agreements; and other
disclosure forms. This system also includes FTC employee requests for and documentation of ethics clearance
or approval of
travel reimbursements or outside employment, as well as other name-retrieved ethics records on FTC
employees.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Ethics in Government Act of 1978, 5 U.S.C.
app.;
Ethics Reform Act of 1989, Pub. L. 101-194; 5 CFR parts 735 &amp; 2634,
and other applicable ethics-related laws, rules, and Executive Orders.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To meet Federal requirements regarding the filing of employment
and financial interest statements; and to assist senior
Commission employees and members of the General Counsel's Office to review statements of employment and
financial
interests to ascertain whether a conflict of interest or apparent conflict of interest exists and, if so,
to
ensure that
appropriate action is taken to remove the conflict; to ensure that travel reimbursements are accepted only
from qualified non-
Federal sources; to comply with other ethics program requirements under Federal law, policy and regulation.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed for any of
the routine uses set forth in OGE/GOVT-1 and OGE/GOVT-2, as
applicable. In addition, records in this system may be disclosed to a source when necessary to obtain
information relevant to a
conflict of interest investigation or determination.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as may be authorized under OGE/GOVT-1 or OGE/GOVT-2, or under 5 U.S.C. 552a(b)(12)
when trying to collect a
claim of the Government. <i>See</i> Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic and paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>By name of Commission official or employee.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel and contractors
whose
responsibilities require access. Paper records are
maintained in lockable file cabinets and offices. Access to electronic records is controlled by "user ID"
and
password combination and other access and network controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and monitored by
security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>In accordance with the National Archives and Records Administration General Records Schedules for ethics
program
records, these records are generally retained for a period of six years after filing, or for such other
period of time as is
provided for in that schedule for certain specified types of ethics records. In cases where records are
filed
by, or with
respect to, a nominee for an appointment requiring confirmation by the Senate when the nominee is not
appointed and Presidential
and Vice-Presidential candidates who are not elected, the records are generally destroyed one year after
the
date the individual
ceased being under Senate consideration for appointment or is no longer a candidate for office. However, if
any records are
needed in an ongoing investigation, they will be retained until no longer needed in the investigation.
Destruction is by
shredding, use of burn bags, or electronic deletion.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Designated Agency Ethics Official, Office of General
Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-8" toc="yes">
<systemNumber>II-8</systemNumber>
<subsection type="systemName">Employee Adverse Action and Disciplinary Records--FTC
</subsection><subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current or former FTC employees who have been disciplined or had a performance-based action taken
against
them, or who
have a proposed disciplinary or performance-based action against them.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Case files and records related to adverse actions
and
performance-based actions (removal, suspension, reduction-in-
grade, furlough) against employees. The file can include a copy of the proposed adverse action with
supporting documents,
statements of witnesses, employee's reply, hearing notices, reports, agency decisions, reversal of action,
and appeal
records. Other types of records are set out in the Office of Personnel Management (OPM) Privacy Act system
of
records notice
applicable to this system, OPM/GOVT-3 (Records of Adverse Actions, Performance Based Reduction in Grade and
Removal Actions, and
Termination of Probationers), or any successor system notice for this system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 4301 <i>et seq.</i>; 5 U.S.C. 4311 <i>
et
seq.</i>; 5 U.S.C. 7101 <i>et seq.</i>; 5 U.S.C. 7501 <i>et seq.</i>;
5 U.S.C. 7511 <i>et seq.</i>; 5 U.S.C. 7541 <i>et seq.</i>; and 5 CFR parts 293, 315, 432 &amp; 752.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To document proposed and final agency decisions on disciplinary actions, adverse actions, and
performance-
based actions
in order for them to be defensible before third-party review.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed for any of
the routine uses set forth in OPM/GOVT-3.
</p><p>In addition, records in this system:
</p><p>(1) Including records of disciplinary actions, adverse actions and performance-based actions, may be
disclosed to and used by
employee relations specialists or others whose official duties require such information;
</p><p>(2) Including records of official time used and travel and per diem money spent while attending to
union business, may be
disclosed to and used by labor relations specialists and others whose official duties require such
information. Information in
system records may also be disclosed to officials of labor organizations recognized under 5 U.S.C. 7101 <i>
et
seq.</i> when
relevant and necessary to their duties as exclusive representative; and
</p>
<p>(3) May be disclosed to the Federal Labor Relations Authority (including its General Counsel) when
requested in connection
with investigation and resolution of allegations of unfair labor practices, in connection with the
resolution
of exceptions to
arbitrator's awards where a question of material fact is raised and matters before the Federal Service
Impasses Panel.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as may be authorized under OPM/GOVT-3, or under 5 U.S.C. 552a(b)(12) when trying to
collect a claim of the
Government. <i>See</i> Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Maintained in paper format in file folders; portions may also be temporarily stored in electronic
formats.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to any electronic records is controlled by "user ID"
and
password combination and/or other appropriate access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded and
monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Hard copy records are destroyed seven years after case is closed in accordance with General Records
Schedule 1, item 30,
issued by the National Archives and Records Administration. Temporary electronic files are destroyed when
the
agency determines
that they are no longer needed for reference purposes in accordance with General Records Schedule 20.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office, Federal
Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the records pertain, witnesses, supervisors, program managers, counselor, related
correspondence
from organizations or persons.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-9" toc="yes">
<systemNumber>II-9</systemNumber>
<subsection type="systemName">Claimants Under Federal Tort Claims Act and Military Personnel and Civilian
Employees' Claims Act--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who have claimed reimbursement from FTC under Federal Tort Claims Act and Military Personnel
and Civilian
Employees' Claims Act.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Personal information relating to incidents in which
the FTC may be liable for property damage, loss, or personal
injuries; reimbursement applications; internal memoranda; and witness statements
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Tort Claims Act, 28 U.S.C. 1346(b), 28
U.S.C. 2671-2680; Military Personnel and Civilian Employees' Claims
Act, 31 U.S.C. 3721.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To consider claims made under the above-cited statutes; to
investigate those claims; to determine appropriate responses
to those claims; and to maintain records outlining all considerations and actions related to those claims.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system:
</p><p>(1) May be referred to Department of Justice, General Services Administration, or other federal
agency
when the matter comes
within the jurisdiction of such agency; and
</p><p>(2) May be used in discussions and correspondence with insurance companies, with other persons or
entities that may be
liable, with potential witnesses or others having knowledge of the matter.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Paper records stored in file folders; temporary electronic files.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate access or network controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and
monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained for 6 years and 3 months after the matter has been resolved, and then destroyed, as
provided in
General Records Schedule 6, issued by the National Archives and Records Administration, except any claims
files that are
affected by court order or subject to litigation proceedings, which are destroyed when the court order is
lifted or the
litigation is concluded, or when the files are 6 years and 3 months old, whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Deputy General Counsel for Legal Counsel, Office of the
General Counsel, Federal Trade Commission, 600 Pennsylvania
Avenue, NW., Washington, DC 20580.
</p><p>Assistant Chief Financial Officer for Financial Systems, Internal Control and Policy, Financial
Management Office, Federal
Trade Commission, 600 Pennsylvania Avenue, N.W. 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record pertains (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).
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-10" toc="yes">
<systemNumber>II-10</systemNumber>
<subsection type="systemName">Employee Health Care Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current and former FTC employees or others who receive services through on-site health units at FTC
facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names, medical reports, opinions, evaluations,
diagnoses and treatment information; and other records of the type
described in the Privacy Act system of records notice published by the Health and Human Services' Program
Support Center
(HHS/PSC) for System No. 09-40-0005 (Public Health Service (PHS) Beneficiary-Contract Medical/Health Care
Records), or any
successor system notice for that system. The FTC currently has an interagency contract with HHS/PSC, which,
in turn, uses
private contractors to provide nursing, vaccination, and other miscellaneous on-site health care services
to
FTC employees.
</p><p>This system (FTC-II-10) excludes other medical records, if any, that may be compiled or maintained
by
the FTC or
a contractor on the FTC's behalf about FTC employees resulting from: (1) a request for reasonable
accommodation under
Sections 501 and 505 of the Rehabilitation Act of 1973, as amended (Pub. L. 93-112); (2) a condition of the
individual
's employment (<i>e.g.</i>, fitness-for-duty examination, drug testing); or (3) an on-the-job occurrence
(<i>
e.g.</i>,
medical injury report). Those records, if any, are described in and covered by the Office of Personnel
Management (OPM) Privacy
Act system of records notice for such records, OPM/GOVT-10 (Employee Medical File System Records), or any
successor system
notice for that system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>5 U.S.C. chapters 11, 63, 81, 83, and 84; 42 U.S.C. 216.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To maintain records concerning medical treatment administered
to
employees while on the job; to maintain continuity of
care and evaluation; to furnish documentary evidence of the course of the patient's medical evaluation and
treatment; to
document communications between the responsible practitioner and any other health professionals
contributing
to the individual
's health care and treatment; to verify the individual's eligibility for certain services; for quality
assurance (<i>e.g.</i>, to help monitor and evaluate a contractor's performance in delivering
services).</p>
<p><i>See</i> OPM/GOVT-10 for a description of the purposes for which the agency may compile and maintain
other employee medical
records, if any, that are described in and covered by that OPM system notice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system may be:
</p><p>(1) Used to disclose information to the Department of Labor, Department of Veterans Affairs, Social
Security Administration,
Federal Retirement Thrift Investment Board, or a national, state, or local Social Security-type agency,
when
necessary to
adjudicate a claim (filed by or on behalf of the individual) under a retirement, insurance, or health
benefit
program;
</p><p>(2) Used to disclose information to a Federal, state, or local agency to the extent necessary to
comply with laws governing
reporting of communicable diseases;
</p><p>(3) Used to disclose information to the Merit Systems Protection Board, the Office of Special
Counsel,
the Federal Labor
Relations Authority and its General Counsel, the Equal Employment Opportunity Commission, arbitrators, and
hearing examiners to
the extent necessary to carry out their authorized duties;
</p><p>(4) Used to disclose information to health insurance carriers contracting with the Office of
Personnel
Management to provide
a health benefits plan under the Federal Employees Health Benefits Program information necessary to verify
eligibility for
payment of a claim for health benefits, and to disclose information to the Office of Federal Employees
Group
Life Insurance or
Federal Retirement Thrift Investment Board that is relevant and necessary to adjudicate claims;
