[Federal Register Volume 73, Number 114 (Thursday, June 12, 2008)]
[Notices]
[Pages 33592-33634]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-13111]



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Part IV





Federal Trade Commission





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 Privacy Act of 1974; System of Records Notices; Notice

  Federal Register / Vol. 73, No. 114 / Thursday, June 12, 2008 / 
Notices  

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FEDERAL TRADE COMMISSION


Privacy Act of 1974; System of Records Notices

AGENCY: Federal Trade Commission (FTC).

ACTION: Notice of revised system notices with request for comments.

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SUMMARY: The FTC is revising the notices that it is required to publish 
under the Privacy Act of 1974 to describe its systems of records about 
individuals. This action is intended to make these notices clearer, 
more accurate, and up-to-date. This document also consolidates all of 
the notices into a single publication for ease of use and reference. 
This consolidation and revision is designed to promote better public 
understanding of how and when the FTC collects and uses information 
about individuals.

DATES: The deadline for any comments on this notice is July 14, 2008. 
Unless the FTC makes changes based on comments or otherwise, this 
notice shall become final and effective on July 28, 2008.

ADDRESSES: Interested parties are invited to submit written comments. 
Comments should refer to ``FTC Privacy Act Systems Notices, Project No. 
P072104'' to facilitate the organization of comments. A comment filed 
in paper form should include this reference both in the text and on the 
envelope, and should be mailed or delivered to the following address: 
Federal Trade Commission, Office of the Secretary, Room H-135 (Annex 
P), 600 Pennsylvania Avenue, NW., Washington, DC 20580. The FTC is 
requesting that any comment filed in paper form be sent by courier or 
overnight service, if possible, because U.S. postal mail in the 
Washington area and at the Commission is subject to delay due to 
heightened security precautions. Moreover, because paper mail in the 
Washington area and at the FTC is subject to delay, please consider 
submitting your comments in electronic form, as prescribed below. If, 
however, the comment contains any material for which confidential 
treatment is requested, it must be filed in paper form, and the first 
page must be clearly labeled ``Confidential.''\1\
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    \1\ See Commission Rule 4.2(d), 16 CFR 4.2(d). The comment must 
be accompanied by an explicit request for confidential treatment, 
including the factual and legal basis for the request, and must 
identify the specific portions of the comment to be withheld from 
the public record. The request will be granted or denied by the 
Commission's General Counsel, consistent with applicable law and the 
public interest. See Commission Rule 4.9(c), 16 CFR 4.9(c).
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    Comments filed in electronic form should be submitted by using the 
following weblink: https://secure.commentworks.com/ftc-recordssystemsnotices (and following the instructions on the web-based 
form). To ensure that the Commission considers an electronic comment, 
you must file it on the web-based form at the weblink https://secure.commentworks.com/ftc-recordssystemsnotices. If this notice 
appears at http://www.regulations.gov, you may also file an electronic 
comment through that website. The Commission will consider all comments 
that regulations.gov forwards to it. You may also visit the FTC website 
at http://www.ftc.gov/opa/index.shtml to read this document and the 
related FTC news release.
    The FTC Act and other laws the Commission administers permit the 
collection of public comments to consider and use in this proceeding as 
appropriate. The Commission will consider all timely and responsive 
public comments that it receives, whether filed in paper or electronic 
form. Comments received will be available to the public on the FTC 
website, to the extent practicable, at http://www.ftc.gov. As a matter 
of discretion, the FTC makes every effort to remove home contact 
information for individuals from the public comments it receives before 
placing those comments on the FTC website. More information, including 
routine uses permitted by the Privacy Act, may be found in the FTC's 
privacy policy, at (http://www.ftc.gov/ftc/privacy.htm).

FOR FURTHER INFORMATION CONTACT: Alex Tang, G. Richard Gold, or 
Lorielle L. Pankey, Attorneys, Office of the General Counsel, FTC, 600 
Pennsylvania Avenue, NW., Washington, DC 20580, (202) 326-2424.

SUPPLEMENTARY INFORMATION: Please read the following questions and 
answers to understand the reasons for this notice.

Who should read this notice?

    You should read this notice if you would like to know what 
information the Federal Trade Commission (FTC) collects and maintains 
about individuals.

Why is the FTC publishing this notice?

    The Privacy Act of 1974, 5 U.S.C. 552a, requires us to publish this 
notice.

What is the Privacy Act?

    The Privacy Act is a Federal law that protects information about 
individuals (i.e., personal information) in ``systems of records'' 
maintained by the United States Government. It provides the public with 
the right to know when a Government agency is maintaining any system of 
records about individuals, and it limits the agency's ability to use or 
disclose a record about an individual from such a system without that 
individual's consent.

Does the FTC maintain any systems of records about individuals?

    Yes. The FTC, like other Government agencies, maintains systems of 
records about its individual employees, such as payroll and other 
personnel records. The FTC also maintains systems of records about 
individuals outside the FTC. For example, the National Do Not Call 
Registry is the system of records we use to maintain the phone numbers 
of individuals who do not want to receive telemarketing calls. We also 
maintain a system of nonpublic investigatory or other nonpublic legal 
records, which include records about other non-FTC individuals. These 
and other FTC systems of records are discussed below.

What is a ``system of records''?

    A ``system of records'' can be any collection or grouping of paper, 
electronic, or other records (e.g., microfiche) controlled by a Federal 
agency about individuals. (It does not include agency records about 
businesses or about individuals who are not U.S. citizens or lawfully 
admitted aliens.) To be a ``system of records,'' the agency must pull 
(``retrieve'') records about an individual from the system by that 
individual's name or by some other identifier assigned to that 
individual, such as the individual's Social Security number or 
telephone number. The record must also be ``about'' that individual. If 
a record is only about someone or something else (e.g., about a 
business), it is not a record ``about'' that individual.

How do I know if the FTC has any records about me or other individuals 
in a system of records?

    To inform the public, this document contains a ``system of records 
notice'' (SORN) for each system of records about individuals that the 
FTC currently maintains within the meaning of the Privacy Act. Each 
SORN describes the records maintained in that particular system, 
including the categories of individuals that the records in the system 
are about (e.g., FTC employees). Each system notice also contains 
information about how to find out if that particular system contains 
any records about you.

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What other information is in the SORN?

    Each SORN also explains where the system is maintained, what laws 
or other authority permits the FTC to maintain the system, the purpose 
of the system, and how we safeguard records in the system. The SORN 
also includes other information about the system, including the 
``routine uses'' of records in that system. (A ``routine use'' means a 
disclosure of a record that is compatible with the purpose for which 
that record was collected.)

Why is the FTC publishing these SORNs now?

    The Privacy Act requires the FTC to publish a SORN before 
establishing a system of records under the Act. The FTC must update 
that SORN when the agency makes certain changes to the system. The FTC 
has published SORNs for individual systems of records, and updates of 
these SORNs as needed, but this is the first time since 1992 (57 FR 
45678) that the FTC has published a complete list of its SORNs in one 
document.

Can I view these SORNs online?

    Yes. We post our SORNs on the FTC's Web site, www.ftc.gov, in the 
Privacy Act section, and we will post this document, too. (It is also 
officially published in the FEDERAL REGISTER online, (http://www.gpoaccess.gov/fr/Index.html).)

Is the FTC deleting or adding SORNs?

    Yes. The FTC is deleting seven SORNs that covered records the FTC 
no longer maintains or records that are now merged with or otherwise 
covered by other existing SORNs.\2\ At the same time, the FTC is adding 
nine new SORNs to cover records that were covered in whole or part by 
other existing SORNs.\3\
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    \2\ See former FTC-I-6 (Office of the Secretary Control and 
Reporting System--FTC), now part of FTC-I-5 (Matter Management 
System--FTC); former FTC-II-4 (Counseling Records--FTC), now 
Employee Assistance Program records covered by a Health and Human 
Services SORN, as discussed below; former FTC-II-8 (Biographies of 
Commissioners and Key Staff Members--FTC), now part of FTC-I-6 
(Public Records--FTC); former FTC-III-2 (Payroll--Retirement 
Records--FTC), now part of FTC-III-1 (Personnel Payroll System--
FTC); former FTC-IV-2 (Identity Theft Complaint Management System--
FTC), now part of FTC-IV-1 (Consumer Information System--FTC); 
former FTC-V-3 (Public Information Requests System--FTC), now part 
of FTC-IV-1 (Consumer Information System--FTC); former FTC-VII-4 
(Standard Name System--FTC), no longer maintained.
    \3\ See new FTC-I-6 (Public Records--FTC), previously part of 
FTC-I-1 (formerly Investigational, Legal and Public Records--FTC, 
now Nonpublic Investigational Records and other Nonpublic Legal 
Program Records--FTC); new FTC-II-4 (Employment Application-Related 
Records--FTC), covered by an existing SORN published by the Office 
of Personnel Management (OPM), as discussed below; new FTC-II-8 
(Employee Adverse Action and Disciplinary Records--FTC), covered by 
an existing OPM SORN, as discussed below; new FTC-II-13 (Staff Time 
and Attendance Reporting (STAR) System--FTC), covering matter and 
time and attendance data also included in FTC-I-5 (Matter Management 
System--FTC) and FTC-III-1 (Personnel Payroll System--FTC); new FTC-
III-2 (Travel Management System--FTC), covered by an existing 
General Services Administration (GSA) SORN, as discussed below; new 
FTC-III-4 (Automated Acquisitions System--FTC), covering vendor data 
also included in part in FTC-III-3 (Financial Management System--
FTC); FTC-III-5 (Employee Transportation Program Records--FTC), 
covering copies of data transmitted to the Department of 
Transportation (DOT) under a DOT SORN, as discussed below; FTC-IV-2 
(Miscellaneous Office Correspondence Tracking System Records--FTC), 
previously covered by FTC-IV-1 (former Correspondence Control 
System--FTC, now Consumer Information System--FTC); new FTC-VI-4 
(Call Detail Records--FTC), covering records subject to a model 
Office of Management & Budget (OMB) SORN, as described below.
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Are there other SORN changes?

    Yes. We have revised our SORNs throughout so they more accurately 
describe the scope, type, or purpose of records we are currently 
maintaining in those systems. We have updated the descriptions of our 
storage, retention and information security practices. We also have 
made other technical or stylistic changes, such as revising some system 
names. We have also created a new Appendix III to update and 
consolidate the addresses of the FTC's regional offices and other 
facilities where records may be maintained or accessed. Where 
applicable, we have also explained when a system has been 
``outsourced'' (i.e., when the FTC is using a contractor to operate or 
maintain the system). A system-by-system summary of the revised SORNs 
is set forth at the end of this question-and-answer section.

Can I comment on these SORNs?

    Yes. Please see the ADDRESSES section of this document above to 
learn how to submit a comment, and see the DATES section for the 
deadline to do so. Before you submit a comment, please be aware that 
your comment will become a matter of public record and will be posted 
on our Web site, where it can be viewed and searched by anyone on the 
Internet.

Do other Federal agencies have SORNs?

    Yes. Each Federal agency must publish SORNs for its own systems of 
records. To find out what system of records another Federal agency 
maintains, and to obtain the SORNs for those systems, contact that 
agency directly, or visit its Web site. (Privacy Act information is 
often linked to an agency's Freedom of Information Act (FOIA) page.)

Does the Privacy Act of 1974 apply to records that private businesses 
maintain about individuals?

    No. The Privacy Act of 1974 applies only to records maintained by 
agencies of the United States Government. Records that businesses or 
other private entities maintain on their customers or other individuals 
are covered by other laws and regulations applicable to the private 
sector. The FTC enforces some of these laws and regulations as part of 
its mandate to protect consumers from unfair and deceptive acts and 
practices.

