[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL TRADE COMMISSION
INDEX OF SYSTEMS-CATEGORIES OF INFORMATION
System No./System name or other clarification
39 Advisory Opinions (Staff Advisory Opinion Records).
27 Assignment Control System--BCP.
37 Bachman v. Pertschuk (Individual Claims Submitted Purusant to
Consent Agreement.
01 Biographies of Commissioners and Key Staff Members.
04 Claims (Claimants Under Federal Tort Claims Act).
04 Claims (Claimants Under Military Personnel and Civilian Employees
Claims Act).
46 Clearance to Participate Applications and the Commission's Responses
Thereto.
07 Congressional Correspondence Coordination Unit Records.
08 Congressional Inquiry Files--Dallas Regional Office.
30 Consultant Files--BC.
09 Consultant Files--BCP.
11 Consumer Complaint Files--Atlanta Regional Office.
13 Consumer Complaint Files--BCP.
12 Consumer Complaint Files--Dallas Regional Office.
14 Consumer Complaint Files--Los Angeles Regional Office.
16 Consumer Complaint Files--Seattle Regional Office.
55 Consumer Education Mailing List--BCP.
17 Consumer Mailing List--Los Angeles Regional Office.
02 Correpondence Control System.
25 Correspondence Records (General).
19 Correspondence with Enforcement Division--BCP (concerning parties
subject to Commission orders).
21 Counseling Records.
10 Credit-Related Correspondence (Consumer and Industry Correspondence
Files)--BCP.
22 Disciplinary Action Investigatory Files.
54 Discrimination Complaint System.
52 Equal Employment Opportunity Statistical Reporting System.
40 Financial Interests (Statement of Employment and Financial
Interests).
23 Financial Management System.
24 Financial Statements of Commissioners.
49 Freedom of Information Act Requests and Appeals from Other Than
Government Agencies and the Commission's Responses Thereto.
I-7 Inspector General Investigative Files.
33 Investigation Files (Preliminary).
28 Investigational, Legal, and Public Records.
26 Job Applicants (Applicant Files and General Personnel Records;
Duplicate Personnel Files and Automated Records).
20 Locator System (Employee).
53 Medical Participation in Control of Certain Open-Panel Medical
Prepayment Plans Mailing List--BC.
31 Payroll Processing System.
26 Personnel (Applicant Files and General Personnel Records; Duplicate
Personnel Files and Automated Records).
41 Personnel Records (Unofficial).
51 Privacy Act Requests and Appeals.
34 Public Contact Report System--Atlanta Regional Office.
36 Public Information Mailing List--Boston Regional Office.
35 Public Information Mailing List.
15 Public Participation (Applications for Reimbursement for
Participation in Rulemaking Proceedings).
18 Redress (Consumer Redress) Lists--BCP.
32 Retirement Records (Payroll).
45 Routing (Automated Serials Routing System).
04 Tort Claims (Claimants Under Federal Tort Claims Act)
FTC-1
System name: Biographies of Commissioners and Key Staff
Members--FTC.
System location:
Office of Public Information--Room 496, Federal Trade Commission, 6th
Street and Pennsylvania Avenue NW, Washington, DC 20580.
Categories of individuals covered by the system:
Commissioners and key FTC staff members (current).
Categories of records in the system:
Contains name, biographical data (such as education, employment,
etc.), and in some cases a photograph and/or news release on the
individual's appointment.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Resource material for writing news releases and FTC publications, and
for filing requests for information from members of the media; used by
OPA staff members. (With concurrence of individual concerned,
information is prepared in biographical sketch format for release to
news media and general public upon request.)
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Written documents and glossy photographs in manila folders in lockable
file cabinet.
Retrievability:
Indexed by name.
Safeguards:
Available to public.
Retention and disposal:
Upon or shortly after departure from Commission, individual's
biographical sketch and photograph are destroyed. Photos may be given
to subject.
System manager(s) and address:
Public Information Assistant, Office of Public Affairs, Room 496,
Federal Trade Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual whose biography and/or picture is contained in the system.
FTC-2
System name: Correspondence Control System--FTC.
System location:
Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.