</p><p>(5) Used to disclose information, when an individual to whom a record pertains is mentally
incompetent
or under other legal
disability, to any person who is responsible for the care of the individual, to the extent necessary, and
to
disclose to the
agency-appointed representative of an employee all notices, determinations, decisions, or other written
communications issued to
the employee, in connection with an examination ordered by the agency under agency-filed disability
retirement procedures;
</p><p>(6) Used to disclose to a requesting agency, organization, or individual the home address and other
information concerning
those individuals who it is reasonably believed might have contracted an illness or been exposed to or
suffered from a health
hazard while employed in the Federal work force; and
</p><p>(7) May be disclosed, to the extent they reflect information regarding the commission of crimes or
the
reporting of
occurrences of communicable diseases, tumors, child abuse, births, deaths, alcohol or drug abuse, etc., as
required by health
providers and facilities by State law or regulation of the department of health or other agency of the
State
or its subdivision
in which the facility is located. Disclosures will be made to organizations as specified by the State law
or
regulation, such as
births and deaths to the vital statistics agency and crimes to law enforcement agencies.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Stored in file folders. Some information may be stored temporarily in electronic format (<i>e.g.</i>, e-
mails,
electronic files).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Indexed by individual's name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained according to schedules and procedures issued or approved by the National Archives
and
Records
Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office, Federal
Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p><p>Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers Lane, Rockville, Maryland
20857-0001.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the records are maintained, treating nurses or other medical staff, witness
statements,
supervisors/managers and other agency officials, and others.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-11" toc="yes">
<systemNumber>II-11</systemNumber><subsection type="systemName">Personnel Security, Identity Management,
and
Access Control Records System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. System data pertaining to identity
management are maintained separately off-site by an FTC contractor. <i>See</i> Appendix III for other
locations where records
may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current and former FTC employees, contractor staff, or other individuals who have requested, been
issued,
and/or used
FTC identification for access to FTC and/or other Federally controlled facilities.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Names, security investigation reports, adjudication
files, card files, and position sensitivity designation files, and
other data compiled, generated or used for personnel security clearance; fingerprints, photographs,
signatures, and other
personal data collected or used in connection with the issuance of FTC identification (credentials); time,
date, location, or
other data, logs, tapes, or records compiled or generated when such credentials are used to obtain physical
or logical access to
FTC facilities or resources.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301; Homeland Security Presidential
Directive--12 (HSPD-12).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To conduct personnel security investigations; to make
determinations required based upon the results of those
investigations; and to maintain records of the investigations and determinations; to issue credentials that
comply with
Government-wide standards issued under HSPD-12, or to issue other non-HSPD-12 temporary identification for
access to FTC
facilities or resources; to maintain logs or other records of such logical and physical access by FTC
staff,
contractors, or
other individuals; to detect, report and take appropriation action against improper or unauthorized
issuance
or use of FTC
credentials, and unauthorized access to or use of FTC facilities and resources.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Records in this system may be used to disclose
to an agency in the executive, legislative, or judicial branch, in
response to its request, information on the issuance of a security clearance or the conducting of a
security
or suitability
investigation on individuals who, at the time the records are added to the system, were Commission
employees.
</p><p>(2) Access logs, tapes, or other system records may be reviewed or referred and disclosed to police
or
other law enforcement
personnel for purposes of investigating possible criminal or other illegal activity of individuals who have
accessed FTC
facilities or resources.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Paper and electronic records, tapes, or other digital or non-digital media. Identity management system
data are
maintained in an off-site database maintained and operated by a contractor on behalf of the FTC.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Paper records indexed by individual's name. Electronic
records searched and retrieved by name or other data fields
or codes.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to personnel security files is restricted to FTC
Personnel Security staff, and such files are maintained in a
combination-locked safe and lockable metal file cabinets, in locked rooms. Personnel investigation reports
may be reviewed by an
agency official (who has been subject to a favorable background investigation) only on a strict need-to-
know
basis. Identity
management system (IDMS) data are collected, maintained and accessed only by authorized individuals. IDMS
data are not
maintained with other data on agency network servers, but are transferred by dedicated telephone data lines
for off-site vendor
storage, management and security. Security systems and equipment that electronically log or record usage of
FTC-issued
credentials to obtain access to FTC facilities or resources are secured electronically and physically (<i>
e.g.</i>, recording
and video monitoring equipment and servers in rooms accessible only by authorized key cards). FTC buildings
are guarded and
monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Personnel investigation reports are retained for 15 years or until an employee separates from the
agency.
Records of
adjudicative actions are maintained for two years. Other records in this system are retained and destroyed
in
accordance with
applicable retention and disposal schedules and guidance issued or approved by the National Archives and
Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Security Officer, Administrative Services Office, Office
of
the Executive Director, Federal Trade Commission, 600
Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual requesting or requiring FTC identification for logical or physical access purposes; Office of
Personnel
Management Security Investigations Index, FBI Headquarters investigative files, fingerprint index of arrest
records, Defense
Central Index of Investigations, previous employers, references identified by record subject individual,
school registrars, and
responsive law enforcement agencies.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(5), records in this
system, to the extent such records have been compiled to determine
suitability, eligibility, or qualifications for employment or other matters, as set forth in the cited
Privacy Act provision,
and would reveal the identity of a confidential source, 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. <i>See</i> &#167; 4.13(m) of the FTC Rules of Practice, 16 CFR
4.13(m).
</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-12" toc="yes">
<systemNumber>II-12</systemNumber>
<subsection type="systemName">e-Train Learning Management System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who, at the time the records are added to the system, are FTC employees who registered to
attend training
courses offered by the Human Resources Management Office.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee social security number, position title,
pay
plan, series, grade, organizational code, work address, work phone
number, supervisor, date of birth, sex, race, work email address, course number, course title, course date
and time, attendance
indicator, separation date, etc.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>; 5 U.S.C. ch. 41; 5 CFR 410.701.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To provide information to agency managers necessary to indicate the training that has been requested and
provided to
individual employees; to determine course offerings and frequency; and to manage the training program
administered by the Human
Resources Management Office. Since this system is legally part of the OPM's Government-wide system of
records
notice for
this system, OPM/GOVT-1, it is subject to the same purposes set forth for that system by OPM, see
OPM/GOVT-1,
or any successor
OPM system notice that may be published for this system (visit (<i>www.opm.gov</i>) for more information).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Since this system is legally part of the OPM's Government-wide system of records notice for this system,
OPM/GOVT-1, it is subject to the same routine uses set forth for that system by OPM, see OPM/GOVT-1, or any
successor OPM system
notice that may be published for this system (visit (<i>www.opm.gov</i>) for more information).
</p>
<p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records are stored in electronic record systems and temporary paper printouts.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee social security number and name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access and network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Employee training records are generally retained according to General Records Schedule (GRS) 1, Item 29,
issued by the
National Archives and Records Administration. Temporary electronic files are destroyed when the agency
determines that they are
no longer needed for reference purposes in accordance with GRS 20. Other materials, including inputs and
hard
copy printouts
derived from electronic records created on an ad hoc basis for reference purposes or to meet day-to-day
business needs, are
destroyed when the agency determines that they are no longer needed for administrative, legal, audit, or
other operational
purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office, Federal
Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained, supervisors, managers, and Human Resources Management
Office staff
responsible for the training program.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-II-13" toc="yes">
<systemNumber>II-13</systemNumber>
<subsection type="systemName">Staff Time and Activity Reporting (STAR) System--FTC
</subsection><subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Financial Management Office, Federal Trade Commission,
600
Pennsylvania Avenue, NW., Washington, DC 20580. <i>See</i>
Appendix III for other locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current and former FTC employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee names; staff time reported in hours, by
mission, organization, and specific FTC matter, activity, or program.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 U.S.C., subtitle III, chapter 35; 31 U.S.C.
1104, 1105, and 1115; 5 U.S.C. 306; OMB Circular A-11; OMB Bulletin
97-01.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To track the time spent by FTC staff on individual
investigations, projects, and other activities of the agency and to
compare expended staff time against statutory mandates and FTC policy; to generate program and performance
information for
annual budget submissions, Government Performance and Results Act (GPRA) plans and reports, and agency
financial statements that
are provided to Congress, the Office of Management and Budget (OMB), the Commission, and others.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed to or
shared
with Congress, OMB, or others where relevant and necessary in
connection with annual budget submissions, GPRA plans and reports, and agency financial statements.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Data are stored in an electronic database. Paper may be used for inputs and paper printouts generated by
the database.
Records are stored either on site or at an off-site managed information storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee name and by various codes for
mission,
organization and specific FTC matter, activity, or program.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained in accordance with the applicable National Archives and Records Administration
General Records
Schedule(s) (GRS), including portions of GRS 8 and 20. Most system records are stored at least 3 years
after
the close of a case
or project matter in order to accumulate data for use in cost reports. Other materials, including inputs
and
hard copy printouts
derived from electronic records created on an ad hoc basis for reference purposes or to meet day-to-day
business needs, are
destroyed when the agency determines that they are no longer needed for administrative, legal, audit, or
other operational
purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Chief Financial Officer, Financial Management Office,
Office of the Executive Director, Federal Trade Commission, 600
Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>FTC employees and consultants, including staff responsible for STAR data entry, STAR coordinators, STAR
administrative
officers, STAR approving officials, and STAR administrators.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection></section>