How can I learn more about the privacy laws and regulations that the 
FTC enforces?

    To learn more about how the FTC works to protect consumer privacy, 
please visit the FTC's Web site, www.ftc.gov. It contains a wealth of 
information about how to avoid identity theft, how to safeguard your 
information when using the Internet, and other helpful guidance and 
advice to help you protect your privacy.

System-by-System SORN Summary

    The following summary highlights changes that the FTC is making to 
each of its SORNs.

I. FTC Law Enforcement Systems of Records

    FTC-I-1 (Nonpublic Investigational and Other Nonpublic Legal 
Program Records--FTC). This SORN previously included public records 
about individuals. For clarity, the FTC has decided to treat public 
records as a separate system of records. Accordingly, we have revised 
FTC-I-1 to cover only nonpublic investigational and other nonpublic 
program records, and public records previously covered by this system 
are now treated as a separate system with its own SORN, designated as 
FTC-I-6 (Public Records--FTC), see below.
    FTC-I-2 (Disciplinary Action Investigatory Files--FTC). This SORN 
covers records compiled to determine whether the FTC should refer an 
individual practicing before the FTC to appropriate authorities for 
alleged ethical or other misconduct. No substantive changes have been 
made.
    FTC-I-3 (Informal Advisory Opinion Requests and Response Files--
FTC). This SORN covers the records of individuals who have requested 
informal advisory opinions from the FTC staff, and records of the 
responses to such requests. We have clarified and simplified the system 
name, and made other technical changes and clarifications.

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    FTC-I-4 (Clearance Applications and Response Files--FTC). This SORN 
covers records of individuals who have requested clearance to 
participate or appear on behalf of other parties in FTC matters, and 
records of the FTC's responses to such requests. We have simplified the 
system name, but made no substantive changes.
    FTC-I-5 (Matter Management System--FTC). This SORN covers the 
administrative database used by the FTC to track and report the history 
and status of FTC investigations and other agency matters, including 
names of employees or others assigned to or involved in such matters. 
We have updated the system name, and have revised the scope of the SORN 
to include the system of records known as the Office of the Secretary 
Control and Reporting System (OSCAR), which tracks matters circulated 
to the FTC's Commissioners for voting or informational purposes. OSCAR 
was previously treated as a separate Privacy Act system of records 
(FTC-I-6), but those records have now been made merged into this system 
(FTC-I-5).
    FTC-I-6 (Public Records--FTC). FTC-I-6 is now the designation for a 
new SORN covering the FTC's system of public records, which were 
previously part of FTC-I-1, see above. FTC-I-6 includes comments 
submitted by consumers and others in rulemakings, workshops, or other 
FTC proceedings. The FTC makes these public records routinely available 
for public inspection and copying, including by posting copies of such 
records on the Internet, as noted in section 4.9(b) of the FTC Rules of 
Practice, 16 CFR 4.9(b), and explained in the FTC's online privacy 
policy posted at www.ftc.gov. Some public comments are also collected 
for the FTC by the government-wide Federal Docket Management System 
(FDMS), through www.regulations.gov, which is maintained and operated 
on behalf of all Federal agencies by the Environmental Protection 
Agency (EPA). Public comments or other records collected through the 
FDMS are covered by the SORN that EPA has separately published for the 
FDMS. See EPA-GOVT-2 (FDMS), 70 FR 15086 (2005).
    FTC-I-7 (Office of Inspector General Investigative Files--FTC). 
This SORN covers investigatory records in the FTC's Office of Inspector 
General (OIG). The FTC published the last revision of this SORN in 2005 
(70 FR 43431). The FTC is adding a routine use, found in other 
agencies' SORNs, to keep complainants and victims apprised of the 
status of the OIG's investigation, which is compatible with the purpose 
for which the OIG's investigatory records are compiled. Otherwise, only 
minor editorial changes have been made.
    FTC-I-8 (Stenographic Reporting Services Request System--FTC). This 
SORN covers the database system that the FTC uses to log and fulfill 
requests by FTC attorneys for stenographic services in FTC 
investigations, litigation and other FTC matters. The SORN remains 
unchanged, aside from minor editorial and stylistic revisions.

II. FTC Personnel Systems of Records

    FTC II-1 (General Personnel Records--FTC). This SORN covers 
Official Personnel Folders (OPFs) and other personnel records that the 
FTC's Human Resources Management Office (HRMO) maintains about FTC 
employees. The Office of Personnel Management (OPM) has published a 
Government-wide SORN that covers this system of records, OPM/GOVT-1 
(General Personnel Records). See 71 FR 35341, 35342 (2006). We have 
revised FTC-II-1 to make it more consistent with OPM's SORN, and have 
made other minor revisions.
    FTC-II-2 (Unofficial Personnel Records--FTC). This SORN covers 
personnel records maintained outside of the FTC's HRMO by FTC managers 
about their employees. This system includes employee performance files 
maintained by managers. OPM has published a Government-wide SORN that 
covers those records, OPM/GOVT-2 (Employee Performance File System 
Records). See 71 FR 35341, 35347 (2006). We have revised FTC-II-2 to 
make it more consistent with OPM's SORN, and have made other minor 
revisions.
    FTC-II-3 (Workers' Compensation--FTC). This SORN covers FTC records 
of claims filed under the Federal Employees' Compensation Act (FECA) 
for injuries sustained on the job by FTC employees. The Department of 
Labor (DOL) processes and adjudicates these claims for all Federal 
employees. DOL has published a SORN to cover its Government-wide system 
of FECA claims records, DOL/GOVT-1 (Office of Workers' Compensation 
Programs, FECA File), which is operated and maintained by a DOL 
contractor. See 67 FR 16815 (2002). We have revised FTC-II-3 to make it 
more consistent with DOL's SORN, and have made other minor revisions.
    FTC-II-4 (Employment Application-Related Records--FTC). The FTC has 
deleted the SORN previously designated as FTC-II-4, which covered 
employee counseling records maintained on-site by the FTC. Counseling 
records for FTC employees are now compiled, maintained, and controlled 
solely by the Department of Health and Human Services (HHS), which 
provides an Employee Assistance Program (EAP) to the FTC's employees 
under an interagency agreement. Those counseling records are covered by 
the relevant SORN published by HHS. See HHS SORN No. 09-90-0010 (EAP 
Records), 67 FR 4965 (2002). FTC-II-4 now designates a new SORN 
covering the FTC system of records compiled from or about individuals 
who have applied for FTC employment, including individual applications, 
resumes, references or other records submitted for FTC consideration. 
The FTC has not previously published a SORN for this system of records 
because a Government-wide OPM SORN already covers this system, OPM/
GOVT-5 (Recruiting, Examining, and Placement Records). See 71 FR 35351 
(2006). Nonetheless, for clarity and ease of reference, the FTC is 
publishing its own SORN for this system, as the FTC has done for other 
FTC systems that overlap with OPM systems (e.g., FTC-II-1, FTC-II-2).
    FTC-II-5 (Equal Employment Opportunity Statistical Reporting 
System--FTC). This SORN covers the confidential FTC personnel database 
maintained for the FTC's Equal Employment Opportunity (EEO) Office to 
generate statistical reports and analyses for the FTC's EEO program. An 
OPM Government-wide SORN also covers the applicant-related data 
compiled in this FTC system, OPM/GOVT-7 (Applicant Race, Sex, National 
Origin, and Disability Status Records). See 71 FR 35356 (2006). Minor 
revisions have been made to FTC-II-5 regarding the system's purpose, 
records, storage, and other aspects of the system, consistent with the 
OPM SORN.
    FTC-II-6 (Discrimination Complaint System--FTC). This SORN covers 
investigatory files and related documentation generated in EEO pre-
complaint counseling and investigations at the FTC. These records also 
are covered by a Government-wide SORN published by the Equal Employment 
Opportunity Commission (EEOC), EEOC/GOVT-1 (Equal Employment 
Opportunity in the Federal Government Complaint and Appeal Records). 
See 67 FR 49338 (2002); 71 FR 24704 (2006) (updating system managers). 
Minor revisions have been made, consistent with the EEOC SORN.
    FTC-II-7 (Ethics Program Records--FTC). This SORN covers annual 
financial statements and other filings or requests by FTC officials and 
employees under the FTC's ethics program. The Office of Government 
Ethics (OGE) has

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published two Government-wide SORNs that together cover records in this 
FTC system. See OGE/GOVT-1 (Public Financial Disclosure Reports and 
Other Name-Retrieved Ethics Program Records), OGE/GOVT-2 (Confidential 
Financial Disclosure Reports). See 68 FR 3098, 24744 (2003). We have 
revised FTC-II-7 to make it more consistent with the OGE SORNs and to 
make other minor clarifications.
    FTC-II-8 (Employee Adverse Action and Disciplinary Records--FTC). 
The FTC has removed the SORN previously designated as FTC-II-8, which 
covered biographies maintained by the FTC's public affairs office on 
Commissioners and key staff members. That biographical information is 
now maintained and posted on the FTC's Web site, which is part of the 
FTC public records system. (See FTC-I-6 above.) FTC-II-8 now designates 
the FTC's system of employee adverse action and disciplinary files. The 
FTC has not previously published a SORN for this system of records, 
since an OPM Government-wide SORN covers these records, OPM/GOVT-3 
(Records of Adverse Actions, Performance Based Reduction in Grade and 
Removal Actions, and Termination of Probationers). See 71 FR 35342, 
35350 (2006). Nonetheless, for clarity and ease of reference, the FTC 
is now publishing its own SORN for this system, as the FTC has done for 
other FTC systems that overlap with OPM systems (e.g., FTC-II-1, FTC-
II-2).
    FTC-II-9 (Claimants Under Federal Tort Claims Act and Military 
Personnel and Civilian Employees' Claims Act--FTC). This SORN covers 
records generated by tort claims and other claims filed with the FTC by 
its employees or others under the named statutes. No substantive 
changes have been made.
    FTC-II-10 (Employee Health Care Records--FTC). This SORN covers 
records maintained by the FTC's employee health unit, which relies upon 
an HHS Program Support Center (PSC) contractor to provide on-site 
health services to our employees at certain FTC facilities. We have 
clarified the scope of the SORN to be consistent with a related HHS 
SORN, No. 09-40-0005 (Public Health Service (PHS) Beneficiary-Contract 
Medical/Health Care Records). See 63 FR 68596 (1998). This SORN 
excludes personnel-related medical records for FTC employees (e.g., 
fitness-for-duty examinations, if any), which would be covered by the 
applicable OPM Government-wide SORN, OPM/GOVT-10 (Employee Medical File 
System Records). See 71 FR 35360 (2006).
    FTC-II-11 (Personnel Security, Identity Management & Access Control 
Records--FTC). This SORN covers security-related records for 
determining the eligibility of FTC employees or other authorized 
individuals (e.g., on-site contractors) for access to FTC facilities 
and resources, as well as records related to granting and controlling 
such access. This SORN already covered personnel security investigatory 
files used to make the eligibility determinations. We have clarified 
the SORN to include related records collected or generated in the 
process of issuing credentials (e.g., ID badges) to employees or others 
for gaining access to FTC facilities and resources. We are also 
clarifying the SORN to include access logs or other records maintained 
or used to determine and control when and how such credentials are used 
by our employees or others to gain access to FTC facilities and 
resources. This revision includes a routine use to disclose such logs 
or records for investigatory and law enforcement purposes, which is 
compatible with the purpose for which such logs or records are 
compiled.
    FTC-II-12 (Training Reservation System--FTC). This SORN covers the 
system used by the FTC's HRMO to track and log requests of FTC 
employees to attend training courses. Only minor non-substantive 
changes have been made.
    FTC-II-13 (Staff Time and Attendance Reporting (STAR) System--FTC). 
This SORN covers the system that the FTC uses to compile statistics on 
time spent by each employee on various FTC matters. The FTC already 
maintains matter-related data in its Matter Management System (FTC-I-5) 
about individual employee participation in such matters, and also 
maintains employee time and attendance data in its employee payroll 
system (FTC-III-1). Because the STAR system combines matter data as 
well as time and attendance data for FTC employees, the FTC is 
publishing a separate SORN for the STAR system.