Categories of individuals covered by the system:
All individuals formally requesting information from, or submitting
complaints to, the FTC (including regional offices) in writing; staff
members assigned to respond to correspondence.
Categories of records in the system:
Writer's name and address; nature of inquiry or complaint, including
product and violation codes; and name of staff member(s) assigned to
respond to letter.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by headquarters and regional office staff as a management tool
for tracking correspondence coming into the FTC (including regional
offices), including keeping abreast of assignments and response
deadlines. Nonpersonal information is abstracted to provide
statistical data on the number and types of correspondence to which
the Commission responds.
Referral to person, partnership, or corporation complained about by
Commission staff or by another Federal, State, or local government
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Records are retained in the Comnet computer after a response to the
correspondence has been made, then purged from the system after the
nonpersonal data has been added to a statistical accounting file. The
nonpersonal statistical data accumulated in the computer since October
1977 is retrievable from the computer.
System manager(s) and address:
Supervisor, Correspondence Branch, Office of the Secretary, Federal
Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington,
DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained; supervisors.
FTC-3
System deleted.
FTC-4
System name: Claimants Under Federal Tort Claims Act and
Military Personnel and Civilian Employees' Claims Act-FTC.
System location:
Federal Trade Commission, Office of the General Counsel, 6th Street &
Pennsylvania Avenue, NW, Washington, DC 20580
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 traffic accidents and other incidents
in which the FTC may be liable for property damage or loss or personal
injuries.
Authority for maintenance of the system:
Federal Tort Claims Act, 28 U.S.C. 2671 et seq.; Military Personnel
and Civilian Employees' Claims Act, 31 U.S.C. 241 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To determine whether the FTC should honor claims for personal injuries
or loss or damage to property in incidents involving FTC employees.
Referral to Department of Justice, GSA, or other federal agency when
the matter comes within the jurisdiction of such agency. Discussion
and correspondence with insurance companies, with other persons or
entities that may be liable, with potential witnesses or others having
knowledge of the matter.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of a private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in manila file folders in file cabinet.
Retrievability:
The system is filed alphabetically by name of the FTC employee
involved in each incident.
Safeguards:
The files are stored in an unlocked file cabinet in the Office of the
Tort Claims officer. Access restricted to those agency personnel whose
responsibilities require access.
Retention and disposal:
The records are stored for 10 years, then destroyed.
System manager(s) and address:
Executive Director, Federal Trade Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information is obtained from claimant, FTC employee involved in
incident, other FTC employees or other persons having knowledge of the
circumstances, official police report (if any), and insurance company
representing claimant (if any).
FTC-5
System deleted.
FTC-6
System deleted.
FTC-7
System name: Congressional Correspondence Coordination Unit
Records, Office of Congressional Relations--FTC.
System location:
Congressional Correspondence Coordination Unit, Office of
Congressional Relations, Federal Trade Commission, Washington, DC
20580.
Categories of individuals covered by the system:
Members of Congress, President and Vice President.
Categories of records in the system:
Name; address; title; any other personal information in letter.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local government agencies for appropriate action when matter
complained of or inquired about comes within the jurisdiction of such
agency. Used by FTC employees and by personnel of any agency to which
the matter is referred.
Disclosure may be made to a congressional office, White House
Correspondence Office and the Vice President's Correspondence Office
from the record of an individual only when these offices make requests
on behalf of the private citizen.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom matter has been referred, when considered appropriate.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manila folders.
Retrievability:
Indexed by name of congressman, President and Vice President.
Safeguards:
Stored in lockable metal cabinets. Access restricted to those agency
personnel whose responsibilities require access.
Retention and disposal:
Transferred to Federal Records Center at end of six years.
System manager(s) and address:
Director, Office of Congressional Relations, Federal Trade Commission,
Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Congressmen.
FTC I-7
System name: Inspector General Investigative Files--FTC.
Security classification:
Not applicable.
System location:
Office of the Inspector General (OIG), Federal Trade Commission, 6th
Street and Pennsylvania Avenue NW, Washington, DC 20580.
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; agents or employees of
contractors or subcontractors, as well as contractors and
subcontractors in their personal capacity, where applicable; and other
individuals whose actions affect the Commission, its programs or
operations. Businesses, proprietorships, or corporations are not
covered by this system.