<section id="FTC-III" toc="yes">
<systemNumber/>
<subsection type="systemName">III. FTC Financial Systems of Records
</subsection></section>

<section id="FTC-III-1" toc="yes">
<systemNumber>III-1</systemNumber>
<subsection type="systemName">Personnel Payroll System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where system records may be maintained or accessed.
</p>
<p>Federal Personnel Payroll System (FPPS) Management Division, U.S. Department of Interior, National
Business Center, 7301 West
Mansfield Avenue, Denver, CO 80227.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Current and former Federal Trade Commission
employees.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Employee name, Social Security number, and
organizational code; pay rate and grade, retirement, and location data;
length of service; pay, leave, time and attendance, allowances, and cost distribution records; deductions
for
Medicare or FICA,
savings bonds, FEGLI, union dues, taxes, allotments, quarters, charities, health benefits, Thrift Savings
Fund contributions,
awards, shift schedules, pay differentials, IRS tax lien data, commercial garnishments, child support
and/or
alimony wage
assignments; and related payroll and personnel data. Also included is information on debts owed to the
government as a result of
overpayment, refunds owed, or a debt referred for collection on a transferred employee.
</p><p>These records are also covered by the applicable system notice published by the Department of
Interior
(DOI), DOI-85
(Payroll, Attendance, Retirement, and Leave Records--Interior), and any successor system notice that may be
published by
DOI for this system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Title 5 of the United States Code, Part III,
Subparts A-G; 31 U.S.C. 3512; 5 U.S.C. 5101 <i>et seq.</i>; Pub. L. 81-784,
64 Stat. 832; Joint Financial Management Improvement Program (JFMIP), Human Resources &amp; Payroll System
Requirements, JFMIP-
SR-99-5 (April 1999).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To maintain, process and/or provide complete, accurate, and prompt: (a) payment of salary and
deductions;
(b) payroll
information relating to retirement contributions, including the calculation of retirement benefits; (c)
generation and
maintenance of human resources and payroll records and transactions; (d) interaction of human resources and
payroll systems with
core financial systems; (e) adequate internal controls to ensure that human resources and payroll systems
are
operating in
accordance with applicable laws and regulations; and (f) information, without extraneous material, to those
internal and
external to the agency who require the information, including the answering of employees' inquiries
regarding
their
retirement contributions while they are with the agency.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system:
</p><p>(1) That identify the individual's work schedule may be disclosed to that extent, and for that
purpose, to others
within or outside the agency;
</p><p>(2) To the extent they contain information about an individual's unemployment compensation, may be
referred to state
and local unemployment compensation boards;
</p><p>(3) To the extent they contain information about employment pay, benefits, retirement deductions,
and
other information
necessary for the Office of Personnel Management (OPM) to carry out its Government-wide personnel
management
functions, may be
referred to OPM for such purposes;
</p><p>(4) May be referred to OPM upon the individual's retirement, transfer to another Federal agency, or
resignation from
Federal service; and
</p><p>(5) May be disclosed for any routine use noted in the Department of Interior (DOI) Privacy Act
system
of records notice
applicable to this system, DOI-85 (Payroll, Attendance, Retirement, and Leave Records--Interior), or any
successor system
notice for this system.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>Disclosure pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from this system to
consumer
reporting agencies as
defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or the Federal Claims Act of 1966 (31 U.S.C.
3701(a)(3)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Stored on computer tape at the U.S. Department of Interior, National Business Center, which processes
employee payroll
for the FTC under an interagency agreement. Paper printouts or original input documents may be stored at
the
FTC in locked file
cabinets or as imaged documents on magnetic media at all locations that prepare and input documents and
information for data
processing.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name, Social Security number, and
organizational code.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access controls. FTC buildings are guarded and monitored by
security personnel,
cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>The records in this system have varying retention
periods as described in the National Archives and Records
Administration's General Records Schedule 2. Records are held for length of the service of the employee
while
he or she is
at FTC. Information is forwarded to OPM at the end of the employee's FTC service. Other materials,
including
inputs and
printouts derived from electronic records created on an ad hoc basis for reference purposes or to meet day-
to-day business
needs, are destroyed when the agency determines that they are no longer needed for administrative, legal,
audit, or other
operational purposes according to General Records Schedule 20.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Human Resources Management Office, Federal
Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p><p><i>See</i> DOI-85 for the FPPS system manager and address.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individuals on whom the records are maintained, official personnel records of individuals on whom the
records are
maintained, supervisors, timekeepers, previous employer, and the Internal Revenue Service.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-III-2" toc="yes">
<systemNumber>III-2</systemNumber>
<subsection type="systemName">Travel Management System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Financial Management Office, Federal Trade Commission,
600
Pennsylvania Ave., N.W., Washington, DC 20580. This system of
records is principally operated and maintained off-site by an FTC contractor, although this system is also
intended to include
any miscellaneous official FTC travel data that may be maintained on-site by individual FTC offices and
retrieved by name or
other personally assigned identifier about individuals on official FTC travel. <i>See</i> Appendix III for
other locations where
records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC employees or other individuals (<i>e.g.</i>, witnesses) who travel on official business; FTC
administrative staff
who perform administrative tasks in the system on behalf of traveling employees or other individuals; and
FTC
supervisors who
approve travel plans for employees or others.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Names (as they appear on government-issued driver's licenses or passports), dates of birth, sex, social
security
numbers, home and/or business phone numbers, home and/or business addresses, vendor ID or other unique 9-
digit numbers, e-mail
addresses, emergency contact information (names, addresses, and phone numbers), credit card information
(personal and/or
government-issued), and redress numbers. For traveling FTC employees or other individuals (<i>e.g.</i>,
witnesses) only,
additional data may be maintained, such as passport numbers (for international travelers), frequent flyer
or
other rewards
membership numbers, and trip-specific information (travel dates, flight numbers, destinations,
accommodations, vehicle rental,
miscellaneous expenses claimed).
</p>
<p>Other types of records covered by this system are set out in the General Services Administration (GSA)
Privacy Act system of
records notice applicable to this system, GSA/GOVT-4, or any successor system notice for this system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>31 USC 3511, 3512 and 3523; 5 U.S.C. Chapter
57;
and implementing Federal Travel Regulations (41 CFR parts 301-304).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>To plan, authorize, arrange, process and manage official FTC
travel; to maintain records on individuals who are current
FTC employees on travel and individuals being provided travel by the Government; to obtain travel
authorizations; to prepare and
submit local travel vouchers; to generate travel expense reports; and to enable travel agents who are under
contract to the
Federal government to issue and account for travel provided to individuals.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) For any routine use noted in the GSA Privacy
Act
system of records notice applicable to this system, GSA/GOVT-4, or
any successor system notice for this system.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized by GSA/GOVT-4, or under 5 U.S.C. 552a(b)(12) when trying to collect a
claim of the
Government. <i>See</i> Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Data are entered into system database by traveling individuals and/or administrative staff through
system
Web site and
stored electronically; temporary paper printouts. Miscellaneous travel data maintained by individual FTC
offices are stored in
electronic files on secured agency servers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual name and travel order number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access or network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures. <i>See</i>
GSA/GOVT-4 for
additional safeguards applicable to electronic records in this system that are maintained by the FTC's
contractor.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p><i>See</i> National Archives and Records Administration (NARA) General Records Schedule (GRS) 9 for
Travel
and
Transportation Records, and GRS 20 for Electronic Records. Electronic data are available online as detailed
records for at least
36 months, and are available as retrievable archived records for at least 6 years and 3 months, pursuant to
NARA guidelines
regarding record disposition, as provided in 36 CFR 1228 and 1234. Records that meet the criteria for
disposition may be purged
from the system database. Other materials, including inputs and hard copy printouts derived from electronic
records created on
an ad hoc basis for reference purposes or to meet day-to-day business needs, are destroyed when the agency
determines that they
are no longer needed for administrative, legal, audit, or other operational purposes according to the GRS.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Chief Financial Officer, Financial Management Office, Federal Trade Commission, 600 Pennsylvania Ave.
N.W.,Washington,
DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Traveling employees or other individuals (<i>e.g.</i>, witnesses), FTC administrative staff, FTC
supervisors, credit
card companies and travel service providers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-III-3" toc="yes">
<systemNumber>III-3</systemNumber>
<subsection type="systemName">Financial Management System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>(1) Financial Management Office, Federal Trade
Commission,
600 Pennsylvania Avenue, NW., Washington, DC 20580;
</p><p>(2) National Business Center, U.S. Department of the Interior, 7301 West Mansfield, Denver, CO
80235;
and
</p><p>(3) Office of Federal Systems and Services, National Business Center, U.S. Department of the
Interior,
12201 Sunrise Valley
Drive, Room 6A231, MS-206, Reston, VA 20192.
</p><p><i>See</i> Appendix III for other locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Employees who claim reimbursement from the FTC for travel or other reimbursable expenses personally
incurred;
individuals doing business as sole proprietors; individuals who are reimbursed by the FTC for travel or
other
miscellaneous
expenses.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>For current and former FTC employees, records
include
names, home addresses, employee supplier numbers, Social Security
numbers, banking account numbers for electronic fund transfer payments, invoices and claims for
reimbursements.
</p><p>For non-employee individuals and sole proprietors, records include names, home or business
addresses,
Social Security
numbers, banking account numbers for electronic fund transfer payments, invoices and claims for
reimbursement. Records in this
system are subject to the Privacy Act only to the extent, if any, they are about an individual within the
meaning of the Act,
and not if they are about a business or other non-individual.
</p><p>This system is also covered by the system notice published by the Department of Interior (DOI) for
this system, DOI-90
(Federal Financial System), or any successor system notice published by DOI for this system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 4111(b), 5514, 5701 <i>et seq.</i>; 26
U.S.C. 6103(m); 31 U.S.C. 3512, 3711, 3716; 41 CFR parts 301-304; U.S.
Treasury Financial Manual.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To perform core accounting functions, which includes but is not limited to supporting and documenting
expenses incurred
in the performance of official agency duties; to bill and follow-up; to pay creditors; to account for goods
and services
received; to account for funds paid and received; and to process travel authorizations and claims.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system:
</p><p>(1) May be disclosed for any routine use noted in the Department of Interior Privacy Act system of
records notice applicable
to their system, Federal Financial System, DOI-90, or any successor system notice for this system; and
</p><p>(2) To the extent they pertain to FTC acquisition activities, may be transmitted or disclosed to the
General Service
Administration's Federal Procurement Data System, a central repository for statistical information on
Government
contracting, for purposes of providing public access to Government-wide data about agency contract actions.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>Disclosure pursuant to 5 U.S.C. 552a(b)(12). Disclosures may be made from this system 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)).
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Stored on magnetic disks and tape and on paper.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrievable electronically, and are indexed
or
indexable by virtually any data field available (<i>see</i>
record categories above).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>Access is restricted to agency personnel or contractors whose responsibilities require access. Paper
records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other network access or security controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and monitored
by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained in accordance with the applicable National Archives and Records Administration
schedules, including
portions of General Records Schedules 6, 7, 9 and 20. Most records, including general accounts ledgers and
voucher forms, are
maintained for a minimum of six years and three months. Other materials, including hard copy printouts
derived from electronic
records created on an ad hoc basis for reference purposes or to meet day-to-day business needs, are
destroyed
when the agency
determines that they are no longer needed for administrative, legal, audit, or other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>(1) Chief Financial Officer, Financial Management Office,
Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580;
</p><p>(2) The following system manager has overall responsibility for the Federal Financial System:
Director, Office of Financial
Management, U.S. Department of the Interior, 1849 C Street NW., MS-5412 MIB, Washington, DC 20240; and
</p><p>(3) The following system managers have responsibility for the management and operation of the
computing centers through which
the Federal Financial System has been implemented:
</p><p>(a) Director, Office of Federal Systems and Services, National Business Center, U.S. Department of
the
Interior, 12201
Sunrise Valley Drive, Room 6A231, MS-206, Reston, VA 20192; and
</p><p>(b) Chief, Financial Systems Division, Products and Services, National Business Center, MS D-2700,
7301 West Mansfield
Avenue, Denver, CO 80235-2230.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Employees and former employees seeking reimbursement from the FTC for expenses personally incurred,
vendor
as a
corporate entity or federal agency, individual vendor (<i>e.g.</i>, sole proprietors), and individual point
of contact for a
vendor.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent>
<p>None</p></xhtmlContent></subsection></section>
<section id="FTC-III-4" toc="yes">
<systemNumber>III-4</systemNumber>
<subsection type="systemName">Automated Acquisitions System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current or former agency vendors, if any, who are "individuals" within the meaning of the Privacy Act;
FTC
staff who have requisitioned goods or services; FTC authorizing officials; FTC staff who are on the routing
list for the
requisition.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name of vendor; business address, business
telephone,
tax identification number (<i>i.e.</i>, employer identification
number or Social Security number), and bank routing and account number(s); supporting documents and related
correspondence from
active contracts and also from pending contracts prior to formal acceptance; name, phone or other
administrative point-of-
contact information for FTC staff involved in the requisition. Records in this system are subject to the
Privacy Act only to the
extent, if any, they are about an individual within the meaning of the Act, and not if they are about a
business or other non-
individual.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>31 U.S.C. 3512; 41 U.S.C. 401 <i>et seq.</i>; Federal Acquisition Regulation, 48 CFR.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To manage the work and fulfillment process for the procurement (acquisition) of goods and services by
the
FTC, and
provide short-term electronic storage of FTC procurement records; to help prepare agency financial reports.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system pertaining to FTC
acquisition
activities may be transmitted or disclosed to the General Service
Administration's Federal Procurement Data System, a central repository for statistical information on
Government
contracting, for purposes of providing public access to Government-wide data about agency contract actions.
</p><p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose
system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Data entered and stored in a structured electronic database using a commercial software application.
Paper
may be used
for inputs and paper printouts generated by the database. Records are stored either on site or at an off-
site
managed
information storage facility.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by requisition number, contract number, vendor
name and number.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other network access or security controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and monitored
by security personnel, cameras, ID checks, and other physical security measures. This system is also
subject
to periodic
internal reviews and annual audits by the FTC Office of the Inspector General.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and destroyed in accordance with applicable schedules and procedures issued or
approved by the
National Archives and Records Administration (NARA). Retention periods vary depending on the nature of the
record. See, <i>e.g.
</i>, NARA General Records Schedule (GRS) 3 and 20. Other materials, including inputs and hard copy
printouts
derived from
electronic records created on an ad hoc basis for reference purposes or to meet day-to-day business needs,
are destroyed when
the agency determines that they are no longer needed for administrative, legal, audit, or other operational
purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Chief, Acquisitions Branch, Financial Management Office, Federal Trade Commission, 600 Pennsylvania
Avenue, NW.,
Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Vendors, FTC staff who requisition goods or services.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-III-5" toc="yes">
<systemNumber>III-5</systemNumber>
<subsection type="systemName">Employee Transportation Program Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC. <i>See</i> Appendix III for other locations
where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Past and present FTC employees who have applied for public transportation subsidies from the FTC to
commute for work, or
who may apply to participate in other employee transportation-related programs (<i>e.g.</i>, parking garage
permits) that the
FTC may administer from time to time, if any.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Subsidy application forms (<i>e.g.</i>, FTC Forms 987, 987-A) containing information such as the
employee's name,
home address, other contact identifying data, mode of transportation, estimated commuting costs, amount of
subsidy being sought,
and signed certification; miscellaneous reports, forms, vouchers, or other records, to the extent, if any,
maintained in the
system and retrieved by the employee's name or other assigned personal identifier, relating to the
disbursement or
discontinuation of subsidies to the employee. Other data collected and maintained for employee
transportation-related programs
may include employee data that is relevant and necessary for participating in and administering such
programs
(<i>e.g.</i>,
drivers' licenses for garage parking permits).
</p>
<p>Data transmitted by the FTC to the U.S. Department of Transportation (DOT), which administers and
distributes the transit
subsidies for FTC employees, are described in and covered by the system notice published by DOT for that
system, DOT/ALL 8
(Employee Transportation Facilitation), or any successor system notice for that system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 7905 note; Pub. L. 103-172; Executive
Order 13150.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>Transit subsidy records are collected and maintained to
implement
Federal law encouraging Federal employees to use
public transportation for commuting to and from work. Such records are used to authorize subsidies for
qualified FTC employees
to help cover such commuting costs; to ensure the accurate and timely disbursement of subsidies to such
employees; and to audit
and otherwise detect or prevent fraud or abuse, if any, of such subsidies. Other employee transportation
program records may be
collected and maintained to administer those programs, including for building security purposes (<i>
e.g.</i>,
drivers'
license numbers maintained for individuals who have been issued garage parking permits).
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system:
</p><p>(1) May be disclosed to the U.S. Department of Transportation (DOT) for purposes of processing and
distributing subsidies to
FTC employees and verifying employee compliance with program rules, and may be used and disclosed by DOT
under the routine uses
set forth in the applicable DOT system notice, DOT/ALL 8 (Employee Transportation Facilitation), or any
successor system notice
for that system; and
</p><p>(2) May be disclosed to other investigatory or law enforcement authorities, where necessary, to
investigate, prosecute,
discipline, or pursue other appropriate action against suspected program fraud or abuse, if any.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act allows the FTC to use and disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records are maintained in paper format. Copies of transit subsidy applications are sent by facsimile
transmission to the
Department of Transportation.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are maintained and retrieved alphabetically by
employee's last name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to FTC personnel or contractors whose
responsibilities require access. Records are maintained in
locked file cabinets, accessible only to the program manager or other FTC staff whose job duties require
access. FTC buildings
are guarded and monitored by security personnel, cameras, ID checks, and other physical security measures.
Obsolete records are
destroyed by disposal in burn bags, by shredding, or by similarly secure means.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Retained and destroyed in accordance with
applicable
schedules and procedures issued or approved by the National
Archives and Records Administration. Records are temporary and maintained in the system while the employee
is
participating in
the program. Records are removed from the system and destroyed by secure means (<i>see</i> "Safeguards")
when
the
employee has transferred or separated from the agency or is otherwise no longer a program participant.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Administrative Services Office, Office of the Executive Director, Federal Trade Commission,
600
Pennsylvania
Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Past and current FTC employees who have applied to participate in the subsidy program; FTC offices;
Department of
Transportation.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>