III. FTC Financial Systems of Records

    FTC-III-1 (Personnel Payroll System--FTC). This SORN, which covers 
payroll processing records for FTC employees, now also covers 
retirement records, which were previously treated as a separate records 
system with its own SORN (FTC-III-2). We have merged retirement records 
into FTC-III-1, and are using FTC-III-2 to designate a new and 
different system of records, as described below. We have also updated 
FTC-III-1 to reflect the applicable SORN published by the Department of 
Interior (DOI), which manages payroll and retirement data for the FTC. 
See DOI-85 (Payroll, Attendance, Retirement, and Leave Records), 64 FR 
26997 (1999); 73 FR 8342 (2008) (proposed routine use amendments).
    FTC-III-2 (Travel Management System--FTC). FTC-III-2 is now the 
SORN for the FTC Travel Management System, which covers travel 
documentation for FTC employees and other authorized individuals on 
official travel for the FTC. To the extent these travel data are 
collected and maintained by the FTC's travel management contractor, 
they are already covered by a Government-wide General Services 
Administration (GSA) SORN, GSA/GOVT-4 (Contracted Travel Services 
Program). See 71 FR 48764 (2006). Nonetheless, the FTC is publishing a 
SORN to include those data as well as any other miscellaneous data that 
various FTC offices may collect and maintain in a system or records 
about individuals on official travel for the FTC.
    FTC-III-3 (Financial Management System--FTC). This SORN covers FTC 
records reflecting payments or reimbursements for travel by its 
employees and others (compare FTC-III-2 above) and payments for the 
acquisition of other goods or services (compare FTC-III-4 below). The 
FTC has revised FTC-III-3 to clarify its relationship to the other 
related SORNs, as well as to the applicable SORN published by DOI, 
which processes and manages financial data for the FTC. See DOI-90 
(Federal Financial System), 64 FR 46930 (1999), 73 FR 8342 (2008) 
(proposed routine use amendments).
    FTC-III-4 (Automated Acquisitions System--FTC). This new SORN 
covers the system used within the FTC to track requisitions (orders) 
for goods or services from non-FTC sources. In the past, records of 
such requisitions were partly reflected in records of payments for 
goods and services made through the Financial Management System (FTC-
III-3, above). The FTC is now treating this requisitions data as a 
separate system of records with its own SORN designated as FTC-III-4.
    FTC-III-5 (Employee Transportation Program Records--FTC). The FTC 
is adding this SORN to cover its file system of paper copies of 
requests submitted by FTC employees for commuting subsidies through a 
program administered by the Department of Transportation (DOT). The 
corresponding DOT SORN is DOT/ALL 8 (Employee Transportation 
Facilitation). See 65 FR 19475, 19482 (2000). This SORN also includes 
other records relating to employee transportation programs that the FTC

[[Page 33596]]

may administer from time to time (e.g., garage parking permits).

IV. FTC Correspondence Systems of Records

    FTC-IV-1 (Consumer Information System--FTC). This SORN, previously 
entitled ``Correspondence Control System,'' is now limited to consumer 
complaints and information requests received from consumers, as well as 
identity theft complaints, which were previously treated as a different 
system of records, under FTC-IV-2. Non-consumer correspondence control 
records previously covered by this system are now covered by a separate 
SORN, designated as FTC-IV-2. We have updated the system location for 
FTC-IV-1 to reflect the fact that a contractor maintains the system for 
the FTC. The SORN has also been revised to explain that the system also 
maintains contact information about authorized system users (e.g., 
staff of other law enforcement agencies) to be shared among such users. 
The SORN includes a corresponding routine use for such sharing, which 
is compatible with the purpose for which such contact information is 
collected and maintained.
    FTC-IV-2 (Miscellaneous Office Correspondence Tracking System 
Records--FTC). As noted above, identity theft records previously 
covered by FTC-IV-2 are now covered by FTC-IV-1. FTC-IV-2 is now a new 
SORN covering the miscellaneous non-consumer correspondence and matter 
tracking records that were previously covered as part of FTC-IV-1, 
above.
    FTC-IV-3 (National Do Not Call Registry--FTC). This SORN covers 
records of individuals who wish to be placed on the FTC's telemarketing 
do-not-call list. It also covers information collected from 
telemarketers, sellers, or agents who are required to comply with the 
list, but only to the extent, if any, that such telemarketers, sellers, 
or agents are also ``individuals'' within the meaning of the Privacy 
Act. The revised SORN clarifies that user fee payment data are 
collected from these telemarketers, sellers, or agents by the Treasury 
Department's Financial Management Service (FMS) through its www.pay.gov 
system, and that such data are also covered by the applicable system 
notice published by Treasury/FMS for that system, Treasury/FMS.017 
(Collections Records). See 70 FR 34522 (2005). No substantive changes 
have been made to this SORN.

V. FTC Access Requests

    FTC-V-1 (Freedom of Information Act Requests and Appeals--FTC). The 
FTC is revising this SORN to reflect the use of a commercial software 
application to maintain these records. No substantive changes have been 
made.
    FTC-V-2 (Privacy Act Requests and Appeals--FTC). The FTC is 
revising this SORN to reflect the use of a commercial software 
application to maintain these records. No substantive change have been 
made.
    FTC-V-3 (Deleted). This SORN, which the FTC has deleted, previously 
described records of requests made to the FTC's public reading room for 
public information. Records of those requests are now collected and 
maintained as part of the FTC's Consumer Information System. See FTC-
IV-1 above.

VI. FTC Mailing List Systems of Records

    FTC-VI-1 (Mailing and Contact Lists--FTC). The FTC is revising the 
title and other portions of this SORN to clarify the scope, nature, and 
purpose of these records.

VII. FTC Miscellaneous Systems of Records

    FTC-VII-1 (Automated Library Management System--FTC). The FTC has 
revised the system name, previously ``Automated Serials Routing 
System,'' to provide a more accurate description of this system's scope 
and purpose. The FTC has made other revisions to provide a more 
detailed explanation of the records maintained in the system, and the 
categories of individuals covered by the system.
    FTC-VII-2 (Employee Locator (STAFFID) System--FTC). The FTC has 
revised the system name to reflect the internal database name used at 
the FTC. The FTC has made other revisions to clarify the uses and 
purpose of the system.
    FTC-VII-3 (Computer Systems User Identification and Access 
Records--FTC). The FTC has revised the system name and other portions 
of the SORN to clarify the system's scope and purpose.
    FTC-VII-4 (Call Detail Records--FTC). The FTC is adding this SORN 
to cover records that the FTC maintains on telephone usage by 
employees, contractors and other individuals, consistent with the 
Office of Management & Budget (OMB) model SORN for such records. See 52 
FR 12990 (1987). This SORN is intended to authorize the FTC to retrieve 
such usage records by individual user name, phone number or other 
personal identifier. This SORN replaces the SORN previously designated 
as FTC-VII-4, which covered the Standard Name System, an internal 
directory that was previously used to ensure the standardized spelling 
of proper names of individuals and entities in Commission matters, 
which the Commission no longer uses or maintains.
    FTC-VII-5 (Property Management System--FTC). The FTC has made minor 
technical and stylistic changes to this SORN, which covers property 
logs or other records that the FTC maintains to account for FTC office 
equipment, keys, or other FTC property assigned to individual employees 
or others.
    FTC-VII-6 (Document Management and Retrieval System--FTC). The FTC 
has revised the system name and made other revisions to the scope of 
this SORN. This SORN covers legacy (microfiche) and current electronic 
data collections of FTC memoranda and other agency records that may be 
managed by and retrieved by the author's name or other personal 
identifiers.
    FTC-VII-7 (Administrative Service Order System--FTC). The FTC has 
made minor technical and stylistic changes to this SORN, which covers 
the database system used by the FTC's Administrative Service Office to 
track and fulfill requests made by employees or other individuals for 
building repairs, maintenance or other administrative services.
    FTC-VII-8 (Information Technology Service Ticket System--FTC). The 
FTC has revised this SORN to reflect the fact that the FTC has 
outsourced this function to a contractor, which now operates and 
maintains the electronic system used to track and fulfill employee and 
other requests for computer assistance, repairs, etc.
    Appendix I (Authorized Disclosures and Routine Uses Applicable to 
All FTC Privacy Act Systems of Records). The FTC has updated this 
Appendix to consolidate the routine uses that apply globally to all FTC 
systems of records, including the most recent routine use published by 
the FTC in 2007 for disclosures of Privacy Act records if needed to 
help identify or remedy data breach situations. See 72 FR 31835. The 
FTC is also adding a new global routine use to clarify that the FTC may 
disclose Privacy Act records to the FTC's contractors, interns or other 
authorized FTC individuals who have a need for the record in order to 
perform officially assigned or designated FTC duties. As required by 
the Privacy Act, this routine use is compatible with the basis and 
purpose for which the FTC collects and maintains Privacy Act records, 
since the Act already authorizes similar internal (intra-agency) 
disclosures to ``officers and employees'' of the agency as needed

[[Page 33597]]

to carry out officially assigned or designated duties. See 5 U.S.C. 
552a(b)(1). For the public's convenience, the revised Appendix also 
includes a complete list of other disclosures that the Privacy Act 
explicitly authorizes, but which the Act does not require the FTC to 
publish. See 5 U.S.C. 552a(b)(1)-(12).
    Appendix II (How to Make a Privacy Act Request). The FTC has 
expanded this Appendix to include more detailed information about how 
to make a Privacy Act request for access, correction or amendment. It 
explains that some systems may be exempt from such requests or from 
other requirements of the Act, and provides other relevant information 
to individuals who might file such a request.
    Appendix III (FTC System Locations). This Appendix, which is new, 
updates and consolidates the addresses of all FTC facilities, including 
its satellite building in Washington, DC, and regional offices. It also 
explains that the FTC may maintain records in other leased facilities 
or, in certain cases, may have contractors operate or maintain Privacy 
Act record systems off-site.

FTC Systems of Records Notices

    Accordingly, the FTC proposes to revise and update its Privacy Act 
systems of records as follows:

I. FTC Law Enforcement Systems of Records

FTC-I-1

SYSTEM NAME:
    Nonpublic Investigational and Other Nonpublic Legal Program 
Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.) 
Parties requesting informal advisory opinions are covered by FTC-I-3, 
Informal Advisory Opinion Request and Response Files--FTC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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 any of the following: investigation files; docketed 
and consent matters; rulemakings, workshops, and other public 
proceedings, including comments or other materials submitted in such 
proceedings; assurances of voluntary compliance; advisory opinions.
    This system is limited to files and records that are about an 
individual, and only when the file or record is pulled (``retrieved'') 
by the name of that individual or other personal identifier (e.g., 
number, symbol, fingerprint, etc.). As described below, records in this 
system may become public if they are subject to such disclosure under 
the FTC's Rules of Practice.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Executive Order 
10450.