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,
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 or suspected criminal, civil,
or administrative violations or similar wrongdoing by subject
individuals.
Authority for maintenance of the system:
Inspector General Act Amendments of 1988, Pub. L. No. 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 Commission 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 any 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:
In addition to the disclosures generally permitted under 5 U.S.C.
552a(b), these records or information in these records may
specifically be disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows,
provided that no routine use specified herein shall be construed to
limit or waive any other routine use specified herein:
(1) 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;
(2) 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;
(3) 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 purposes of granting a security
clearance, or for making a determination of qualifications,
suitability, or loyalty to the United States Government, or access to
classified information or restricted areas, or
(c) Where the records or information in those records are relevant and
necessary to a decision with regard to the hiring or retention of an
employee or disciplinary or other administrative action concerning an
employee, or
(d) Where disclosure is requested in connection with the award of a
contract or other determination relating to a government procurement,
or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the record is relevant and
necessary to the requesting agency's decision on the matter,
including, but not limited to, disclosure to any Federal agency
responsible for considering suspension or debarment actions where such
record would be germane to a determination of the propriety or
necessity of such action, or disclosure to the United States General
Accounting Office, the General Services Administration Board of
Contract Appeals, or any other Federal contract board of appeals in
cases relating to an agency procurement;
(4) 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 reviews of civil service or merit
systems or affirmative action programs;
(5) To independent auditors or other private firms with which the
Office of Inspector General has contracted to carry out an independent
audit or investigation, or to analyze, collate, aggregate or otherwise
refine data collected in the system of records, subject to the
requirement that such contractors shall maintain Privacy Act
safeguards with respect to such records;
(6) To any authorized agency component of the Federal Trade
Commission, the Department of Justice, or other law enforcement
authorities, and for disclosure by such parties
(a) To the extent relevent 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) For purposes of obtaining advice, including advice concerning the
accessibility of a record or information under the Privacy Act or the
Freedom of Information Act;
(7) To the National Archives and Records Administration for records
management inspections conducted under authority of 44 U.S.C. 2904 and
2906;
(8) To a Congressional office from the record of a subject individual
in response to an inquiry from the Congressional office made at the
request of the individual, but only to the extent that the record
would be legally accessible to that individual;
(9) To any 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;
(10) 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;
(11) 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
subpoena or request has been specifically approved by a court; or
(12) 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The OIG Investigative Files consist of paper records maintained in
file folders and data maintained on computer diskettes. The folders
and diskettes are stored in file cabinets in the OIG.
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:
Records are maintained in lockable metal file cabinets in lockable
rooms. Access is restricted to individuals whose duties require access
to the records. File cabinets and rooms are locked during non-duty
hours.
Retention and disposal:
The OIG Investigative Files are kept indefinitely.
System manager(s) and address:
Inspector General, Federal Trade Commission, 6th Street & Pennsylvania
Ave., NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Deputy Executive Director for Planning and Information,
Federal Trade Commission, 6th Street & Pennsylvania Ave., NW,
Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Employees or other individuals on whom the record is maintained, non-
target witnesses, Commission and non-Commission records, to the extent
necessary to carry out OIG investigations authorized by 5 U.S.C. app.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j)(2), records in this system are exempt
from the provisions of 5 U.S.C. 552a, 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 the
system of records relates in any way to the enforcement of criminal
laws.
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 purpose, other than material within the scope of the
exemption at 5 U.S.C. 552a(j)(2).
See FTC Rules of Practice section 4.13(m), 16 CFR 4.13(m), as amended.
FTC-8
System name: Congressional Inquiry Files, Dallas Regional
Office--FTC.
System location:
Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas
75201.
Categories of individuals covered by the system:
Constituents who have written their congressional representatives for
aid in resolving consumer problems, and Members of Congress.
Categories of records in the system:
Contains consumer letters, letters from Members of Congress
transmitting the complaints, FTC's acknowledgement of the complaints,
and FTC's replies to the congressional representatives.
Authority for maintenance of the system:
FTC Administrative Manual, 1-201.1; Federal Records Act, Section
506(a); GSA Regulations (Sec. 101-11.209-3); Federal Trade Commission
Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state or local governmental
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of a private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained generally on letterhead forms.