<section id="FTC IV" toc="yes">
<systemNumber>IV</systemNumber>

<subsection type="systemName">FTC Correspondence Systems of Records</subsection></section>

<section id="FTC-IV-1" toc="yes">
<systemNumber>IV-1</systemNumber>
<subsection type="systemName">Consumer Information System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. This system is operated off-site by a
contractor. <i>See</i> Appendix III.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>(1) Individual consumers who submit complaints to the FTC about identity theft, or the business
practices
of a company
or individual, as well as consumers who request information or assistance.
</p><p>(2) Individuals who submit their complaints about identity theft or the business practices of a
company or individual to
another organization that has agreed to provide its consumer complaint information to the FTC.
</p><p>(3) Individuals acting on behalf of another consumer to submit the other consumer's complaint about
identity theft, or
the business practices of a company or individual, or to request information or assistance on behalf of
another individual.
</p><p>(4) Individuals who are the subjects of complaints about identity theft or about the business
practices of a company or
individual.
</p><p>(5) FTC or contractor staff assigned to process or respond to such communications.
</p><p>(6) Other system users outside the FTC (<i>e.g.</i>, law enforcement agencies authorized to have
access to the system under
confidentiality agreements).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>(1) Personally identifying information about the individual who submits a complaint or requests
information or
assistance, 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.
</p><p>(2) Personally identifying information about the individual who submits a complaint or requests
information or assistance on
behalf of someone else, including, for example, the submitting individual's name, address, phone or fax
number and e-mail
address.
</p><p>(3) The name, address, telephone number or other information about an individual who is the subject
of
a complaint, or is
allegedly associated with the subject of a complaint. (Information in the system about companies or other
non-individuals is not
covered by the Privacy Act.)
</p><p>(4) The name and reference number of FTC or contractor staff person who entered or updated the
complaint information in the
database.
</p><p>(5) Name, organization, and contact data for system users outside the FTC (<i>e.g.</i>, staff of
other
authorized law
enforcement agencies).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>; section 5 of the Identity Theft and
Assumption
Deterrence Act
of 1998 (ITADA), 18 U.S.C. 1028 note.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To maintain records of complaints and inquiries from individual consumers; to track and respond to such
communications (
<i>e.g.</i>, providing information to consumers over the phone or fulfilling requests by consumers to be
mailed copies of FTC
publications); identify consumer problems and issues that may lead to law enforcement investigations,
litigation, or other
proceedings; to be used in and made part of the records of such proceedings, or to be referred to other
person, entities, or
authorities, where appropriate, covered by other Privacy Act system of records notices; and to provide
statistical data on the
number and types of complaints or other communications received by the FTC. Also, to satisfy the
requirement
of the ITADA that
the FTC compile and refer ID theft complaints to "appropriate entities," and to provide useful information
that may
contribute to regulation and oversight of institutions and systems that play a role in or are affected by
fraudulent business
practices or identity theft.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>(1) Consumer complaints can be disclosed to the subject of the complaint for purposes of attempting to
resolve the
complaint;
</p><p>(2) ID theft complaints also can be disclosed to the three major national credit reporting agencies
and other appropriate
entities to fulfill the requirements of section 5 of the ITADA; and
</p><p>(3) Contact data for non-FTC users of this system (<i>e.g.</i>, staff of authorized law enforcement
agencies) can be shared
among such users or with others within or outside the FTC to enable them to communicate with one another.
</p>
<p><i>See</i> Appendix I for other ways that the Privacy Act allows the FTC to use or disclose system
records
outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>Identity theft complaints may be referred to consumer reporting agencies, as authorized by the
ITADA. Disclosure of
system records is also authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Communications are received from consumers in a variety of paper and electronic formats (<i>e.g.</i>, by
letter, e-mail,
Web-based form, facsimile, telephone, TTY). The FTC maintains a Consumer Response Center, which can be
reached through a toll-
free telephone numbers, for the collection of complaints from consumers. Communications referred to the FTC
from other sources (
<i>e.g.</i>, other law enforcement agencies, private consumer protection organizations) may also be
provided
to the FTC in paper
or electronic format (<i>e.g.</i>, by letter, e-mail, CD-ROM, disk drive). Data from such communications
are
entered into a
structured electronic database maintained by a contractor on the agency's behalf, and accessible by Web-
based
interface to
FTC staff, contractors, and other authorized users (<i>e.g.</i>, law enforcement partners) subject to
strict
access and security
controls (<i>see</i> "Safeguards" below).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>Records may be retrieved and indexed by any category of data that is submitted by consumers or otherwise
compiled in
association with such records (<i>e.g.</i>, name, subject of the complaint).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>The system can currently be accessed by FTC staff, contractors, and other system users, such as
authorized
law
enforcement agency personnel. This access occurs via a Web-based interface and is authorized only on a
need-
to-know basis to
those individuals and organizations requiring access. Contractors and other non-FTC users must sign
confidentiality and
nondisclosure agreements, and, in some cases, are required to undergo additional security clearance
procedures. Letters or other
system records in paper format are maintained in lockable rooms and cabinets. Access to the electronic
database requires users
to have the correct "user ID" and password combination, individual security token code, and Internet
protocol
(
"IP") address for the user's law enforcement agency. The system database is maintained on secure servers,
protected by firewalls, access and usage logs, and other security controls. Servers are maintained in a
secure physical
environment, including building locks, security guards, and cameras.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records are retained and destroyed in accordance
with schedules and procedures issued or approved by the National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Director, Division of Planning and Information,
Bureau of Consumer Protection, Federal Trade Commission, 600
Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II. Individuals who call the
FTC's Consumer Response Center can also use their FTC reference
number to identify complaints they have previously submitted in order to update them.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Consumers and entities who communicate with the FTC; FTC staff and contractors; other law enforcement
agencies and non-
FTC organizations.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-IV-2" toc="yes">
<systemNumber>IV-2</systemNumber>
<subsection type="systemName">Miscellaneous Office Correspondence Tracking System Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who correspond with individual FTC offices (<i>e.g.</i>, members of Congress, counsel for
regulated
entities, consumers); FTC staff assigned to or responsible for supervising, responding or taking other
action
on correspondence,
assignments, or other matters that may also be tracked in the system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Name; matter name, number and/or description of the correspondence, assignment, or other matter; date of
receipt or
assignment, date of response, action, or other relevant dates; FTC organization and other internal
administrative codes.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>For the Office of the Secretary and certain other offices within the Commission to log and track the
receipt,
processing, and response, referral, or other action taken by those offices on correspondence, assignments
or
other agency
matters for which those offices are responsible in whole or part; to help manage workloads, anticipate
resources needed, and
ensure that a response or other necessary or appropriate action is taken by those offices in a timely and
complete manner; and
to maintain records of the offices' responses or other actions taken on correspondence, assignments or
other
matters.
(This system encompasses matter tracking records similar to, but maintained and managed separately from,
those in FTC-I-5,
Matter Management System--FTC.)
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>When correspondence is referred to the FTC by a
member of Congress, official committee or subcommittee, or other
Government entity or official, the FTC may disclose to such official or authorized staff of such entity or
official the status
of the FTC's handling and processing of such correspondence.
</p><p><i>See</i> Appendix I for other ways that the FTC can use and disclose these system records outside
the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic records and printed reports.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Name of corresponding or referring individual, and/or of
FTC staff with responsibility for supervising, processing,
responding or otherwise handling the correspondence or other matter. System records may also be retrieved
by
other system search
fields or parameters not pertaining to an individual (<i>e.g.</i>, matter or tracking number, date, FTC
organization code).
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent>
<p>Access is restricted to agency personnel or contractors whose responsibilities require access. Paper
records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other network access or security controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and monitored
by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and destroyed in accordance with applicable schedules and procedures issued or
approved by the
National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Secretary, Federal Trade Commission, 600 Pennsylvania
Ave.,
NW., Washington, DC 20580. Other
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>FTC staff; incoming and outgoing correspondence; internal memoranda or other FTC documents.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-IV-3" toc="yes">
<systemNumber>IV-3</systemNumber>
<subsection type="systemName">National Do Not Call Registry System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. System database is maintained and operated
off-site by a contractor. <i>See</i> Appendix III.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who notify the Commission that they do not wish to receive telemarketing calls. Individually
identifiable
information (<i>e.g.</i>, name, e-mail address) that telemarketers, sellers, or their agents must submit
when
paying for and
obtaining access to the system is covered by this system only to the extent, if any, that such information
is
"about [the]
individual" within the meaning of the Privacy Act, and is not about the telemarketer, seller, or agent
acting
in a non-
individual business capacity.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>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). Telemarketers, sellers, and their agents are also required to
submit information to
pay for and obtain authorized access to the system, including the names of, or other identifiers that may
be
associated with,
individuals (<i>e.g.</i>, name of contact person, name of the person to whom the credit card is issued, e-
mail address, etc.).
Such information is part of this FTC system of records only to the extent, if any, that such information is
maintained in the
FTC's records and is "about [the] individual" within the meaning of the Privacy Act, and not about a
telemarketer, seller, or agent acting in a non-individual business capacity.
</p>
<p>Otherwise, user fee payment data from telemarketers, sellers, and their agents required to participate
in
the National Do Not
Call Registry are principally collected and maintained on behalf of the Government by the <i>
www.pay.gov</i>
Web site operated
by the Department of Treasury Financial Management Service (FMS). Those data are covered by the applicable
system notice
published by Treasury/FMS, Treasury/FMS.017 (Collections Records), and any successor system notice that may
be published for
that system.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>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. No. 108-10 (2003); Do-Not-Call Improvement Act of 2007,
Pub. L.
No. 110-187 (2008); Do-Not-Call Registry Fee Extension Act of 2007, Pub. L. No. 110188 (2008).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent><p>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. Information submitted by or compiled on telemarketers,
sellers, and their
agents is used for purposes of fee collection, authorizing their access to the system, and related purposes
and uses as
described in this notice.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) 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;
</p><p>(2) Information submitted by or compiled on telemarketers, sellers, and their agents may be used and
disclosed to other
Federal, state, or local government authorities for payment or billing purposes, including referral to debt
collection agencies
or other governmental entities for collection, tax reporting, or other related purposes. Information that
is
submitted by or
compiled on telemarketers, sellers, and their agents and that is incorporated into the <i>www.pay.gov</i>
system shall also be
subject to routine uses, if any, that may be separately published for that system, Treasury/FMS.017
(Collections Records), or
any successor system notice for that system.
</p>
<p><i>See</i> Appendix I for other ways that the FTC can use and disclose these system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records in the system are collected and maintained by an off-site FTC contractor in an electronic
database
with Web-
based access subject to strict security controls (<i>see</i> "Safeguards" below).
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent>
<p>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. For
information submitted by or compiled on telemarketers, sellers, or their agents, records may be indexed and
retrieved by any
category of data that is submitted by or compiled on such telemarketers, sellers, or agents.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is generally restricted to those agency personnel,
contractors and other law enforcement users subject to
confidentiality agreements whose responsibilities require access, or to approved telemarketers, sellers,
and
their agents.
Electronic access is subject to login ID, password, and other electronic access and security controls (<i>
e.g.</i>, firewalls).
Contractors are required to sign confidentiality and nondisclosure agreements.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>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, in accordance with
applicable
schedules and
procedures issued or approved by the National Archives and Records Administration. (The retention and
destruction of payment
data collected from telemarketers, sellers, and their agents by Treasury's FMS is described in the system
notice for the
<i>www.pay.gov</i> system, Treasury/FMS.017.)
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>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.
</p><p><i>See</i> Treasury/FMS.017 for the system manager and address of the <i>www.pay.gov</i> system.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent>
<p>To obtain notification of whether the system contains a record pertaining to that individual (<i>
i.e.</i>,
the
individual's telephone number), individuals 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. To the extent, if any, that the Privacy Act
applies
to information
submitted by or compiled on telemarketers, sellers, or their agents, the system provides notice (<i>
i.e.</i>,
confirms) that the
system is maintaining such information when an individual accesses the system using the account number that
was previously
assigned to the telemarketer, seller, or agent at the time that entity originally entered information into
the system to
establish the relevant account.
</p></xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent>
<p>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 described in the notification procedures above, you
must
submit your request
in writing. <i>See</i> Appendix II for details. The same access procedure applies to the extent, if any,
that
the Privacy Act
applies to information submitted by or compiled on telemarketers, sellers, or their agents, where that
information is not made
available for review or amendments when the telemarketer, seller, or agent accesses the system.
</p></xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>
<p>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, if the
individual is using
the designated Web site, or the individual provides other identifying information, if requested by the
automated system. To
contest the accuracy of any other information that is not accessible to the individual through the
automated
dial-in system or
Web site as described in the "Notification procedures" section above, the request must be submitted to the
FTC in
writing. <i>See</i> Appendix II for details. The same written request requirement applies to telemarketers,
sellers, or their
agents (to the extent, if any, that they are "individuals" within the meaning of the Privacy Act) when
seeking to
contest the accuracy of system information maintained on them, except for system information, if any, that
can be contested or
corrected through the automated system.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>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 organizations
separately maintain.
Record sources for this system may also include telemarketers, sellers, and agents, but only to the extent,
if any, that they
are "individuals" within the meaning of the Privacy Act.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>