PURPOSE(S):
    To conduct the law enforcement, rulemaking, and advisory 
responsibilities of the Federal Trade Commission; to make 
determinations based upon the results of those matters; to report 
results of investigations to other agencies and authorities for their 
use in evaluating their programs and imposition of criminal, civil, or 
administrative sanctions; to report the results of investigations to 
other agencies or other regulatory bodies for any action deemed 
appropriate; to make appropriate portions of the records of those 
matters available to the public (see FTC-I-6, Public Records--FTC); and 
to maintain records of Commission activities related to those matters, 
including to make such records available within the FTC for historical, 
legal research, investigational, and similar purposes (see FTC System 
VII-6, Document Management and Retrieval System--FTC).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) Made available or referred to federal, state, local or 
international government authorities for investigation, possible 
criminal prosecution, civil action, regulatory order, or other law 
enforcement purpose;
    (2) Referred to outside experts or consultants when considered 
appropriate by FTC staff to assist in the conduct of agency matters;
    (3) Used by Commission contractors with recordkeeping, managerial, 
and budgeting responsibilities for information management purposes; and
    (4) Disclosed on the FTC's public record under the FTC's Rules of 
Practice. See FTC-I-6, Public Records--FTC.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I. For public 
portions of this system, see the system notice for FTC-I-6.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The FTC maintains these records in various electronic and non-
electronic formats and media (e.g., 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.

RETRIEVABILITY:
    Records are indexed by respondent's, participant's, or FTC staff 
member's name; company name; industry investigation title; and FTC 
matter number.

SAFEGUARDS:
    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

[[Page 33598]]

ID'' and password combination and/or other appropriate electronic 
access or network controls (e.g., firewalls). FTC buildings are guarded 
and monitored by security personnel, cameras, ID checks, and other 
physical security measures.

RETENTION AND DISPOSAL:
    Records from submitters in FTC investigations are destroyed or 
returned to the submitter, if so requested, at the conclusion of the 
matter, except for those received into the record of any proceeding and 
any other copies made for official use or that are required to be 
preserved for their historical or other value under applicable Federal 
records retention requirements. See 15 U.S.C. 57b-2(b)(5), 16 CFR 4.12. 
Retention periods for other system records depend on the type of record 
and the FTC proceeding or matter involved. Records are retained and 
disposed of under applicable schedules and procedures approved by the 
National Archives and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Records and Filings Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual respondent(s) or proposed respondent(s), defendant(s), 
company records, complainants, informants, witnesses, participants, FTC 
employees, commercial sources.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Copies of records contained in this system that have been placed on 
the FTC public record are available upon request or from the FTC's Web 
site, where applicable. See FTC-I-6, Public Records--FTC. However, 
pursuant to 5 U.S.C. 552a(k)(2), records in this system that are not on 
the public record are exempt from the requirements of subsections 
(c)(3), (d), (e)(1), (e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a, 
and the corresponding provisions of 16 CFR 4.13. See FTC Rules of 
Practice 4.13(m), 16 CFR 4.13(m).
FTC-I-2

SYSTEM NAME:
    Disciplinary Action Investigatory Files--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    FTC personnel, counsel for parties in investigative or adjudicative 
proceedings, and others participating in FTC matters who may be subject 
to investigation for possible improper or unethical conduct.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name, address, employment status, age, date of birth, financial 
information, credit information, personal history, and records 
collected and generated during the investigation, which may include 
correspondence relating to the investigation; internal staff memoranda; 
copies of subpoenas issued during the investigation, affidavits, 
statements from witnesses, transcripts of testimony taken in the 
investigation, and accompanying exhibits; documents, records or copies 
obtained during the investigation; interview notes, investigative 
notes, staff working papers, draft materials, and other documents and 
records relating to the investigation; opening reports, progress 
reports, and closing reports; and other investigatory information or 
data relating to alleged violations.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Executive Order 
10450.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system:
    (1) May be used to determine whether disciplinary action, including 
suspension or disbarment from practice before the Commission, is 
warranted;
    (2) May be transferred to the Office of Personnel Management, to a 
court, or a bar association; and
    (3) May be used by personnel of other agencies, courts, or bar 
associations to whom the matter is referred.
    See also Appendix I for other ways that the Privacy Act allows the 
FTC to use and disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The FTC generally maintains these records in paper format, although 
it can also maintain them in other electronic or non-electronic formats 
and media (e.g., microfilm, CD-ROMs, other digital files).

RETRIEVABILITY:
    Records are indexed by individual's name, company name, industry 
investigation title, file or docket number.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and disposed of under applicable schedules and 
procedures approved by the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Deputy General Counsel for Legal Counsel, Office of General 
Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., 
Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

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

[[Page 33599]]

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

SYSTEM NAME:
    Informal Advisory Opinion Request and Response Files--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Applicants for informal advisory opinions from FTC staff under 
Sec.  1.1(b) of the Commission's Rules of Practice, 16 CFR 1.1(b). 
(Applicants for formal advisory opinions from the Commission under 
Sec.  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.)

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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 (see FTC-VII-6, 
Document Management and Retrieval System--FTC); and also to make 
appropriate portions of such records available to the public (see FTC-
I-6, Public Records--FTC).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) Referred to appropriate federal or state agencies for advice, 
for law enforcement, or where law enforcement action may be warranted; 
and
    (2) Disclosed on the FTC's public record under the FTC's Rules of 
Practice. see FTC-I-6, Public Records--FTC.
    See also Appendix I for other ways that the Privacy Act allows the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I. For public 
portions of this system, see the system notice for FTC-I-6.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The FTC generally maintains these records in paper format, although 
it can also maintain them in other electronic or non-electronic formats 
and media (e.g., microfilm, CD-ROMs, other digital files).

RETRIEVABILITY:
    Records are indexed by name of requesting party.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are guarded and monitored by 
security personnel, cameras, ID checks, and other physical security 
measures.

RETENTION AND DISPOSAL:
    Records are retained and disposed of under applicable schedules and 
procedures approved by the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Records and Filings Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual proprietorship, corporation, or other business 
organization, counsel seeking or receiving a staff advisory opinion, 
and FTC employees.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-I-4

SYSTEM NAME:
    Clearance Application and Response Files--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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 (see FTC-VII-6, Document Management and Retrieval System--
FTC); and also to make appropriate portions of such

[[Page 33600]]

records available to the public (see FTC-I-6, Public Records--FTC).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed on the FTC's public record 
under the FTC's Rules of Practice. See FTC-I-6, Public Records--FTC.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I. For public 
portions of this system, see the system notice for FTC-I-6.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The FTC generally maintains these records in paper format, although 
it can also maintain them in other electronic or non-electronic formats 
and media (e.g., microfilm, CD-ROMs, other digital files).

RETRIEVABILITY:
    Indexed by name of the applicant and by the name of the 
investigation or proceeding.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are guarded and monitored by 
security personnel, cameras, ID checks, and other physical security 
measures.

RETENTION AND DISPOSAL:
    Records are retained and disposed of under applicable schedules and 
procedures approved by the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Deputy General Counsel for Legal Counsel, Office of General 
Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., 
Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual on whom the record is maintained and Commission staff 
who prepare the memoranda and response to request.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Copies of records contained in this system that have been placed on 
the FTC public record are available upon request or from the FTC's Web 
site, where applicable. See FTC-I-6, Public Records--FTC. However, 
pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect 
records that are contained in other systems of records that are 
designated as exempt, are exempt from the requirements of subsections 
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See 
Sec.  4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-I-5

SYSTEM NAME:
    Matter Management System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.)

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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 (e.g., 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.
    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.e., 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.

[[Page 33601]]

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system:
    (1) May be 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
    (2) May be disclosed on the FTC's public record under the FTC's 
Rules of Practice. See FTC-I-6, Public Records--FTC.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except authorized under 5 U.S.C. 552a(b)(12) when trying to 
collect a claim of the Government. See Appendix I. For public portions 
of this system, see the system notice for FTC-I-6 (Public Records--
FTC).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    System records are primarily maintained and accessed 
electronically. The system can generate electronic or printed status or 
history reports.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are guarded and 
monitored by security personnel, cameras, ID checks, and other physical 
security measures.

RETENTION AND DISPOSAL:
    Records are being retained indefinitely, pending approval of a 
proposed retention and disposal schedule by the National Archives and 
Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Records and Filings Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual on whom the record is maintained and Commission staff 
associated with the matter.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Copies of records contained in this system that have been placed on 
the FTC public record are available upon request or from the FTC's Web 
site, where applicable. See FTC-I-6, Public Records--FTC. However, 
pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect 
records that are contained in other systems of records that are 
designated as exempt, are exempt from the requirements of subsections 
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See 
Sec.  4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-I-6

SYSTEM NAME:
    Public Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.)

CATEGORIES OF RECORDS IN THE SYSTEM:
    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). See 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 (e.g., 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 (www.regulations.gov). 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. See EPA-GOVT-2 (FDMS).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Executive Order 
10450; Freedom of Information Act, 5 U.S.C. 552; 16 CFR 4.9.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) Disclosed 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, www.ftc.gov, or made public by other electronic or non-electronic 
means. See 16 CFR 4.9(b); or
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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

[[Page 33602]]

to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    The FTC maintains these records in various electronic and non-
electronic formats and media (e.g., 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.

RETRIEVABILITY:
    Indexed by respondent's, participant's, or FTC staff member's name; 
company name; industry investigation title; and FTC matter number.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    Records are retained and disposed of under applicable schedules and 
procedures approved by the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Records and Filings Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual respondent(s) or proposed respondent(s), company 
records, complainants, informants, witnesses, participants, and FTC 
employees.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-I-7

SYSTEM NAME:
    Office of Inspector General Investigative Files--FTC.

SECURITY CLASSIFICATION:
    None.

SYSTEM LOCATION:
    Office of Inspector General (OIG), Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580. See Appendix III for 
other locations where records may be maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) Disclosed to agencies, offices, or establishments of the 
executive, legislative, or judicial branches of the federal or state 
government--
    (a) Where such agency, office, or establishment has an interest in 
the individual for employment purposes, including a security clearance 
or determination as to access to classified information, and needs to 
evaluate the individual's qualifications, suitability, and loyalty to 
the United States Government, or
    (b) Where such agency, office, or establishment conducts an 
investigation of the individual for the purposes of granting a security 
clearance, or for making a determination of qualifications, 
suitability, or loyalty to the United States Government, or access to 
classified information or restricted areas, or
    (c) Where the records or information in those records are relevant 
and necessary to a decision with regard to the hiring or retention of 
an employee or disciplinary or other administrative action concerning 
an employee, or
    (d) Where disclosure is requested in connection with the award of a 
contract or other determination relating to a government procurement, 
or the issuance of a license, grant, or other benefit by the requesting 
agency, to the extent that the record is relevant and necessary to the 
requesting agency's decision on the matter, including, but not limited 
to, disclosure to any Federal agency responsible for considering 
suspension or debarment actions where such record would be germane to a 
determination of the propriety or necessity of such action, or 
disclosure to the United States General 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;
    (2) Disclosed to the Office of Personnel Management, the Office of 
Government Ethics, the Merit Systems Protection Board, the Office of 
the Special Counsel, the Equal Employment Opportunity Commission, or 
the Federal Labor Relations Authority or its General Counsel, of 
records or portions thereof relevant and necessary to carrying out 
their authorized functions, such as, but not limited to, rendering 
advice requested by the OIG, investigations of alleged or prohibited 
personnel practices (including unfair labor or discriminatory 
practices), appeals before official agencies, offices, panels or 
boards, and authorized studies or review of civil service or merit 
systems or affirmative action programs;
    (3) Disclosed to independent auditors or other private firms with 
which the Office of the Inspector General has contracted to carry out 
an independent audit or investigation, or to analyze, collate, 
aggregate or otherwise refine data collected in the system of records,

[[Page 33603]]

subject to the requirement that such contractors shall maintain Privacy 
Act safeguards with respect to such records;
    (4) Disclosed to a direct recipient of federal funds such as a 
contractor, where such record reflects serious inadequacies with a 
recipient's personnel and disclosure of the record is for purposes of 
permitting a recipient to take corrective action beneficial to the 
Government;
    (5) Disclosed to any official charged with the responsibility to 
conduct qualitative assessment reviews of internal safeguards and 
management procedures employed in investigative operations. This 
disclosure category includes members of the President's Council on 
Integrity and Efficiency, Executive Council on Integrity and Efficiency 
and officials and administrative staff within their investigative chain 
of command, as well as authorized officials of the Department of 
Justice and the Federal Bureau of Investigation;
    (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
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

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

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

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

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings 
are guarded and monitored by security personnel, cameras, ID checks, 
and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and destroyed in accordance with schedules and 
procedures issues or approved by the National Archives and Records 
Administration. Cases that are unusually significant for documenting 
major violations of criminal law or ethical standards are offered to 
the National Archives for permanent retention.