Retrievability:
Indexed by name of Member of Congress.
Safeguards:
Records are maintained in a file cabinet locked by key. Access
restricted to those agency personnel whose responsibilities require
access.
Retention and disposal:
Records are retained for 6 months, then destroyed.
System manager(s) and address:
Regional Director, Federal Trade Commission, Dallas Regional Office,
2001 Bryan Tower, Suite 2665, Dallas, Texas 75201.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained, Members of Congress.
FTC-9
System name: Consultant Files, Division of Advertising
Practices, Bureau of Consumer Protection--FTC.
System location:
Bureau of Consumer Protection, Federal Trade Commission, Star
Building, Rm. 6414A, 1101 Pennsylvania Ave., NW, Washington, DC 20580.
Categories of individuals covered by the system:
Consultants consisting of experts in various fields, including medical
and scientific.
Categories of records in the system:
Contains name, curriculum vitae, resume of employment, lists of
publications in field, copies of application forms submitted to FTC.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Identification of medical doctors, scientists and other experts who
are available on a consultant basis to advise professional staff
members of the Bureau of Consumer Protection. Used by staff members of
the Bureau of Consumer Protection.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of a private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Letter-size files in regulation cabinet.
Retrievability:
Indexed by name:
Safeguards:
Secured as are other files by locking of office door at night.
Building guard stationed at building entrance. Access restricted to
those agency personnel whose responsibilities require access.
Retention and disposal:
Maintained indefinitely for future reference.
System manager(s) and address:
Administrative Officer, Division of Advertising Practices, Federal
Trade Commission, Star Building--Room 6414A, 1101 Pennsylvania Avenue,
NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained.
FTC-10
System name: Consumer and Industry Correspondence Files,
Division of Credit Practices; Bureau of Consumer Protection--FTC.
System location:
Division of Credit Practices, 633 Indiana Avenue, NW, Washington, DC
20580.
Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.
Categories of individuals covered by the system:
Consumer and industry correspondence.
Categories of records in the system:
Correspondence.
Authority for maintenance of the system:
Federal Trade Commission Act, Truth in Lending Act, Fair Credit
Reporting Act, Equal Credit Reporting Act, Equal Credit Opportunity
Act, Fair Credit Billing Act and Fair Debt Collection Practices Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of a private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in folders, on credit documents coding forms, and on disc.
Retrievability:
Folders are indexed by name--usually corporate name. Computer
retrievability of the credit document coding form by consumer name,
industry name, statute, Equal Credit Opportunity Act categories and
statutory violation section.
Safeguards:
Maintained in file cabinets. Access restricted to those agency
personnel whose responsibilities require access.
Retention and disposal:
Selected statutory correspondence maintained indefinitely; other
materials retained for a minimum of 3 years, then destroyed.
System manager(s) and address:
Associate Director for Credit Practices, Bureau of Consumer
Protection, 633 Indiana Avenue, NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual.
FTC-11
System name: Consumer Complaint Files, Atlanta Regional Office--
FTC.
System location:
Atlanta Regional Office, 1718 Peachtree Street, NW, Room 1000,
Atlanta, Georgia 30309.
Categories of individuals covered by the system:
Members of the general public.
Categories of records in the system:
Consists of letters from individuals filing complaints as to
unsatisfactory commercial transactions and practices of various firms,
businesses and individuals. System also includes a complaint log
identifying party complained of and individual complaints.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in letter-size file folders.
Retrievability:
Filed alphabetically by name.
Safeguards:
Filed in metal file cabinet. Office locked when unattended. Access
restricted to those agency personnel whose responsibilities require
access.
Retention and disposal:
Retained for a minimum of one year and destroyed by delivering to and
placing the material in local government-operated incinerator.
System manager(s) and address:
Regional Director, Atlanta Regional Office, 1718 Peachtree Street, NW,
Room 1000, Atlanta, Georgia 30309.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
From individual members of the public and occasionally from other
federal or state agencies.
FTC-12
System name: Consumer Complaint File, Dallas Regional Office--
FTC.