<section id="FTC V" toc="yes">
<systemNumber>V</systemNumber>

<subsection type="systemName">FTC Access Requests</subsection></section>


<section id="FTC-V-1" toc="yes">
<systemNumber>V-1</systemNumber>
<subsection type="systemName">Freedom of Information Act Requests and Appeals--FTC
</subsection><subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals filing requests for access to information under the Freedom of Information Act (FOIA);
individuals named in
the FOIA request; FTC staff assigned to help process, consider, and respond to such requests, including any
appeals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Communications (<i>e.g.</i>, letters, e-mails) to
and
from the requesting party; agency documents generated or collected
during processing and consideration of the request, including scanned copies of materials responsive to the
FOIA request.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>; Freedom of Information Act, 5 U.S.C. 552.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To consider requests and appeals for access to records under the Freedom of Information Act; to
determine
the status of
requested records; to respond to the requests and appeals; to make copies of FOIA requests and frequently
requested records
available publicly, under the FTC's Rules of Practice and FOIA; to maintain records, documenting the
consideration and
disposition of the requests for reporting, analysis, and recordkeeping purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) Request and appeal letters, and agency letters
responding thereto, are placed on the FTC's public record and
available to the public for routine inspection and copying. <i>See</i> FTC-I-6 (Public Records--FTC).
</p>
<p>(2) As required by the FOIA, records that have been "frequently requested" and disclosed under the FOIA
within
the meaning of that Act, as determined by the FTC, are made available to the public for routine inspection
and copying. <i>See
</i> FTC-I-6 (Public Records--FTC).
</p>
<p><i>See also</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I. For public portions of this system, <i>see</i> the system notice for FTC-I-6.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Records are maintained electronically using a commercial software application run on the agency's
internal
servers. Temporary paper files are destroyed once the request is complete. System records compiled or
generated prior to fiscal
year 2004 are maintained in paper format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name of requesting party and subject matter
of
request. Records can also be searched by name, address, phone
number, fax number, and e-mail of the requesting party, subject matter of the request, requestor
organization, FOIA number, and
staff member assigned to the request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Requests, appeals, and responses available to the public, as
described above. Access to nonpublic system records is
restricted to FTC personnel or contractors whose responsibilities require access. Nonpublic paper records
are
temporary,
maintained in lockable file cabinets or offices, and destroyed once the request is complete. Access to
electronic records is
controlled by "user ID" and password combination and other electronic access or network controls (<i>
e.g.</i>,
firewalls). FTC buildings are guarded and monitored by security personnel, cameras, ID checks, and other
physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of in accordance with General Records Schedule 14.11-14.15, issued by
the National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>FOIA/PA Supervisor, Office of General Counsel, Federal
Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC
20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained and agency staff assigned to help process, review, or
respond to the
access request, including any appeal.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records contained in this system that have been
placed
on the FTC public record are available upon request, as discussed
above. However, pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect records that are
contained in other
systems of records that are designated as exempt, are exempt from the requirements of subsections (c)(3),
(d), (e)(1), (e)(4)
(G), (H), (I), and (f) of 5 U.S.C. 552a. <i>See</i> &#167; 4.13(m) of the FTC Rules of Practice, 16 CFR
4.13(m).
</p></xhtmlContent></subsection>
</section>

<section id="FTC-V-2" toc="yes">
<systemNumber>V-2</systemNumber>
<subsection type="systemName">Privacy Act Requests and Appeals--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals filing requests for access to, correction of, or an accounting of disclosures of personal
information
contained in system of records maintained by the Commission, pursuant to the Privacy Act; FTC staff
assigned
to help process,
consider, and respond to such requests, including any appeals.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Requests and other communications and documents
generated or compiled by the FTC to process, review, and respond to the
Privacy Act request, including any appeals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>; Privacy Act, 5 U.S.C. 552a.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To process and review requests and appeals for access to, correction of, or an accounting of disclosure
of
records under
the Privacy Act; to determine the status of requested records or the request for correction or disclosure;
to
respond to such
requests and appeals; and to maintain records documenting the consideration and disposition of these
requests
for reporting,
analysis, and recordkeeping purposes.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p><i>See</i> Appendix I for ways that the Privacy
Act
permits the FTC to disclose system records outside the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>System records are stored and maintained electronically using a commercial software run on the agency's
internal
network servers. Temporary paper files are destroyed once the request is complete. System records compiled
or
generated prior to
fiscal year 2004 are maintained in paper format.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name of requesting party. Records can also be
searched by address, phone number, fax number, and email of the
requesting party, subject matter of the request, requestor organization, FOIA number, and staff member
assigned to request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access to nonpublic system records is restricted to FTC
personnel or contractors whose responsibilities require access.
Nonpublic paper records are temporary, maintained in lockable file cabinets or offices, and destroyed once
the request is
complete. Access to electronic records is controlled by "user ID" and password combination and other
electronic
access or network controls (<i>e.g.</i>, firewalls). FTC buildings are guarded and monitored by security
personnel, cameras, ID
checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of in accordance with General Records Schedule 14.11-14.15, issued by
the National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>FOIA/PA Supervisor, Office of the General Counsel,
Federal
Trade Commission, 600 Pennsylvania Avenue, NW., Washington,
DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom record is maintained and agency staff agency staff assigned to help process,
review
or respond to
the request, including any appeal.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Pursuant to 5 U.S.C. 552a(k)(2), records in this
system, which reflect records that are contained in other systems of
records that are designated as exempt, are exempt from the requirements of subsections (c)(3), (d), (e)(1),
(e)(4)(G), (H), (I),
and (f) of 5 U.S.C. 552a. <i>See</i> &#167; 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).</p>
</xhtmlContent></subsection>