SYSTEM MANAGER(S) AND ADDRESS:
    Inspector General, Federal Trade Commission, 600 Pennsylvania 
Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to 5 U.S.C. 552a(j)(2), records in this system are exempt 
from the provisions of 5 U.S.C. 552(a), except subsections (b), (c)(1) 
and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10) and (11) and (i) 
and corresponding provisions of 16 CFR 4.13, to the extent that a 
record in the system of records was compiled for criminal law 
enforcement purposes.
    Pursuant to 5 U.S.C. 552a(k)(2), the system is exempt from 5 U.S.C. 
552a(c)(3), (d), (e)(1), (e)(4)(G), (H) and (I) and (f) and the 
corresponding provisions of 16 CFR 4.13, to the extent the system of 
records consists of investigatory material compiled for law enforcement 
purposes, other than material within the scope of the exemption at 5 
U.S.C. 552a(j)(2). See 16 CFR 4.13(m).
FTC-I-8

SYSTEM NAME:
    Stenographic Reporting Services Request System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.)

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.e., notary, witness or deponent signature); method and timing of 
performance and delivery; other comments or instructions; name of

[[Page 33604]]

stenographic reporting company to be used and contact person; name of 
FTC staff person processing the request; hearing or service schedule 
changes, if any.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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-FTC-VII-6 (Document Management and Retrieval System--FTC).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) Disclosed to and used by FTC contractors for purposes of 
scheduling and providing FTC staff with stenographic reporting services 
for depositions and hearings; and
    (2) Made part of public record proceedings, to the extent 
appropriate and necessary to identify the individual being deposed or 
providing testimony in a hearing, when the hearing is a matter of 
public record. See FTC-I-6, Public Records--FTC.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I. For public 
portions of this system, see the system notice for FTC-I-6.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are guarded and monitored by 
security personnel, cameras, ID checks, and other physical security 
measures.

RETENTION AND DISPOSAL:
    Records are retained indefinitely, pending approval of an 
applicable retention and disposal schedule by the National Archives and 
Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Records and Filings Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual on whom the record is maintained and Commission staff 
associated with the matter.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Copies of records contained in this system that have been placed on 
the FTC public record are available upon request or from the FTC's Web 
site, where applicable. See FTC-I-6, Public Records--FTC. However, 
pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect 
records that are contained in other systems of records that are 
designated as exempt, are exempt from the requirements of subsections 
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See 
Sec.  4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).

II. FTC Personnel Systems of Records

FTC-II-1

SYSTEM NAME:
    General Personnel Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current Federal Trade Commission employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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:
    a. Records reflecting work experience, educational level achieved, 
specialized education or training obtained outside of Federal service.
    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,

[[Page 33605]]

details, promotions, demotions, reductions in force, resignations, 
separations, suspensions, approval of disability retirement 
applications, retirement and removals.
    c. Records relating to participation in the Federal Employees' 
Group Life Insurance Program and Federal Employees Health Benefits 
Program.
    d. Records relating to an Intergovernmental Personnel Act 
assignment or Federal-private exchange program.
    e. Records relating to participation in an agency Federal Executive 
or SES Candidate Development Program.
    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 (e.g., an administrative intern 
program).
    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, e.g., 
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.
    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.
    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.
    j. Records relating to designations for lump sum death benefits.
    k. Records relating to classified information nondisclosure 
agreements.
    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.
    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.
    n. Emergency contact information for the employee (see, e.g., FTC 
Form 75), which is kept on the left side of the OPF.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 1302, 2951, 3301, 3372, 4118, 8347; Executive Orders 9397, 
9830, and 12107.

PURPOSE(S):
    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.
    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.
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) Performance Related Uses
    (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;
    (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;
    (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;
    (d) To provide an official of another Federal agency information 
needed in the performance of official duties

[[Page 33606]]

related to reconciling or reconstructing data files, in support of the 
functions for which the records were collected and maintained;
    (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;
    (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;
    (g) To disclose to prospective non-Federal employers, the following 
information about a specifically identified current or former Federal 
employee:
    (i) Tenure of employment;
    (ii) Civil service status;
    (iii) Length of service in the agency and the Government; and
    (iv) When separated, the date and nature of action as shown on the 
Notification of Personnel Action, Standard Form 50 (or authorized 
exception);
    (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;
    (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;
    (j) To disclose information to any member of the agency's 
Performance Review Board or other board or panel (e.g., 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;
    (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;
    (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
    (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;
    (2) Training/Education Related Uses
    (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
    (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;
    (3) Retirement/Insurance/Health Benefits Related Uses
    (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 
(e.g., 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;
    (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;
    (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;
    (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;
    (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:
    (i) Fitness-for-duty examination procedures; or
    (ii) Agency-filed disability retirement procedures;
    (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
    (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;
    (4) Labor Relations Related Uses
    (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
    (b) To disclose information to officials of labor organizations 
recognized under 5 U.S.C. 71 et seq. when relevant and necessary to 
their duties of exclusive representation concerning personnel

[[Page 33607]]

policies, practices, and matters affecting working conditions; and
    (5) Miscellaneous Uses
    (a) To provide data to OPM for inclusion in the automated Center 
Personnel Data File;
    (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, see OPM/GOVT-1, or any successor OPM system notice that may be 
published for this system (visit www.opm.gov for more information);
    (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
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Records are indexed by employee name.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    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.e., 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.
    Long-term records. 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.
    Other records. 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.
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See 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.
    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.

RECORD SOURCE CATEGORIES:
    Individual to whom the record applies and agency employees.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-2

SYSTEM NAME:
    Unofficial Personnel Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former Commission employees, consultants, and 
contractors.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.e., 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

[[Page 33608]]

work schedules, consideration given to applicants for positions with 
the FTC, and ``emergency contact'' information collected by various 
offices informally.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 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; and Executive Order 12107.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (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;
    (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
    (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 www.opm.gov for more information.)
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Maintained in file folders, envelopes and in electronic formats.

RETRIEVABILITY:
    Indexed by individual's name.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    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.
    Records are generally retained in accordance with GRS-1, items 18 
(supervisory personnel files) and 23 (employee performance records):
    (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.
    (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.
    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.
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office (HRMO), Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See 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.
    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.

RECORD SOURCE CATEGORIES:
    Individual to whom the record pertains; individual's supervisors; 
managers; Performance Review Boards; Executive Resource Boards; and 
other interested parties.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-3

SYSTEM NAME:
    Workers' Compensation--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals (i.e., 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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    This system may contain the following kinds of records: names; 
Social Security numbers; reports of

[[Page 33609]]

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.
    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, see 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Employees Compensation Act (FECA), 5 U.S.C. 8101 et seq., 
20 CFR 1.1 et seq.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) Disclosed in response to queries from Department of Labor, 
Office of Workers Compensation Programs, supervisors and employees 
about compensation claims; and
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Maintained in file folders or temporary electronic files.

RETRIEVABILITY:
    Indexed by individual's name.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and disposed of under schedules and procedures 
approved or issued by the National Archives and Records Administration.
    See 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office (HRMO), Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580. See 
DOL/GOVT-1 for information about the system manager and address for 
that system.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See 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. See DOL/
GOVT-1 for information about the notification, record access and 
contesting procedures for claims records maintained by DOL.

[[Page 33610]]

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    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.
FTC-II-4

SYSTEM NAME:
    Employment Application-Related Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have applied for employment at the FTC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; 5 U.S.C. ch. 
33, subch. I; 5 U.S.C. 4103; Executive Order 9397.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    See OPM/GOVT-5 for a list of routine uses authorized by OPM for 
records in this system. Those uses include, for example:
    (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.
    (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.
    (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.
    See also Appendix I for other ways that the Privacy Act allows the 
FTC to disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
    See OPM/GOVT-5 for information about the system manager and address 
for OPM's system of records.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Applicants; OPM; applicants' personal references; FTC contractor's 
Web site.

[[Page 33611]]

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    See 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).
FTC-II-5

SYSTEM NAME:
    Equal Employment Opportunity Statistical Reporting System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    FTC employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Coded minority group designations and other data relevant to equal 
employment opportunity (EEO) at the FTC; other employee identification 
data (e.g., position, grade, office or duty station).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 1301, 3301, 7201, 7204; Executive Order 10577; 42 U.S.C. 
2000e-16; Pub. L. 93-112.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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.
    See Appendix I for other ways that the Privacy Act allows the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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 (see 
``Safeguards'' below). Paper forms are compiled and kept in the FTC's 
EEO Office.

RETRIEVABILITY:
    Indexed by name of individual, name of group, or by cross-reference 
to title and grade or other human resources data fields or codes.

SAFEGUARDS:
    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 (e.g., 
firewalls). FTC buildings are guarded and monitored by security 
personnel, cameras, ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and destroyed in accordance with schedules and 
guidance issued or approved by the National Archives and Records 
Administration. See, e.g., General Records Schedule 1.25.f (EEO-related 
employment statistics), which authorizes disposal after five years.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Equal Employment Opportunity Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Self-identification by employee (e.g., 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 (e.g., 
FTC-II-I, General Personnel Records--FTC).

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-6

SYSTEM NAME:
    Discrimination Complaint System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Past or present Federal Trade Commission employees and applicants 
for employment.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Section 717 of Title VII of the Civil Rights Act of 1964, as 
amended, 42 U.S.C. 2000e-16; 29 CFR part 1614.

PURPOSE(S):
    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 precomplaint 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, national origin, 
religion, sex, age, and physical or mental handicap related to EEO 
matters; to

[[Page 33612]]

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.)

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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 www.eeoc.gov.)
    In addition, records in this system may be routinely used and/or 
disclosed:
    (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.
    (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.
    See Appendix I for other ways that the Privacy Act permits the FTC 
to use and disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Documents consist mainly of paper records; certain records (e.g., 
draft memoranda, letters, e-mails) may be generated or maintained 
electronically.

RETRIEVABILITY:
    Indexed by name of the complainant.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are guarded and monitored by 
security personnel, cameras, ID checks, and other physical security 
measures.

RETENTION AND DISPOSAL:
    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. See EEOC/GOVT-1.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Equal Employment Opportunity Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained, affiants, and EEO 
staff, other personnel records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    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.
FTC-II-7

SYSTEM NAME:
    Ethics Program Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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. See 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, www.oge.gov, for 
more information.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Ethics in Government Act of 1978, 5 U.S.C. app.; Ethics Reform Act 
of 1989, Pub. L. 101-194; 5 CFR parts 735 & 2634, and other applicable 
ethics-related laws, rules, and Executive Orders.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed for any of the routine uses 
set forth in 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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

[[Page 33613]]

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic and paper records.

RETRIEVABILITY:
    By name of Commission official or employee.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are guarded and 
monitored by security personnel, cameras, ID checks, and other physical 
security measures.

RETENTION AND DISPOSAL:
    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 or electronic deletion.