System location:
Federal Trade Commission, Dallas Regional Office, 2001 Bryan Tower,
Suite 2665, Dallas, Texas 75201.
Categories of individuals covered by the system:
Individuals who have filed complaints or requested information.
Categories of records in the system:
Contains name and location of company complained about, violation,
date complaint was received, and correspondence number.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To identify companies complained about, number of complaints received
on a company, and to identify problems in a particular industry. To
respond to correspondence.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom matter has been referred, when considered appropriate.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders filed numerically. Indexed and stored on NBI 3000 word
processor.
Retrievability:
Retrieval is by violation code, product code, complainant's name,
state, and the name of the company the complaint was filed against.
Safeguards:
Stored in lockable file cabinets and on NBI. Access restricted to
those agency personnel whose responsibilities require access.
Retention and disposal:
Records are retained for 2 years in the Dallas regional office, then
destroyed.
System manager(s) and address:
Regional Director, Dallas Regional Office, 2001 Bryan Tower, Suite
2665, Dallas, Texas 75201.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual filing complaint.
FTC-13
System name: Consumer Complaint Files, Division of Marketing
Practices; Bureau of Consumer Protection--FTC.
System location:
Division of Marketing Practices, Bureau of Consumer Protection,
Federal Trade Commission, Washington, DC 20580.
Categories of individuals covered by the system:
Persons associated with, affiliated with, or representing the
businesses involved in the alleged practices. Persons affected by the
business or its alleged practices.
Categories of records in the system:
Name; address; transaction history with persons, partnerships or
corporations.
Authority for maintenance of the system:
Section 5 of the Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in folders, on franchise coding forms, and on disc.
Retrievability:
Indexed by name, company involved, alleged practice, names of persons
associated with, affiliated with, or representing the business
involved in the alleged practices, names of persons affected by the
business or its alleged practices, source of contact, type of
franchise, method of promotion, state of violation, product name,
product category, source, victim, accession number, location number,
types of violations, amounts of initial fees.
Safeguards:
Filing cabinets in secure buildings, computer ID required to enter
computer system, computer job control language required to activate
data, computer passwork required to open file. Access to computer
system and filing cabinets restricted to those agency personnel whose
responsibilities require access.
Retention and disposal:
Records maintained until enforcement action is final and then removed
to GSA for permanent storage.
System manager(s) and address:
Associate Director for Marketing Practices, Bureau of Consumer
Protection, Federal Trade Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20570.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Consumer; federal, state or local enforcement agencies; private
organizations (e.g., Better Business Bureaus, consumer hot lines) that
receive consumer complaint letters.
FTC-14
System name: Consumer Complaint Files, Los Angeles Regional
Office--FTC.
System location:
Federal Trade Commission, Los Angeles Regional Office,11000 Wilshire
Boulevard, Room 13209, Los Angeles, California 90024.
Categories of individuals covered by the system:
Individuals who submit complaints against companies, practices,
individuals in the Los Angeles Office area.
Categories of records in the system:
Name; address; information about the practices, activities, and
policies of organizations or individuals submitted by various
complainants.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local government
agency to whom matter has been referred, when considered
appropriate.Disclosure may be made to a congressional office from the
record of an individual only when the congressional office makes the
request on behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed in log book by name of complainant.
Safeguards:
Stored in file cabinets. Access restricted to those agency personnel
whose responsibilities require access.
Retention and disposal:
Retained for one year, then destroyed.
System manager(s) and address:
Assistant Regional Director, Federal Trade Commission, Los Angeles
Regional Office, 11000 Wilshire Boulevard, Room 13209, Los Angeles,
California 90024.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Consumers and business complainants.
FTC-15
System name: Application for Reimbursement for Participation in
Rulemaking Proceedings--FTC.
System location:
Information Division, Office of the Secretary, Federal Trade
Commission, 6th Street & Pennsylvania Avenue, NW, Washington, DC
20580.
Director, Division of Budget and Finance, Federal Trade Commission,
Room 774, 6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Authority for maintenance of the system:
Section 18(h) of the Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by the Division of Budget and Finance to prepare audit reports on
applicant's use of approved funding.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All material submitted by applicants, related correspondence, and all
determinations by the General Counsel are placed on the public record
(1) in the rulemaking record, and (2) in binders devoted solely to
such applications.