</section>

<section id="FTC-V-3" toc="yes">
<systemNumber>V-3</systemNumber>
<subsection type="systemName">FTC-V-3 [Deleted]</subsection>
</section>

<section id="FTC VI" toc="yes">
<systemNumber>VI</systemNumber>

<subsection type="systemName">FTC Mailing List Systems of Records</subsection></section>



<section id="FTC-VI-1" toc="yes">
<systemNumber>VI-1</systemNumber>
<subsection type="systemName">Mailing and Contact Lists--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who have indicated an interest in receiving FTC materials or who are participants or
contacts
in matters
under consideration at the FTC; other individuals who may be regular resources, contacts, or leads for
various FTC subject
matter areas or programs.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>System records contain some or all of the
following:
name; title; company or organization; mailing address; e-mail
address; telephone number; date. This system includes bulk order mailing lists, sign-in sheets or rosters
compiled at meetings
and workshops held at or by the FTC, contact lists developed from publicly available information or
information provided by the
relevant individual (<i>e.g.</i>, business cards), or other similar, miscellaneous contact and address
lists.
</p>
<p>This system excludes mailing or contact lists or similar records collected or maintained under other FTC
systems of records.
For example, addresses or other contact information for individuals who make requests through the FTC's
Consumer Response
Center to be mailed FTC materials are covered by FTC IV-1 (Consumer Information System--FTC). Mailing lists
prepared for
serving official documents in Commission proceedings or for other law enforcement purposes (<i>e.g.</i>,
administering consumer
redress) are covered by FTC I-1 (Nonpublic Investigatory and Other Nonpublic Legal Program Records--FTC).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To assist the Commission in the distribution of documents and information to individuals who request
such
materials; to
maintain lists of media, Congressional, business, or other contacts for future reference.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be compiled by or
disclosed to FTC contractors in fulfilling requests for FTC materials or
sending other FTC communications to individuals covered by this system.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act permits the FTC to disclose system records
outside the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Paper or electronic format. Electronic records may be stored using commercial software applications.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name. When records are stored
electronically, records may also be searched and retrieved
by other data, such as by phone number, address, ZIP or area code, etc.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to FTC personnel or contractors whose
responsibilities require access. Paper records are maintained
in lockable offices or file cabinets. Access to electronic records is controlled by "user ID" and password
combination and/or other electronic access or network controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and monitored
by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained until the individual requests deletion from the agency's list, or when distribution
of
records from the associated matter is not anticipated, or as otherwise prescribed under record schedules
and
procedures issued
or approved by the National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Associate Director, Division of Consumer and Business
Education, Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC, 20580.
</p><p>Director, Office of Public Affairs, Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC, 20580.
</p><p>For all other FTC offices: Director, Records and Filings Office, Federal Trade Commission, 600
Pennsylvania Avenue, NW.,
Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individuals requesting FTC information, commercial directories or other public sources, attendees at FTC
meetings or
other events, and staff members involved in Commission proceedings.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection></section>


<section id="FTC VII" toc="yes">
<systemNumber>VII</systemNumber>

<subsection type="systemName">FTC Miscellaneous Systems of Records</subsection></section>