SYSTEM MANAGER(S) AND ADDRESS:
    Designated Agency Ethics Officer, Office of General Counsel, 
Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 
20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-8

SYSTEM NAME:
    Employee Adverse Action and Disciplinary Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 4301 et seq.; 5 U.S.C. 4311 et seq.; 5 U.S.C. 7101 et 
seq.; 5 U.S.C. 7501 et seq.; 5 U.S.C. 7511 et seq.; 5 U.S.C. 7541 et 
seq.; and 5 CFR parts 293, 315, 432 & 752.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed for any of the routine uses 
set forth in OPM/GOVT-3.
    In addition, records in this system:
    (1) Including records of disciplinary actions, adverse actions and 
performance-based actions, may be disclosed to and used by employee 
relations specialists or others whose official duties require such 
information;
    (2) Including records of official time used and travel and per diem 
money spent while attending to union business, may be disclosed to and 
used by labor relations specialists and others whose official duties 
require such information. Information in system records may also be 
disclosed to officials of labor organizations recognized under 5 U.S.C. 
7101 et seq. when relevant and necessary to their duties as exclusive 
representative; and
    (3) May be disclosed to the Federal Labor Relations Authority 
(including its General Counsel) when requested in connection with 
investigation and resolution of allegations of unfair labor practices, 
in connection with the resolution of exceptions to arbitrator's awards 
where a question of material fact is raised and matters before the 
Federal Service Impasses Panel.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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. 
See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Maintained in paper format in file folders; portions may also be 
temporarily stored in electronic formats.

RETRIEVABILITY:
    Indexed by individual's name.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings

[[Page 33614]]

are guarded and monitored by security personnel, cameras, ID checks, 
and other physical security measures.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the records pertain, witnesses, supervisors, 
program managers, counselor, related correspondence from organizations 
or persons.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-9

SYSTEM NAME:
    Claimants Under Federal Tort Claims Act and Military Personnel and 
Civilian Employees' Claims Act--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have claimed reimbursement from FTC under Federal 
Tort Claims Act and Military Personnel and Civilian Employees' Claims 
Act.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system:
    (1) May be referred to Department of Justice, General Services 
Administration, or other federal agency when the matter comes within 
the jurisdiction of such agency; and
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper records stored in file folders; temporary electronic files.

RETRIEVABILITY:
    Indexed by individual's name.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings 
are guarded and monitored by security personnel, cameras, ID checks, 
and other physical security measures.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Deputy General Counsel for Legal Counsel, Office of the General 
Counsel, Federal Trade Commission, 600 Pennsylvania Avenue, NW., 
Washington, DC 20580.
    Assistant Chief Financial Officer for Financial Systems, Internal 
Control and Policy, Financial Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, N.W. 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    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).

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-10

SYSTEM NAME:
    Employee Health Care Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former FTC employees or others who receive services 
through on-site health units at FTC facilities.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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 Service 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

[[Page 33615]]

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.
    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 a condition of the 
individual's employment (e.g., fitness-for-duty examination, drug 
testing) or on-the-job occurrence (e.g., 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. chapters 11, 63, 81, 83, and 84; 42 U.S.C. 216.

PURPOSE(S):
    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 (e.g., to help monitor and evaluate a contractor's 
performance in delivering services).
    See 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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be:
    (1) 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;
    (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;
    (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;
    (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;
    (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;
    (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
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Stored in file folders. Some information may be stored temporarily 
in electronic format (e.g., e-mails, electronic files).

RETRIEVABILITY:
    Indexed by individual's name.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained according to schedules and procedures issued 
or approved by the National Archives and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
    Director, DCP/HRS/PSC, Room 4A-15, Parklawn Building, 5600 Fishers 
Lane, Rockville, Maryland 20857-0001.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the records are maintained, treating nurses 
or other medical staff, witness statements, supervisors/managers and 
other agency officials, and others.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-11

SYSTEM NAME:
    Personnel Security, Identity Management, and Access Control Records 
System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

[[Page 33616]]

SYSTEM LOCATION:
    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. See Appendix III for other 
locations where records may be maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 301; Homeland Security Presidential Directive--12 (HSPD-
12).

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (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.
    (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.
    See Appendix I for other ways that the Privacy Act permits the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Paper records indexed by individual's name. Electronic records 
searched and retrieved by name or other data fields or codes.

SAFEGUARDS:
    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 (e.g., 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.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Security Officer, Administrative Services Office, Office of the 
Executive Director, Federal Trade Commission, 600 Pennsylvania Avenue, 
NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    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. See Sec.  4.13(m) of the FTC Rules of Practice, 16 CFR 
4.13(m).
FTC-II-12

SYSTEM NAME:
    Training Reservation System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who, at the time the records are added to the system, 
are FTC

[[Page 33617]]

employees who registered to attend training courses offered by the 
Human Resources Management Office.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Employee identification number, course number, course title, course 
date and time, and attendance indicator.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; 5 U.S.C. ch. 
41; 5 CFR 410.701.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    See Appendix I for ways that the Privacy Act permits the FTC to use 
or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are stored in electronic record systems and temporary paper 
printouts.

RETRIEVABILITY:
    Indexed by employee identification number and name.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Human Resources Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained, supervisors, 
managers, and Human Resources Management Office staff responsible for 
the training program.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-II-13

SYSTEM NAME:
    Staff Time and Activity Reporting (STAR) System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Financial Management Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580. See Appendix III for 
other locations where records may be maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former FTC employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Employee names; staff time reported in hours, by mission, 
organization, and specific FTC matter, activity, or program.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed 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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Indexed by employee name and by various codes for mission, 
organization and specific FTC matter, activity, or program.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    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

[[Page 33618]]

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.

SYSTEM MANAGER(S) AND ADDRESS:
    Chief Financial Officer, Financial Management Office, Office of the 
Executive Director, Federal Trade Commission, 600 Pennsylvania Avenue, 
NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    FTC employees and consultants, including staff responsible for STAR 
data entry, STAR coordinators, STAR administrative officers, STAR 
approving officials, and STAR administrators.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

III. FTC Financial Systems of Records

FTC-III-1

SYSTEM NAME:
    Personnel Payroll System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where system records may 
be maintained or accessed.
    Federal Personnel Payroll System (FPPS) Management Division, U.S. 
Department of Interior, National Business Center, 7301 West Mansfield 
Avenue, Denver, CO 80227.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Current and former Federal Trade Commission employees.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Title 5 of the United States Code, Part III, Subparts A-G; 31 
U.S.C. 3512; 5 U.S.C. 5101 et seq.; Pub. L. 81-784, 64 Stat. 832; Joint 
Financial Management Improvement Program (JFMIP), Human Resources & 
Payroll System Requirements, JFMIP-SR-99-5 (April 1999).

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system:
    (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;
    (2) To the extent they contain information about an individual's 
unemployment compensation, may be referred to state and local 
unemployment compensation boards;
    (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;
    (4) May be referred to OPM upon the individual's retirement, 
transfer to another Federal agency, or resignation from Federal 
service; and
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Indexed by name, Social Security number, and organizational code.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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

[[Page 33619]]

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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Division of Budget and Finance, Federal Trade Commission, 
600 Pennsylvania Avenue, NW., Washington, DC 20580.
    Director, Human Resources Management Office, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.
    See DOI-85 for the FPPS system manager and address.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-III-2

SYSTEM NAME:
    Travel Management System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    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. See Appendix III 
for other locations where records may be maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    FTC employees or other individuals (e.g., 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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Names, Social Security numbers, home and/or business phone numbers, 
home and/or business addresses, vendor ID numbers, e-mail addresses, 
emergency contact information (names, addresses, and phone numbers), 
and credit card information (personal and/or government-issued). For 
traveling FTC employees or other individuals (e.g., 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).
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    31 USC 3511, 3512 and 3523; 5 U.S.C. Chapter 57; and implementing 
Federal Travel Regulations (41 CFR parts 301-304).

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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. See 
Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Indexed by individual name and travel order number.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures. See GSA/GOVT-4 for 
additional safeguards applicable to electronic records in this system 
that are maintained by the FTC's contractor.

RETENTION AND DISPOSAL:
    See 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Chief Financial Officer, Financial Management Office, Federal Trade 
Commission, 600 Pennsylvania Ave. N.W.,Washington, DC 20580.

[[Page 33620]]

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Traveling employees or other individuals (e.g., witnesses), FTC 
administrative staff, FTC supervisors, credit card companies and travel 
service providers.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-III-3

SYSTEM NAME:
    Financial Management System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    (1) Financial Management Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580;
    (2) National Business Center, U.S. Department of the Interior, 7301 
West Mansfield, Denver, CO 80235; and
    (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.
    See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.
    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.
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 4111(b), 5514, 5701 et seq.; 26 U.S.C. 6103(m); 31 U.S.C. 
3512, 3711, 3716; 41 CFR parts 301-304; U.S. Treasury Financial Manual.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system:
    (1) May be 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
    (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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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)).

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Stored on magnetic disks and tape and on paper.

RETRIEVABILITY:
    Records are retrievable electronically, and are indexed or 
indexable by virtually any data field available (see record categories 
above).

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are 
guarded and monitored by security personnel, cameras, ID checks, and 
other physical security measures.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    (1) Chief Financial Officer, Financial Management Office, Federal 
Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580;
    (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
    (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:
    (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
    (b) Chief, Financial Systems Division, Products and Services, 
National Business Center, MS D-2700, 7301 West Mansfield Avenue, 
Denver, CO 80235-2230.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Employees and former employees seeking reimbursement from the FTC 
for expenses personally incurred, vendor as a corporate entity or 
federal agency, individual vendor (e.g., sole

[[Page 33621]]

proprietors), and individual point of contact for a vendor.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-III-4

SYSTEM NAME:
    Automated Acquisitions System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name of vendor; business address, business telephone, tax 
identification number (i.e., 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    31 U.S.C. 3512; 41 U.S.C. 401 et seq.; Federal Acquisition 
Regulation, 48 CFR.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    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.
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Indexed by requisition number, contract number, vendor name and 
number.

SAFEGUARDS:
    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 (e.g., 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.

RETENTION AND DISPOSAL:
    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, e.g., 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Chief, Acquisitions Branch, Financial Management Office, Federal 
Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Vendors, FTC staff who requisition goods or services.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-III-5

SYSTEM NAME:
    Employee Transportation Program Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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 
(e.g., parking garage permits) that the FTC may administer from time to 
time, if any.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Subsidy application forms (e.g., 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 (e.g., drivers' licenses for garage parking 
permits).
    Data transmitted by the FTC to the U.S. Department of 
Transportation (DOT), which administers and distributes the transit 
subsidies for FTC

[[Page 33622]]

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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    5 U.S.C. 7905 note; Pub. L. 103-172; Executive Order 13150.

PURPOSE(S):
    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 (e.g., drivers' license 
numbers maintained for individuals who have been issued garage parking 
permits).

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system:
    (1) May be 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
    (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.
    See Appendix I for other ways that the Privacy Act allows the FTC 
to use and disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Records are maintained in paper format. Copies of transit subsidy 
applications are sent by facsimile transmission to the Department of 
Transportation.

RETRIEVABILITY:
    Records are maintained and retrieved alphabetically by employee's 
last name.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    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 (see ``Safeguards'') when 
the employee has transferred or separated from the agency or is 
otherwise no longer a program participant.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Administrative Services Office, Office of the Executive 
Director, Federal Trade Commission, 600 Pennsylvania Avenue, NW., 
Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Past and current FTC employees who have applied to participate in 
the subsidy program; FTC offices; Department of Transportation.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

IV. FTC Correspondence Systems of Records

FTC-IV-1

SYSTEM NAME:
    Consumer Information System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. This system is operated off-site by a contractor. See 
Appendix III.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    (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.
    (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.
    (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.
    (4) Individuals who are the subjects of complaints about identity 
theft or about the business practices of a company or individual.
    (5) FTC or contractor staff assigned to process or respond to such 
communications.
    (6) Other system users outside the FTC (e.g., law enforcement 
agencies authorized to have access to the system under confidentiality 
agreements).