The information is stored in binders on the public record in the
Public Reference Room; duplicate and related internal memoranda stored
in file folders in the Division of Budget and Finance.
Retrievability:
Filed under title of rulemaking proceeding and indexed by name of
applicant.
Safeguards:
Maintained in lockable offices; requests for funding and responses
thereto available to public.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Secretary, Federal Trade Commission (Address same as System Location).
Director, Division of Budget and Finance, Federal Trade Commission
(Address same as System Location).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580. In order
for personal information in this system to be retrieved, a request
must specify the title of the rulemaking proceeding.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual applicant and commenting third parties, if any.
FTC-16
System name: Consumer Complaint Letters, Seattle Regional
Office--FTC.
System location:
Federal Trade Commission, Seattle Regional Office, 2840 Federal
Building, 915 Second Avenue, Seattle, Washington 98174.
Categories of individuals covered by the system:
Those persons who direct a consumer complaint or request for
assistance or information to the Seattle Regional Office; those
forwarding a complaint from a consumer such as a member of the media
or another federal, state or local agency; individuals against whom
complaints are received.
Categories of records in the system:
Name; address; nature of the consumer's complaint; the name and
location of the party complained of; and the supporting documents,
where provided.
Authority for maintenance of the system:
Federal Trade Commission Act; FTC Operating Manual provides for
processing of consumer complaints.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any law enforcement
or other action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local government
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained alphabetically by company name in file cabinet.
Retrievability:
Alphabetically by name of company complained of.
Safeguards:
Files are maintained in folders in a file cabinet; responsibility of
file clerk. Access restricted to those agency personnel whose
responsibilities require access.
Retention and disposal:
Held two years, then destroyed.
System manager(s) and address:
Regional Director, Seattle Regional Office, 2840 Federal Building, 915
Second Avenue, Seattle, Washington 98174.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Those consumers who have submitted a complaint or a request for
assistance or information.
FTC-17
System name: Consumer Mailing List, Los Angeles Regional
Office--FTC.
System location:
Federal Trade Commission, Los Angeles Regional Office, 11000 Wilshire
Boulevard, Room 13209, Los Angeles, California 90024.
Categories of individuals covered by the system:
Individuals who have requested publications from the Los Angeles
Regional Office and individuals who receive local Call for Comment.
Categories of records in the system:
Name; mailing address; and business title, if any.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used to mail Los Angeles Regional Office publications, FTC
publications, and local Call for Comment to listed names. Used by
Regional Office personnel.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Daconics magnetic disc.
Retrievability:
By name.
Safeguards:
Daconics disc storage. Access restricted to those agency personnel
whose responsibilities require access.
Retention and disposal:
By disc erasure when consumer no longer desires publications or local
Call for Comment. List is revised at least annually.
System manager(s) and address:
Assistant Director, Federal Trade Commission, Los Angeles Regional
Office, 11000 Wilshire Boulevard, Room 13209, Los Angeles, California
90024.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-18
System name: Consumer Redress Lists, Enforcement Division,
Bureau of Consumer Protection--FTC.
System location:
Enforcement Division, Bureau of Consumer Protection, Federal Trade
Commission, 600 E Street NW, Rm. 801, Washington, DC 20580.
Categories of individuals covered by the system:
Consumers entitled to redress pursuant to Commission or court order.
Categories of records in the system:
Name, address, and other information pertinent to identifying
consumers qualifying for consumer redress in specific proceedings.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To identify consumers qualifying for consumer redress pursuant to
Commission or court order. Used by Enforcement Division personnel,
other FTC personnel, and personnel of other Federal agencies
participating in proceedings involving consumer redress.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manila file folders and computer terminal.
Retrievability:
Indexed by name.
Safeguards:
Access restricted to those agency personnel whose responsibilities
require access.
Retention and disposal:
Records maintained until consumer redress is completed, then disposed
of.
System manager(s) and address:
Associates Director for Enforcement, Division of Enforcement, Bureau
of Consumer Protection, Federal Trade Commission, 600 E Street NW, Rm.
801, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580. In order
for personal information in this system to be retrieved, a request
must specify the name of the firm or proceeding.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Affected consumers and other members of the public, persons,
partnerships, or corporations subject to consumer redress orders.
FTC-19
System name: Correspondence With Enforcement Division, Bureau of
Consumer Protection, Concerning Parties Subject to Commission
Orders--FTC.
System location:
Enforcement Division, Bureau of Consumer Protection, Federal Trade
Commission, 600 E Street, NW, Rm. 801, Washington, DC 20580.
Categories of individuals covered by the system:
Persons corresponding with Enforcement Division concerning parties
subject to Commission orders.
Categories of records in the system:
Correspondence.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to correspondence. To determine whether any further law
enforcement or other action by FTC may be warranted. Referral to other
federal, state, or local governmental agencies for appropriate action
when the matter complained of or inquired about comes within the
jurisdiction of such agency. Used by FTC employees and by personnel of
any agency to which the matter may be referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom the matter was been referred, when considered
appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manila file folders.
Retrievability:
Indexed by name of the respondent within file of each compliance
matter.
Safeguards:
Access restricted to those agency personnel whose responsibilities
require access.
Retention and disposal:
Records maintained indefinitely in the Enforcement Division or shipped
to the Legal and Public Records Division of FTC for permanent storage.
System manager(s) and address:
Associate Director of Enforcement (Address same as System Location).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580. In order
for personal information in this system to be obtained, a request must
specify the name of the firm or proceeding.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals corresponding with Enforcement Division.
FTC-20
System name: Employee Locator System--FTC.
System location:
Federal Trade Commission, Room 120, 6th Street & Pennsylvania Avenue,
NW, Washington, DC 20580.
Categories of individuals covered by the system:
Current FTC employees.
Categories of records in the system:
Name; employee number; building code and room number; office telephone
number; correspondence code; contact code; mail drop code.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used to produce FTC telephone directory used by all agency personnel,
and mail locator listings used by mail room personnel; used by library
staff to ascertain an employee's identification number for subsequent
use in retrieving information from the Automated Serials Routing
System (FTC-45).
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disc and tape.
Retrievability:
By name or employee number.
Safeguards:
Access restricted to those agency personnel with knowledge of the
computer password for the system.
Retention and disposal:
Information is continuously updated; obsolete data is erased from
system.
System manager(s) and address:
Chief, Facilities Management Section, Division of Administrative
Services, Federal Trade Commission, 6th Street and Pennsylvania
Avenue, NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained, administrative officers.
FTC-21
System name: Counseling Records--FTC.
System location:
Division of Personnel, Federal Trade Commission, Washington, DC 20580.
Categories of individuals covered by the system:
Current employees of the Federal Trade Commission.
Categories of records in the system:
(a) Upward Mobility: Individual Development Plan and counseling notes;
(b) Professional Training: Individual Development Plan and counseling
notes; (c) Executive Development: Individual Development Plan and
counseling notes; (d) Employee Relations: Counseling notes, unofficial
memoranda about or given to employee concerning problems(s) which
arises; (e) Debt Letters: Letters from creditors about debts owed by
current employees and copies of employee responses.
Authority for maintenance of the system:
5 U.S.C. Chapter 41; Executive Order 11348; EEO Act 1972; Executive
Order 11478; Title 5 U.S.C. 735.207; Executive Order 9830; 5
U.S.C.230.101; Federal Personnel Manual Chapter 250.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Upward Mobility, Professional Training and Executive Development--Used
by program director or others whose official duties require such
information to provide a record of employee goals and objectives and
classes needed to attain those objectives and to maintain a record of
courses taken.
Employee Relations and Debt--Used by Employee Relation Specialist or
others whose official duties require such information. Information
provides a record of counseling provided and resolution of problem(s).
If the problem results in a disciplinary action, information in file
may become part of an official record.
Referral to the Office of Personnel Management concerning pay,
benefits, retirement deductions, and other information necessary for
the Commission to carry out its governmentwide personnel management
functions.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in manila folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are stored in lockable metal file cabinets. Access to and use
of these records is limited to those persons whose official duties
require such access.