<section id="FTC-VII-1" toc="yes">
<systemNumber>VII-1</systemNumber><subsection type="systemName">Automated Library Management System--
FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC personnel who request that copies of FTC Library periodicals or other publications in the Library's
collection
be routinely circulated (routed) to them within the FTC; authors of books, periodicals, or other
publications
indexed in the
Library's collection.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name and office location of the FTC individual
making
a routing request, employee identification number, and the name
and number of the periodical; names of authors or other individuals indexed or associated with books or
other
publications
maintained in the FTC Library's collection or requested through inter-library loans.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To manage the FTC Library's acquisition and collection of books, periodicals and other publications; to
fulfill
requests for the routing of serials among FTC employees; to electronically index or search for holdings in
the FTC Library
's collection.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p><i>See</i> Appendix I for ways that the Privacy
Act
permits the FTC to use or disclose system records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. V Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p>
<p>Electronic database using a commercially available software application.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by periodical number, employee identification
number, author, or other information in the system.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access restricted to staff or contractor personnel whose
responsibilities require access. Access to electronic records
is controlled by "user ID" and password combination and/or other appropriate electronic access or network
controls (
<i>e.g.</i>, firewalls). (This limitation does not apply to searchable online catalog made available in the
FTC Library.) FTC
buildings are guarded and monitored by security personnel, cameras, ID checks, and other physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and disposed of in accordance with applicable schedules and procedures issued or
approved by the
National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Head Librarian, Library, Federal Trade Commission, 600
Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained; author or other publication data associated with the
book,
periodical or
other publication; system users.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-2" toc="yes">
<systemNumber>VII-2</systemNumber>
<subsection type="systemName">Employee Locator (STAFFID) System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC employees, contractors, volunteers or others (<i>e.g.</i>, students) working for or at the FTC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Name, employee identification number, building code, office room number, office telephone, mail drop
code,
electronic
mail user identification, default printer designation, other identification codes or data.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To maintain records that will assist in locating and communicating with FTC employees, contractors,
etc.;
to identify
mail locator listings used by mail room personnel; and to identify, in other Commission automated
information
systems,
Commission staff names and locations; to help document the check-in/check-out process for employees or
others
entering or
leaving FTC service. This system is a core data source for other FTC automated systems to draw basic
identifying information
about FTC employees and others working for or at the Commission.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>(1) To produce the FTC Directory which is used by
all agency personnel and made available to the public; and
</p><p>(2) To provide employee locator information to the public.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>FTC Directory printed and distributed to staff and the public, and posted on the agency's Web site.
System
is
maintained electronically in a structured database on agency network servers.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name, employee identification
number, and database can also be searched by other data
fields or codes.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Certain information is available to the public through
locator
information and posting of the FTC Directory online.
Access to other information is restricted to agency personnel or contractors whose responsibilities require
access. Access to
nonpublic electronic records is controlled by "user ID" and password combination and/or other appropriate
electronic
access or network controls (<i>e.g.</i>, firewalls). FTC buildings are guarded and monitored by security
personnel, cameras, ID
checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and destroyed in accordance with applicable schedules and procedures issued or
approved by the
National Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Assistant Chief Information Officer, Infrastructure
Operations, Office of Information Technology &amp; Management,
Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained; administrative officers or other staff who manage the
staff check-
in/check-out process; personnel records.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-3" toc="yes">
<systemNumber>VII-3</systemNumber>
<subsection type="systemName">Computer Systems User Identification and Access Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Commission employees and others (<i>e.g.</i>, contractors) with access to FTC computer systems,
including
various system
platforms, applications, and databases (<i>e.g.</i>, Outlook, Business Objects, Oracle, Redress, STAFFID,
CIS, etc.), operated
by the FTC or by a contractor for the FTC.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>This Privacy Act system consists of the login and other user identification and access records that FTC
computer systems
routinely compile and maintain about users of those systems. These records include user data such as: user
name; e-mail address;
employee or other user identification number; organization code; systems or services to which the
individual
has access; systems
and services used; amount of time spent using each system; number of usage sessions; and user profile.
These
system records
include log-in, passphrase, and other system usage files and directories when they contain data on specific
users. Many FTC
computer systems collect and maintain additional information, other than system use data, about individuals
inside and outside
the FTC. See a complete list of FTC Privacy Act systems on the FTC's Web site, (<i>
http://www.ftc.gov/foia/listofpaysystems.shtm</i>), to learn about other categories of information
collected
and maintained
about individuals in the FTC's computer systems.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>; Federal Information Security Management Act
of
2002, Pub. L.
107-347, Title III.
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To monitor usage of computer systems; to support server and desktop hardware and software; to ensure the
availability
and reliability of the agency computer facilities; to help document and/or control access to various
computer
systems; to audit,
log, and alert responsible FTC personnel when certain personally identifying information is accessed in
specified systems; to
prepare budget requests for automated services; to identify the need for and to conduct training programs,
which can include the
topics of information security, acceptable computer practices, and FTC information security policies and
procedures; to monitor
security on computer systems; to add and delete users; to investigate and make referrals for disciplinary
or
other action if
improper or unauthorized use is suspected or detected.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed to
contractors in connection with developing, maintaining, operating or
servicing FTC computerized systems.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act allows the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic and paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by individual's name; employee identification
number; and organization code, or other searchable data
fields or codes.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel and contractors
whose
responsibilities require access. Paper records, if any,
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
passphrase combination and/or other appropriate electronic access or network controls (<i>e.g.</i>,
firewalls). FTC buildings
are guarded and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p><i>See</i> National Archives and Records Administration General Records Schedule 20.1 (Files/Records
Relating to the
Creation, Use, and Maintenance of Computer Systems, Applications, or Electronic Records) and 24.6 (User
Identification,
Profiles, Authorizations and Password Files). Records are deleted when no longer needed for administrative,
legal, audit, or
other operational purposes.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Assistant Chief Information Officer, Infrastructure Operations, Office of Information and Technology
Management, Federal
Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p><p>Assistant Chief Information Officer, Operations Assurance, Office of Information and Technology
Management, Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom record is maintained; internal and external information systems that record usage.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-4" toc="yes">
<systemNumber>VII-4</systemNumber>
<subsection type="systemName">Call Detail Records--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC personnel, consultants, and contractors assigned office telephones, cell phones, telephone calling
cards, pagers or
other telecommunications resources.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name, office telephone number, cell phone number,
telephone calling card number, pager number, originating telephone
number, telephone numbers called, length of telephone calls, cost of telephone calls.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To manage agency telecommunications resources; to monitor appropriate use of such resources; to detect
and
deter
possible improper or unauthorized use of such resources; in cases where such use is detected, to determine
whether disciplinary
or other action, assessment, charge, or referral is warranted; to determine appropriate types and levels of
service that should
be available to agency staff; and to review and authorize payment of telecommunications invoices.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed:
</p><p>(1) To a telecommunications company and/or the General Services Administration when providing the
FTC
with telecommunications
support in order to verify billing or perform other servicing to the account; and
</p><p>(2) To respond to a Federal agency's request made in connection with the hiring or retention of an
employee, the
letting of a contract or issuance of a grant, license or other benefit by the requesting agency, but only
to
the extent that the
information disclosed is relevant and necessary to the requesting agency's decision on the matter.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act permits the FTC to disclose system records
outside the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Maintained in paper and/or other digital or non-digital formats.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by office telephone number, cell phone number,
pager number, or telephone calling card number, or individual's
name.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency and contractor personnel
whose
official responsibilities require access. Paper records
are maintained in lockable cabinets or offices. Access to electronic records is protected by "user ID" and
password
combination and/or other electronic access and network controls (<i>e.g.</i>, firewalls). FTC buildings are
guarded and
monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p><i>See</i> National Archives and Records Administration General Records Schedule 12. Under that
schedule,
records are
destroyed when they are three years old, and may be destroyed earlier once information needed to identify
abuse has been
captured in other records.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Assistant Chief Information Officer, Customer Services, Office of Information and Technology Management,
Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p><p>Assistant Chief Information Officer, Infrastructure Operations, Office of Information and Technology
Management, Federal
Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Telephone assignment records; computer software that captures telephone call information and permits
query
and reports
generation; logs, reports, or other service records that the FTC may receive from telecommunications
service
providers.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-5" toc="yes">
<systemNumber>VII-5</systemNumber>
<subsection type="systemName">Property Management System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Past and present Commission employees or others assigned responsibility for Commission physical
resources.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name of individual; employee or other
identification
number; property item assigned to individual; equipment maintenance
information. This system also includes miscellaneous property management records pertaining to individuals
assigned specific
items of agency property, such as property passes or acknowledgment forms completed and signed by
individuals.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>; Federal Property and Administrative Services Act of 1949;
Pub. L. 84-863 (1956).
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To maintain and control physical resources, including to document the assignment to and acknowledgment
of
individual
responsibility for such resources; to conduct routine and periodic maintenance on equipment; to maintain,
confirm, and audit an
inventory of physical resources.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed to
contractors in connection with surveying, maintaining, or otherwise servicing
or tracking agency physical resources.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act permits the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Electronic and paper records.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee name, employee identification
number,
and assigned organization.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Paper records are
maintained in lockable rooms or file cabinets. Access to electronic records is controlled by "user ID" and
password
combination and/or other appropriate electronic access and network controls (<i>e.g.</i>, firewalls). FTC
buildings are guarded
and monitored by security personnel, cameras, ID checks, and other physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p><i>See</i> General Records Schedule 18.12 (Property Pass Files), 18.15 (Personal Property Accountability
Files), 18.16
(Key Accountability Files), and other schedules or procedures that may be issued or approved by the
National
Archives and
Records Administration. Retention periods can vary from 3 months to 3 years, depending on the record. At
the
FTC, records are
generally retained for the life of the physical resource.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Administrative Services Office, Office of the Executive Director, Federal Trade Commission,
600
Pennsylvania
Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual responsible for the equipment and staff responsible for maintaining the equipment.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-6" toc="yes">
<systemNumber>VII-6</systemNumber>
<subsection type="systemName">Document Management And Retrieval System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Individuals who have written documents contained in Commission files, and other individuals whose names
or
other
personally identifying data are used to search and retrieve documents from the system.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Name of author and documents written by that
individual; names or other data about other individuals by which documents
in the system are searched and retrieved; finding aids or document indexes. Records in this system may
duplicate records
included in other FTC systems of records. <i>See</i>, <i>e.g.</i>, FTC-I-1 (Nonpublic Investigational and
Other Nonpublic Legal
Program Records--FTC), FTC-I-6 (Public Records--FTC).
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent>
<p>Federal Trade Commission Act, 15 U.S.C. 41 <i>et seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To provide staff with the ability to search for and access copies of agency documents needed for legal
and
economic
research activities of the Commission (<i>e.g.</i>, internal memoranda, economic reports, other agency work
product); to provide
FTC staff processing Freedom of Information Act or other disclosure requests with the ability to search for
and access copies of
potentially responsive documents outlining the actions and considerations of the Commission, individual
Commissioners, and the
staff; to provide the ability, once the automated system is fully implemented, to electronically manage the
writing, editing,
storage, retrieval and disposal of such documents (<i>e.g.</i>, memoranda, correspondence), and to provide
for additional
document management functions, if any.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system may be disclosed to contractors in connection with document processing, storage,
disposal and
similar records management and retrieval activities.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act allows the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Older records are stored on microfiche or other formats. The system also comprises one or more
structured
databases
using commercial software applications to search, retrieve, and manage records stored electronically.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by author of the document, or other data fields
or
codes.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel and contractors
whose
responsibilities require access. Paper or other non-
digital records are stored in lockable file cabinets or offices. Access to electronic records is controlled
by "user ID
" and password combination, and/or other appropriate electronic access or network controls (<i>e.g.</i>,
firewalls). FTC
buildings are guarded and monitored by security personnel, cameras, ID checks, and other physical security
measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are retained and destroyed in accordance with schedules and procedures issued or approved by the
National
Archives and Records Administration.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Director, Records and Filings Office, Federal Trade
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>FTC employees and others who submit documents to the Commission.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>Records contained in this system that have been
placed
on the FTC public record are available upon request or, where
applicable, made available online. <i>See</i> FTC-I-6 (Public Records--FTC). However, pursuant to 5 U.S.C.
552a(k)(2),
records in this system, which reflect records that are contained in other systems of records that are
designated as exempt, are
exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C.
552a. <i>See</i>
&#167; 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-7" toc="yes">
<systemNumber>VII-7</systemNumber><subsection type="systemName">Information Technology Service Ticket
System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. System data are currently maintained off-
site by an FTC contractor. <i>See</i> Appendix III.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>FTC employees, contractors or other authorized individuals who have requested service related to the
automated
information technology equipment and systems available to the FTC staff (<i>e.g.</i>, computers, laptops,
etc.).
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent>
<p>Records include name of requesting individual, organization code, telephone number, date of reported
problem, nature of
problem, and action taken to resolve problem.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To record the receipt of requests for information technology (IT) service by the FTC's enterprise
service
desk (<i>i.e.
</i>, help desk) and the actions taken to resolve those requests; to provide agency management with
information identifying
trends in questions and problems for use in managing the Commission's hardware and software resources. The
FTC's
help desk, currently operated by a contractor, generates and maintains these records ("service tickets") in
the
course of fulfilling requests or orders to create or close e-mail and other network accounts when an
individual begins or ends
employment at the FTC, to answer questions or provide assistance when FTC staff have problems with computer
or network access or
other FTC IT equipment or software issues, etc.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent>
<p>Records in this system may be compiled and used by the FTC's contractors to track and fulfill IT service
requests.
</p><p><i>See</i> Appendix I for ways that the Privacy Act allows the FTC to use or disclose system records
outside the agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized by 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i> Appendix
I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Data are entered and stored in the system electronically by the FTC's help desk contractor using
proprietary
software in a structured database.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by employee name and tracking number assigned to
each service request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel and contractors
whose
responsibilities require access. Electronic access to FTC
records in the contractor's database is provided via the Internet, using unique IDs and password
combinations, and can be
accessed only from Internet Protocol (IP) addresses belonging to the FTC. When not in use, access
automatically "times out
" (cuts off) after 30 minutes. The contractor's servers have firewalls and intrusion detection, and are
maintained
in locked rooms secured with electronic card access.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p><i>See</i> National Archives and Records
Administration General Records Schedule 24.10 (IT Customer Service Files).
Under that schedule, records may be deleted when 1 year old or when no longer needed for review or
analysis,
whichever is later.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Assistant Chief Information Officer for Customer Services, Office of Information and Technology
Management, Federal
Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained and staff who responded to the request for service.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>
<section id="FTC-VII-8" toc="yes">
<systemNumber>VII-8</systemNumber>
<subsection type="systemName">Administrative Service Call System--FTC</subsection>
<subsection type="securityClassification"><xhtmlContent><p>Not applicable.
</p></xhtmlContent></subsection>
<subsection type="systemLocation"><xhtmlContent><p>Federal Trade Commission, 600 Pennsylvania Avenue, NW.,
Washington, DC 20580. <i>See</i> Appendix III for other
locations where records may be maintained or accessed.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent>
<p>Current and former FTC employees, contractors, or other authorized individuals who request or previously
requested
service related to FTC building maintenance and administrative support services.
</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records include name of requesting individual,
organization code, telephone number, date of reported problem, nature of
problem, and action taken to resolve problem.
</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>Federal Trade Commission Act, 15 U.S.C. 41 <i>
et
seq.</i>
</p></xhtmlContent></subsection>
<subsection type="purpose"><xhtmlContent>
<p>To record the receipt of requests for service and the actions taken to resolve those requests; to
provide
agency
management with information identifying trends in questions and problems for use in managing the
Commission's
office
space, furniture, or other physical resources and property.
</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Records in this system may be disclosed to FTC
contractors as needed for purposes of fulfilling service requests.
</p><p><i>See</i> Appendix I for other ways that the Privacy Act allows the FTC to use or disclose system
records outside the
agency.
</p>
<p>Disclosure to consumer reporting agencies:
</p><p>None, except as authorized under 5 U.S.C. 552a(b)(12) when trying to collect a claim of the
Government. <i>See</i>
Appendix I.
</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent>
<p>Storage:</p>
<p>Service call records are maintained in an electronic database using a commercial software application.
Work orders are
generated from these records and printed out.
</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Indexed by name of requesting individual and tracking
number assigned to each service request.
</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>Access is restricted to agency personnel or contractors
whose
responsibilities require access. Access to electronic
records is controlled by "user ID" and password combination and/or other appropriate electronic access and
network
controls (<i>e.g.</i>, firewalls). FTC buildings are guarded and monitored by security personnel, cameras,
ID
checks, and other
physical security measures.
</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent>
<p>Records are to be retained for at least three months after work is performed or the request is
cancelled.
<i>See</i>
National Archives and Records Administration General Records Schedule 11.5 (Building and Equipment Service
Files). The FTC
currently maintains records in this system for at least 12 months, because questions pertaining to prior
requests can arise
several months after the work has been completed.
</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent>
<p>Director, Administrative Services Office, Office of the Executive Director, Federal Trade Commission,
600
Pennsylvania
Avenue, NW., Washington, DC 20580.
</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Appendix II.
</p></xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent>
<p>Individual about whom the record is maintained and staff who responded to the request for service.
</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None</p></xhtmlContent></subsection>
</section>