CATEGORIES OF RECORDS IN THE SYSTEM:
    (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.
    (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.
    (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.)

[[Page 33623]]

    (4) The name and reference number of FTC or contractor staff person 
who entered or updated the complaint information in the database.
    (5) Name, organization, and contact data for system users outside 
the FTC (e.g., staff of other authorized law enforcement agencies).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; section 5 of 
the Identity Theft and Assumption Deterrence Act of 1998 (ITADA), 18 
U.S.C. 1028 note.

PURPOSE(S):
    To maintain records of complaints and inquiries from individual 
consumers; to track and respond to such communications (e.g., 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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) Consumer complaints can be disclosed to the subject of the 
complaint for purposes of attempting to resolve the complaint;
    (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
    (3) Contact data for non-FTC users of this system (e.g., 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.
    See Appendix I for other ways that the Privacy Act allows the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    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. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Communications are received from consumers in a variety of paper 
and electronic formats (e.g., 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 (e.g., other law enforcement agencies, 
private consumer protection organizations) may also be provided to the 
FTC in paper or electronic format (e.g., 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 (e.g., law enforcement 
partners) subject to strict access and security controls (see 
``Safeguards'' below).

RETRIEVABILITY:
    Records may be retrieved and indexed by any category of data that 
is submitted by consumers or otherwise compiled in association with 
such records (e.g., name, subject of the complaint).

SAFEGUARDS:
    Access by FTC staff, contractors, and other system users, such as 
authorized personnel of other law enforcement agencies through a Web-
based interface, is authorized only on a need-to-know basis to those 
individuals and organizations whose responsibilities require access. 
Contractors and other non-FTC users are also required to 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. Electronic database access is controlled by ``user 
ID'' and password combination. Security tokens are also used for remote 
electronic access. 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.

RETENTION AND DISPOSAL:
    Records are retained and destroyed in accordance with schedules and 
procedures issued or approved by the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Director, Division of Planning and Information, Bureau of 
Consumer Protection, Federal Trade Commission, 600 Pennsylvania Avenue, 
NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See 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.

RECORD SOURCE CATEGORIES:
    Consumers and entities who communicate with the FTC; FTC staff and 
contractors; other law enforcement agencies and non-FTC organizations.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-IV-2

SYSTEM NAME:
    Miscellaneous Office Correspondence Tracking System Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who correspond with individual FTC offices (e.g., 
members of Congress, counsel for regulated entities, consumers); FTC 
staff assigned to or responsible for supervising, responding or taking 
other action on correspondence, assignments, or other matters that may 
also be tracked in the system.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name; matter name, number and/or description of the correspondence, 
assignment, or other matter; date of receipt or assignment, date of 
response,

[[Page 33624]]

action, or other relevant dates; FTC organization and other internal 
administrative codes.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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.)

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    When correspondence is referred to the FTC by a member of Congress, 
official committee or subcommittee, or other Government entity or 
official, the FTC may disclose to such official or authorized staff of 
such entity or official the status of the FTC's handling and processing 
of such correspondence.
    See Appendix I for other ways that the FTC can use and disclose 
these system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic records and printed reports.

RETRIEVABILITY:
    Name of corresponding or referring individual, and/or of FTC staff 
with responsibility for supervising, processing, responding or 
otherwise handling the correspondence or other matter. System records 
may also be retrieved by other system search fields or parameters not 
pertaining to an individual (e.g., matter or tracking number, date, FTC 
organization code).

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings are 
guarded and monitored by security personnel, cameras, ID checks, and 
other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and destroyed in accordance with applicable 
schedules and procedures issued or approved by the National Archives 
and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Secretary, Federal Trade Commission, 600 Pennsylvania Ave., NW., 
Washington, DC 20580. Other

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    FTC staff; incoming and outgoing correspondence; internal memoranda 
or other FTC documents.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-IV-3

SYSTEM NAME:
    National Do Not Call Registry System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. System database is maintained and operated off-site by a 
contractor. See Appendix III.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who notify the Commission that they do not wish to 
receive telemarketing calls. Individually identifiable information 
(e.g., 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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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 (e.g., 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.
    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 www.pay.gov 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    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).

PURPOSE(S):
    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

[[Page 33625]]

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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (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;
    (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 www.pay.gov 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.
    See Appendix I for other ways that the FTC can use and disclose 
these system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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 (see ``Safeguards'' below).

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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 (e.g., firewalls). Contractors are required to sign 
confidentiality and nondisclosure agreements.

RETENTION AND DISPOSAL:
    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 www.pay.gov system, Treasury/FMS.017.)

SYSTEM MANAGER(S) AND ADDRESS:
    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.
    See Treasury/FMS.017 for the system manager and address of the 
www.pay.gov system.

NOTIFICATION PROCEDURE:
    To obtain notification of whether the system contains a record 
pertaining to that individual (i.e., 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.e., 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.

RECORD ACCESS PROCEDURES:
    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. See 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.

CONTESTING RECORD PROCEDURES:
    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. See 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.

RECORD SOURCE CATEGORIES:
    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.

[[Page 33626]]

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

V. FTC Access Requests

FTC-V-1

SYSTEM NAME:
    Freedom of Information Act Requests and Appeals--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals filing requests for access to information under the 
Freedom of Information Act (FOIA); individuals named in the FOIA 
request; FTC staff assigned to help process, consider, and respond to 
such requests, including any appeals.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Communications (e.g., letters, 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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Freedom of 
Information Act, 5 U.S.C. 552.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) Request and appeal letters, and agency letters responding 
thereto, are placed on the FTC's public record and available to the 
public for routine inspection and copying. See FTC-I-6 (Public 
Records--FTC).
    (2) As required by the FOIA, records that have been ``frequently 
requested'' and disclosed under the FOIA within the meaning of that 
Act, as determined by the FTC, are made available to the public for 
routine inspection and copying. See FTC-I-6 (Public Records--FTC).
    See also Appendix I for other ways that the Privacy Act permits the 
FTC to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I. For public 
portions of this system, see the system notice for FTC-I-6.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    Requests, appeals, and responses available to the public, as 
described above. Access to nonpublic system records is restricted to 
FTC personnel or contractors whose responsibilities require access. 
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 (e.g., 
firewalls). FTC buildings are guarded and monitored by security 
personnel, cameras, ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with General 
Records Schedule 14.11-14.15, issued by the National Archives and 
Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    FOIA/PA Supervisor, Office of General Counsel, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained and agency staff 
assigned to help process, review, or respond to the access request, 
including any appeal.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records contained in this system that have been placed on the FTC 
public record are available upon request, as discussed above. However, 
pursuant to 5 U.S.C. 552a(k)(2), records in this system, which reflect 
records that are contained in other systems of records that are 
designated as exempt, are exempt from the requirements of subsections 
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See 
Sec.  4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-V-2

SYSTEM NAME:
    Privacy Act Requests and Appeals--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals filing requests for access to, correction of, or an 
accounting of disclosures of personal information contained in system 
of records maintained by the Commission, pursuant to the Privacy Act; 
FTC staff assigned to help process, consider, and respond to such 
requests, including any appeals.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Requests and other communications and documents generated or 
compiled by the FTC to process, review, and respond to the Privacy Act 
request, including any appeals.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Privacy Act, 5 
U.S.C. 552a.

PURPOSE(S):
    To process and review requests and appeals for access to, 
correction of, or an

[[Page 33627]]

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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    See Appendix I for ways that the Privacy Act permits the FTC to 
disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings 
are guarded and monitored by security personnel, cameras, ID checks, 
and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with General 
Records Schedule 14.11-14.15, issued by the National Archives and 
Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    FOIA/PA Supervisor, Office of the General Counsel, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom record is maintained and agency staff agency 
staff assigned to help process, review or respond to the request, 
including any appeal.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to 5 U.S.C. 552a(k)(2), records in this system, which 
reflect records that are contained in other systems of records that are 
designated as exempt, are exempt from the requirements of subsections 
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See 
Sec.  4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-V-3 [Deleted]

VI. FTC Mailing List Systems of Records

FTC-VI-1

SYSTEM NAME:
    Mailing and Contact Lists--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Individuals who have indicated an interest in receiving FTC 
materials or who are participants or contacts in matters under 
consideration at the FTC; other individuals who may be regular 
resources, contacts, or leads for various FTC subject matter areas or 
programs.

CATEGORIES OF RECORDS IN THE SYSTEM:
    System records contain some or all of the following: name; title; 
company or organization; mailing address; 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 (e.g., business cards), 
or other similar, miscellaneous contact and address lists.
    This system excludes mailing or contact lists or similar records 
collected or maintained under other FTC systems of records. For 
example, addresses or other contact information for individuals who 
make requests through the FTC's Consumer Response Center to be mailed 
FTC materials are covered by FTC IV-1 (Consumer Information System--
FTC). Mailing lists prepared for serving official documents in 
Commission proceedings or for other law enforcement purposes (e.g., 
administering consumer redress) are covered by FTC I-1 (Nonpublic 
Investigatory and Other Nonpublic Legal Program Records--FTC).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be compiled by or disclosed to FTC 
contractors in fulfilling requests for FTC materials or sending other 
FTC communications to individuals covered by this system.
    See Appendix I for other ways that the Privacy Act permits the FTC 
to disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Paper or electronic format. Electronic records may be stored using 
commercial software applications.

RETRIEVABILITY:
    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.

SAFEGUARDS:
    Access is restricted to FTC personnel or contractors whose 
responsibilities require access. Paper records are

[[Page 33628]]

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 (e.g., firewalls). FTC 
buildings are guarded and monitored by security personnel, cameras, ID 
checks, and other physical security measures.

RETENTION AND DISPOSAL:
    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.

SYSTEM MANAGER(S) AND ADDRESS:
    Associate Director, Division of Consumer and Business Education, 
Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC, 
20580.
    Director, Office of Public Affairs, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC, 20580.
    For all other FTC offices: Director, Records and Filings Office, 
Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, DC 
20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individuals requesting FTC information, commercial directories or 
other public sources, attendees at FTC meetings or other events, and 
staff members involved in Commission proceedings.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

VII. FTC Miscellaneous Systems of Records

FTC-VII-1

SYSTEM NAME:
    Automated Library Management System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    See Appendix I for ways that the Privacy Act permits the FTC to use 
or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. V Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic database using a commercially available software 
application.

RETRIEVABILITY:
    Indexed by periodical number, employee identification number, 
author, or other information in the system.

SAFEGUARDS:
    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 (e.g., 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.