<appendix id="appa" toc="yes" letter="I">
<title>Authorized Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems of Records</title>
<xhtmlContent>
<p>The Privacy Act allows the FTC to disclose its Privacy Act records in the following ways:
</p><p>(1) Within the FTC, to FTC officers and employees who need the record to perform their duties;
</p><p>(2) In response to a request for public disclosure under the Freedom of Information Act (FOIA);
</p><p>(3) For any "routine use" compatible with the purpose for which the record was collected, as set
forth
in each
system of records notice and in paragraphs (13)-(23) of this Appendix below;
</p><p>(4) To the Bureau of the Census for purposes of planning or carrying out a census or survey or
related
activity under title
13 of the United States Code;
</p><p>(5) To a recipient who has provided the agency with advance adequate written assurance that the
record
will be used solely as
a statistical research or reporting record, and the record is to be transferred in a form that is not
individually identifiable;
</p><p>(6) To the National Archives and Records Administration as a record having sufficient historical or
other value to warrant
its continued preservation by the United States Government, or for evaluation by the Archivist of the
United
States or the
designee of the Archivist to determine whether the record has such value;
</p><p>(7) To another agency or to an instrumentality of any governmental jurisdiction within or under the
control of the United
States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the
head
of the agency or
instrumentality has made a written request to the agency which maintains the record specifying the
particular
portion desired
and the law enforcement activity for which the record is sought;
</p><p>(8) To a person pursuant to a showing of compelling circumstances affecting the health or safety of
an
individual if upon
such disclosure notification is transmitted to the last known address of such individual;
</p><p>(9) To either House of Congress, or, to the extent of a matter within its jurisdiction, any
committee
or subcommittee
thereof, any joint committee of Congress or subcommittee of any such joint committee;
</p><p>(10) To the Comptroller General, or any of his authorized representatives, in the course of the
performance of the duties of
the General Accounting Office;
</p><p>(11) Under an order of a court of competent jurisdiction; and
</p><p>(12) To a consumer reporting agency, when trying to collect a claim of the Government, in accordance
with 31 U.S.C. 3711(e).
</p><p>In addition, in accordance with paragraph (3) above, the "routine uses" set forth in paragraphs (13)
through (23)
below shall apply to all records in all FTC Privacy Act systems of records. Specifically, such records:
</p><p>(13) Where appropriately incorporated into the records maintained in FTC-II-6 (Discrimination
Complaint System--FTC),
may be disclosed under the routine uses published for that system;
</p><p>(14) 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;
</p><p>(15) 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 or information by itself or in connection with other records or information:
</p><p>(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
</p><p>(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;
</p><p>(16) 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;
</p><p>(17) 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:
</p><p>(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
</p><p>(b) To obtain advice, including advice concerning the accessibility of a record or information under
the Privacy Act or the
Freedom of Information Act;
</p><p>(18) May be disclosed to a congressional office in response to an inquiry from that office made at
the
written request of the
subject individual, but only to the extent that the record would be legally accessible to that individual;
</p><p>(19) 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;
</p><p>(20) 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;
</p><p>(21) 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;
</p><p>(22) May be disclosed to appropriate agencies, entities, and persons when: (a) the FTC suspects or
has
confirmed that the
security or confidentiality of information in the system of records has been compromised; (b) 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 (c) 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; and
</p><p>(23) May be disclosed to FTC contractors, volunteers, interns or other authorized individuals who
have
a need for the record
in order to perform their officially assigned or designated duties for or on behalf of the FTC.
</p><p>The routine uses contained in this Appendix are in addition to any routine uses contained in the
system of records notice
(SORN) for each FTC Privacy Act records system. Some of the authorized disclosures and routine uses may
overlap with one
another. The FTC will treat a routine use as valid and still in effect, even if an overlapping routine use
or
disclosure is
partly or fully invalidated or repealed</p></xhtmlContent></appendix>

<appendix id="appa" toc="yes" letter="II">
<title>How To Make A Privacy Act Request</title><xhtmlContent>

<p>An individual may: request notification as to whether an FTC system of records contains records
retrieved using his or
her personal identifier; request access to records in a system of records; and contest the accuracy or
completeness of records.
</p><p>Each of those actions may be initiated by the individual by mailing or delivering a written request
that includes the
individual's name, return address, and signature, addressed to:

</p><p>Privacy Act Request
</p><p>Office of the General Counsel
</p><p>Federal Trade Commission
</p><p>600 Pennsylvania Avenue, NW.
</p><p>Washington, DC 20580

</p><p><b>Note:</b> Individuals are not required to follow these procedures for FTC systems that are
designed to
allow individuals to
review, access or correct their system records online or through other means (<i>e.g.</i>, National Do Not
Call Registry
system).
</p>
<p><i>Contents of the written request.</i> Where a written request is required, the request must specify
the
pertinent FTC
system(s) of records, and include any additional information needed to locate the records. The individual's
signature will
be deemed a certification that he or she is the individual to whom the record pertains. The FTC may require
additional
verification of identity when reasonably necessary to assure that records are not improperly disclosed. The
FTC will not require
additional verification if the records about the individual are available to the public under the Freedom
of
Information Act
(FOIA). More detailed information about how to make a Privacy Act request is contained in the section 4.13
of
the FTC's
Rules of Practice, 16 CFR 4.13, which may be viewed online at <i>http://ecfr.gpoaccess.gov/.</i>
</p>
<p><i>Exempt systems</i>. Some record systems are exempt from disclosure to the individual and from other
requirements of the
Privacy Act. <i>See</i> the system of records notice applicable to the records you are requesting if you
want
to know if that
system is exempt. The FTC is not required to provide an individual access to any information compiled in
reasonable anticipation
of a civil action or proceeding. 5 U.S.C. 552a(d)(5).
</p>
<p><i>Requests to correct or amend.</i> A request to correct or amend your Privacy Act records must state
the
specific nature
and reason for the request. The FTC does not delete or remove records in response to a request to correct
or
amend a Privacy Act
record, including any records that have been publicly posted on the Internet (<i>e.g.</i>, public
comments).
All FTC records,
including public record documents, are retained and destroyed only in accordance with schedules and
guidance
issued or approved
by the National Archives and Records Administration under the Federal Records Act and other applicable
laws.
If a Privacy Act
request results in the correction or amendment of a record that has been posted on the FTC's public record,
the FTC will
correct or amend the public record accordingly without deleting or removing it.
</p>
<p><i>Privacy Act records maintained by other Federal agencies</i>. For records collected and maintained by
other Federal
agencies, please contact those agencies directly or visit their Web sites to obtain access.
</p></xhtmlContent></appendix>
<appendix id="appa" toc="yes" letter="III">
<title>Agency for International Development, Address and Locations of Office Referenced in the Regulations
and Notices</title>
<xhtmlContent>
<p>In addition to the FTC's headquarters building at 600 Pennsylvania Avenue, NW., Washington, DC 20580,
the
FTC has a
satellite building at 601 New Jersey Avenue, NW., Washington, DC 20001, and also operates the following
Regional Offices where
Privacy Act records may in some cases be maintained or accessed:
</p><p>East Central Region
</p><p>Eaton Center, Suite 200
</p><p>1111 Superior Avenue
</p><p>Cleveland, OH 44114-2507

</p><p>Midwest Region
</p><p>55 West Monroe Street, Suite 1825
</p><p>Chicago, IL 60603-5001

</p><p>Northeast Region
</p><p>Alexander Hamilton U.S. Custom House
</p><p>One Bowling Green, Suite 318
</p><p>New York, NY 10004

</p><p>Northwest Region
</p><p>915 Second Avenue, Suite 2896
</p><p>Seattle, WA 98174

</p><p>Southeast Region
</p><p>225 Peachtree Street, NE., Suite 1500
</p><p>Atlanta, GA 30303

</p><p>Southwest Region
</p><p>1999 Bryan Street, Suite 2150
</p><p>Dallas, TX 75201

</p><p>Western Region--San Francisco
</p><p>901 Market Street, Suite 570
</p><p>San Francisco, CA 94103

</p><p>Western Region--Los Angeles
</p><p>10877 Wilshire Boulevard, Suite 700
</p><p>Los Angeles, CA 90024

</p><p>In addition, FTC records subject to the Privacy Act may sometimes be maintained at other facilities
leased by the FTC or
operated by FTC contractors, including by other Federal agencies, or by the National Archives &amp; Records
Administration on
the FTC's behalf.

</p></xhtmlContent></appendix>

<regulations id="reg" toc="yes">
<regulationsTitle number="16">
<heading>Commercial Practices</heading>
<regulationsChapter number="I">
<heading>Election Assistance Commission</heading>
<regulationsPart number="4">
<heading>MISCELLANEOUS RULES</heading>
<xhtmlContent>

<p>Sec.
</p>

<p><b>&#167;4.13
 Privacy Act rules.
</b></p>
<p><b>Authority:</b> 15 U.S.C. 46, unless otherwise noted.</p>


<p>(a) <i>Purpose and scope.</i> (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 &#167; 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.
</p>
<p>(2) The procedures of this section apply only to requests by an individual as defined in &#167; 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 <i>Federal Register</i> 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 <i>Federal Register</i> 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 &#167;&#167; 4.8 through 4.11.
</p>
<p>(b) <i>Definitions.</i> The following definitions apply to this section only:
</p>
<p>(1) <i>Individual</i> means a natural person who is a citizen of the United States or an alien lawfully
admitted for permanent residence.
</p>
<p>(2) <i>Record</i> 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.
</p>
<p>(3) <i>System of records</i> 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 <i>Federal Register</i> pursuant to 5 U.S.C. 552a(e)(4).
</p>
<p>(c) <i>Procedures for requests pertaining to individual records in a record system.</i> 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:

</p>
<p>Privacy Act Request, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue,
NW., Washington, DC 20580.
</p>
<p>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.
</p><p>(d) <i>Times, places, and requirements for identification of individuals making requests.</i>
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.
</p>
<p>(e) <i>Disclosure of requested information to individuals.</i> Within 10 working days of receipt of a
request under &#167; 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 &#167; 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
&#167; 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.
</p>
<p>(f) <i>Special procedures: Medical records.</i> 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.
</p>
<p>(g) <i>Request for correction or amendment of record.</i> 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 &#167; 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.
</p>
<p>(h) <i>Agency review of request for correction or amendment of record.</i> Whether presented in person
or by mail, requests under &#167; 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 &#167; 4.13(i).
</p>
<p>(i) <i>Appeal of initial adverse agency determination.</i> (1) If an initial request filed under &#167;
4.13(c) or &#167; 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:

</p>
<p>Privacy Act Appeal, Office of the General Counsel, Federal Trade Commission, 600 Pennsylvania Avenue,
NW., Washington, DC 20580.
</p>
<p>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.
</p><p>(2)(i) If the General Counsel refuses to amend or correct the record in accordance with a request
under &#167; 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.
</p><p>(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.
</p><p>(j) <i>Disclosure of record to person other than the individual to whom it pertains.</i> 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.
</p>
<p>(k) <i>Fees.</i> 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
&#167; 4.8(b)(6).
</p>
<p>(l) <i>Penalties.</i> 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.
</p>
<p>(m) <i>Specific exemptions.</i> (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):

</p>
<p>Office of Inspector General Investigative Files--FTC
</p>
<p>(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):
</p>
<p>Investigational, Legal, and Public Records--FTC
</p><p>Disciplinary Action Investigatory Files--FTC
</p><p>Clearance to Participate Applications and the Commission's Responses Thereto, and Related
Documents--FTC
</p><p>Management Information System--FTC
</p><p>Office of the Secretary Control and Reporting System--FTC
</p><p>Office of Inspector General Investigative Files--FTC
</p><p>Stenographic Reporting Service Requests--FTC
</p><p>Identity Theft Complaint Management System--FTC
</p><p>Freedom of Information Act Requests and Appeals--FTC
</p><p>Privacy Act Requests and Appeals--FTC
</p><p>Information Retrieval and Indexing System--FTC
</p>
<p>(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):
</p>
<p>Personnel Security File--FTC
</p><p>[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]
</p>
</xhtmlContent>
</regulationsPart>
</regulationsChapter>
</regulationsTitle>
</regulations>
</agency>
</pai>



