RETENTION AND DISPOSAL:
    Records are retained and disposed of in accordance with applicable 
schedules and procedures issued or approved by the National Archives 
and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Head Librarian, Library, Federal Trade Commission, 600 Pennsylvania 
Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained; author or other 
publication data associated with the book, periodical or other 
publication; system users.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-VII-2

SYSTEM NAME:
    Employee Locator (STAFFID) System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    FTC employees, contractors, volunteers or others (e.g., students) 
working for or at the FTC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name, employee identification number, building code, office room 
number, office telephone, mail drop code, electronic mail user 
identification, default printer designation, other identification codes 
or data.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    To maintain records that will assist in locating and communicating 
with FTC employees, contractors, etc.; to identify

[[Page 33629]]

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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) To produce the FTC Directory which is used by all agency 
personnel and made available to the public; and
    (2) To provide employee locator information to the public.
    See Appendix I for other ways that the Privacy Act permits the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Indexed by individual's name, employee identification number, and 
database can also be searched by other data fields or codes.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and destroyed in accordance with applicable 
schedules and procedures issued or approved by the National Archives 
and Records Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Chief Information Officer, Infrastructure Operations, 
Office of Information Technology & Management, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained; administrative 
officers or other staff who manage the staff check-in/check-out 
process; personnel records.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-VII-3

SYSTEM NAME:
    Computer Systems User Identification and Access Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Commission employees and others (e.g., contractors) with access to 
FTC computer systems operated by the FTC or by a contractor for the 
FTC.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Name; employee identification number; organization; systems to 
which individual has access; systems and services used; amount of time 
spent using each system; number of usage sessions; cost of some usage; 
user profiles. This system includes log-in files, password files, 
system usage files when they contain records on specific users, and, 
where applicable, cost-back files used to assess charges for system 
use.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Federal 
Information Security Management Act of 2002, Pub. L. 107-347, Title 
III.

PURPOSE(S):
    To monitor and control costs of usage of computer systems; to 
prepare budget requests for automated services; to identify the need 
for and to conduct training programs; to monitor security on computer 
systems; to add and delete users; to help document and/or control 
access to computer systems, platforms, applications and databases 
(e.g., Outlook, Oracle, Business Objects); to investigate and make 
referrals for disciplinary or other action if improper or unauthorized 
use is suspected or detected.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed to contractors in 
connection with developing, maintaining, operating or servicing FTC 
computerized systems.
    See Appendix I for other ways that the Privacy Act allows the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic and paper records.

RETRIEVABILITY:
    Indexed by individual's name; employee identification number; and 
organization code, or other searchable data fields or codes.

SAFEGUARDS:
    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 password combination and/or other 
appropriate electronic access or network controls (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    See 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.

[[Page 33630]]

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Chief Information Officer, Infrastructure Operations, 
Office of Information And Technology Management, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom record is maintained; internal and external 
information systems that record usage.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-VII-4

SYSTEM NAME:
    Call Detail Records--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    FTC personnel, consultants, and contractors assigned office 
telephones, cell phones, telephone calling cards, pagers or other 
telecommunications resources.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed:
    (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
    (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.
    See Appendix I for other ways that the Privacy Act permits the FTC 
to disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Maintained in paper and/or other digital or non-digital formats.

RETRIEVABILITY:
    Indexed by office telephone number, cell phone number, pager 
number, or telephone calling card number, or individual's name.

SAFEGUARDS:
    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 (e.g., firewalls). FTC buildings 
are guarded and monitored by security personnel, cameras, ID checks, 
and other physical security measures.

RETENTION AND DISPOSAL:
    See 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Chief Information Officer, Infrastructure Operations, 
Office of Information and Technology Management, Federal Trade 
Commission, 600 Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-VII-5

SYSTEM NAME:
    Property Management System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Past and present Commission employees or others assigned 
responsibility for Commission physical resources.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.; Federal 
Property and Administrative Services Act of 1949; Pub. L. 84-863 
(1956).

PURPOSE(S):
    To maintain and control physical resources, including to document 
the assignment to and acknowledgment of individual responsibility for 
such resources; to conduct routine and

[[Page 33631]]

periodic maintenance on equipment; to maintain, confirm, and audit an 
inventory of physical resources.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed to contractors in 
connection with surveying, maintaining, or otherwise servicing or 
tracking agency physical resources.
    See Appendix I for other ways that the Privacy Act permits the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Electronic and paper records.

RETRIEVABILITY:
    Indexed by employee name, employee identification number, and 
assigned organization.

SAFEGUARDS:
    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 (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    See 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Administrative Services Office, Office of the Executive 
Director, Federal Trade Commission, 600 Pennsylvania Avenue, NW., 
Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual responsible for the equipment and staff responsible for 
maintaining the equipment.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-VII-6

SYSTEM NAME:
    Document Management And Retrieval System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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. See, e.g., FTC-I-1 (Nonpublic Investigational and Other 
Nonpublic Legal Program Records--FTC), FTC-I-6 (Public Records--FTC).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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 (e.g., 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 (e.g., memoranda, 
correspondence), and to provide for additional document management 
functions, if any.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed to contractors in 
connection with document processing, storage, disposal and similar 
records management and retrieval activities.
    See Appendix I for other ways that the Privacy Act allows the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    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.

RETRIEVABILITY:
    Indexed by author of the document, or other data fields or codes.

SAFEGUARDS:
    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 (e.g., 
firewalls). FTC buildings are guarded and monitored by security 
personnel, cameras, ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are retained and destroyed in accordance with schedules and 
procedures issued or approved by the National Archives and Records 
Administration.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Records and Filings Office, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

[[Page 33632]]

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    FTC employees and others who submit documents to the Commission.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Records contained in this system that have been placed on the FTC 
public record are available upon request or, where applicable, made 
available online. See FTC-I-6 (Public Records--FTC). However, pursuant 
to 5 U.S.C. 552a(k)(2), records in this system, which reflect records 
that are contained in other systems of records that are designated as 
exempt, are exempt from the requirements of subsections (c)(3), (d), 
(e)(1), (e)(4)(G), (H), (I), and (f) of 5 U.S.C. 552a. See Sec.  
4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-VII-7

SYSTEM NAME:
    Information Technology Service Ticket System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. System data are currently maintained off-site by an FTC 
contractor. See Appendix III.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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 (e.g., computers, 
laptops, etc.).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include name of requesting individual, organization code, 
telephone number, date of reported problem, nature of problem, and 
action taken to resolve problem.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    To record the receipt of requests for information technology (IT) 
service by the FTC's enterprise service desk (i.e., 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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be compiled and used by the FTC's 
contractors to track and fulfill IT service requests.
    See Appendix I for ways that the Privacy Act allows the FTC to use 
or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized by 5 U.S.C. 552a(b)(12) when trying to 
collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Data are entered and stored in the system electronically by the 
FTC's help desk contractor using proprietary software in a structured 
database.

RETRIEVABILITY:
    Indexed by employee name and tracking number assigned to each 
service request.

SAFEGUARDS:
    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.

RETENTION AND DISPOSAL:
    See 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Assistant Chief Information Officer for Customer Services, Office 
of Information and Technology Management, Federal Trade Commission, 600 
Pennsylvania Avenue, NW., Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained and staff who 
responded to the request for service.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.
FTC-VII-8

SYSTEM NAME:
    Administrative Service Call System--FTC.

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue, NW., Washington, 
DC 20580. See Appendix III for other locations where records may be 
maintained or accessed.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    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.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Records include name of requesting individual, organization code, 
telephone number, date of reported problem, nature of problem, and 
action taken to resolve problem.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Federal Trade Commission Act, 15 U.S.C. 41 et seq.

PURPOSE(S):
    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.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Records in this system may be disclosed to FTC contractors as 
needed

[[Page 33633]]

for purposes of fulfilling service requests.
    See Appendix I for other ways that the Privacy Act allows the FTC 
to use or disclose system records outside the agency.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None, except as authorized under 5 U.S.C. 552a(b)(12) when trying 
to collect a claim of the Government. See Appendix I.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Service call records are maintained in an electronic database using 
a commercial software application. Work orders are generated from these 
records and printed out.

RETRIEVABILITY:
    Indexed by name of requesting individual and tracking number 
assigned to each service request.

SAFEGUARDS:
    Access is restricted to agency personnel or contractors whose 
responsibilities require access. Access to electronic records is 
controlled by ``user ID'' and password combination and/or other 
appropriate electronic access and network controls (e.g., firewalls). 
FTC buildings are guarded and monitored by security personnel, cameras, 
ID checks, and other physical security measures.

RETENTION AND DISPOSAL:
    Records are to be retained for at least three months after work is 
performed or the request is cancelled. See 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.

SYSTEM MANAGER(S) AND ADDRESS:
    Director, Administrative Services Office, Office of the Executive 
Director, Federal Trade Commission, 600 Pennsylvania Avenue, NW., 
Washington, DC 20580.

NOTIFICATION PROCEDURE; RECORD ACCESS PROCEDURES; AND CONTESTING RECORD 
PROCEDURES:
    See Appendix II.

RECORD SOURCE CATEGORIES:
    Individual about whom the record is maintained and staff who 
responded to the request for service.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    None.

Appendix I

Authorized Disclosures and Routine Uses Applicable to All FTC 
Privacy Act Systems of Records

    The Privacy Act allows the FTC to disclose its Privacy Act 
records in the following ways:
    (1) Within the FTC, to FTC officers and employees who need the 
record to perform their duties;
    (2) In response to a request for public disclosure under the 
Freedom of Information Act (FOIA);
    (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;
    (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;
    (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;
    (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;
    (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;
    (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;
    (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;
    (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;
    (11) Under an order of a court of competent jurisdiction; and
    (12) To a consumer reporting agency, when trying to collect a 
claim of the Government, in accordance with 31 U.S.C. 3711(e).
    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:
    (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;
    (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;
    (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:
    (a) Indicates a violation or potential violation of law, whether 
criminal, civil, administrative, or regulatory in nature, and 
whether arising by general statute or particular program statute, or 
by regulation, rule, or order issued pursuant thereto, or
    (b) Indicates a violation or potential violation of a 
professional, licensing, or similar regulation, rule, or order, or 
otherwise reflects on the qualifications or fitness of an individual 
who is licensed or seeking to be licensed;
    (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;
    (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:
    (a) To the extent relevant and necessary in connection with 
litigation in proceedings before a court or other adjudicative body, 
where (i) the United States is a party to or has an interest in the 
litigation, including where the agency, or an agency component, or 
an agency official or employee in his or her official capacity, or 
an individual agency official or employee whom the Department of 
Justice has agreed to represent, is or may likely become a party, 
and (ii) the litigation is likely to affect the agency or any 
component thereof; or
    (b) To obtain advice, including advice concerning the 
accessibility of a record or information under the Privacy Act or 
the Freedom of Information Act;
    (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;
    (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;
    (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

[[Page 33634]]

subpoena or request has been specifically approved by a court;
    (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;
    (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
    (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.
    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.

Appendix II

How To Make A Privacy Act Request

    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.
    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:

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

    Note: 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 
(e.g., National Do Not Call Registry system).
    Contents of the written request. 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 http://ecfr.gpoaccess.gov/.
    Exempt systems. Some record systems are exempt from disclosure 
to the individual and from other requirements of the Privacy Act. 
See 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).
    Requests to correct or amend. 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 (e.g., 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.
    Privacy Act records maintained by other Federal agencies. For 
records collected and maintained by other Federal agencies, please 
contact those agencies directly or visit their Web sites to obtain 
access.

Appendix III

Locations of FTC Buildings and Regional Offices

    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:

    East Central Region
    Eaton Center, Suite 200
    1111 Superior Avenue
    Cleveland, OH 44114-2507

    Midwest Region
    55 West Monroe Street, Suite 1825
    Chicago, IL 60603-5001

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

    Northwest Region
    915 Second Avenue, Suite 2896
    Seattle, WA 98174

    Southeast Region
    225 Peachtree Street, NE., Suite 1500
    Atlanta, GA 30303

    Southwest Region
    1999 Bryan Street, Suite 2150
    Dallas, TX 75201

    Western Region--San Francisco
    901 Market Street, Suite 570
    San Francisco, CA 94103

    Western Region--Los Angeles
    10877 Wilshire Boulevard, Suite 700
    Los Angeles, CA 90024

    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 & Records Administration on the FTC's 
behalf.
    By direction of the Commission.

Donald S. Clark,
Secretary

[FR Doc. E8-13111 Filed 6-11-08: 8:45 am]
BILLING CODE 6750-01-S