Retention and disposal:
Destroyed upon completion of the program (Upward Mobility,
Professional and Executive Development Programs) or upon employee's
separation from the agency (Employee Relations and Debt Counseling).
System manager(s) and address:
Director of Personnel, Federal Trade Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual to whom the records pertain, supervisor, program manager,
counselor.
FTC-22
System name: Disciplinary Action Investigatory Files--FTC.
System location:
Office of the Executive Director, Federal Trade Commission, 6th Street
& Pennsylvania Avenue, NW, Washington, DC 20580.
Categories of individuals covered by the system:
FTC personnel, counsel for parties under investigatory or adjudicatory
proceedings, and others participating in FTC matters subject to
investigation for possible improper or unethical conduct.
Categories of records in the system:
Name, address, current employment status, subject matter of
investigation.
Authority for maintenance of the system:
Federal Trade Commission Act; Executive Order No. 10450.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Determination of whether disciplinary action, including suspension or
disbarment from practice before Commission, is warranted; could
include transfer of information to Office of Personnel Management, to
a court, or a bar association. Used by agency personnel assigned to
investigate and handle matter and by personnel of other agencies,
court, or bar association to whom matter is referred.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in standard letter-size file cabinets, in Record Center
Storage Containers, on microfilm or microfiche.
Retrievability:
Indexed by individual name, company name, industry investigation
title, file or docket number.
Safeguards:
Unlocked file cabinets with normal building security, record center
storage and security. Access restricted to National Archives;
remainder destroyed by shredding or burning. Docket records retained
five years and then transferred to National Archives.
System manager(s) and address:
Supervisor, Records Management Branch, Office of the Secretary,
Federal Trade Commission, 6th Street & Pennsylvania Avenue, NW,
Washington, DC 20580.
Notification procedure:
Records in this system are generally exempt from mandatory disclosure
under 5 U.S.C. 552a(k)(2). However, some individual records may be
disclosable, and access to them may be requested by mailing or
delivering a written request bearing the individual's name, return
address, and signature, addressed as follows: Privacy Act Request,
Office of the Executive Director, Federal Trade Commission, 6th Street
& Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained, complainants, informants,
witnesses, and Commission personnel having knowledge or providing
analysis of matter.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C.552a(k)(2), records in this system generally are
exempt from the requirements of subsections (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a. See section 4.13(m)
of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-23
System name: Financial Management System--FTC.
System location:
Division of Budget and Finance, Federal Trade Commission, 6th Street &
Pennsylvania Avenue, NW, Washington, DC 20580.
Categories of individuals covered by the system:
FTC personnel who travel or otherwise might be involved in
reimbursement of expenses situations.
Categories of records in the system:
Contains names and employee number or social security number of person
involved in travel or otherwise reimbursed for expenses conducted in
performances of official duties of FTC. Information relating to travel
expenses.
Authority for maintenance of the system:
5 U.S.C. Chapter 57.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Identification and retrieval for use in financial reports of FTC.
Recording information relating to expenses incurred by FTC personnel
in performance of official duties.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer hardcopy listing; computerized tape vendor file.
Retrievability:
Indexed by name and employee number.
Safeguards:
Records are maintained in division files and computer file; access
limited to Budget and Finance personnel.
Retention and disposal:
Retained per GSA Archives schedule of retention and disposal.
System manager(s) and address:
Director, Division of Budget and Finance (Same address as System
Location).
Notification procedure:
Records in this system are generally exempt from mandatory disclosure
under 5 U.S.C. 552a(k)(2). However, some individual records may be
disclosable, and access to them may be requested by mailing or
delivering a written request bearing the individual's name, return
address, and signature, addressed as follows: Privacy Act Request,
Office of the Executive Director, Federal Trade Commission, 6th Street
& Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained, complainants, informants,
witnesses, and Commission personnel having knowledge or providing
analysis of matter.
Record source categories:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system generally are
exempt from the requirements of subsections (c)(3), (d), (e)(1),
(3)(4) (G), (H), and (I), and (f) of 5 U.S.C. 552a. See section
4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-24
System name: Financial Statements of Commissioners-Elect-FTC.
System location:
Office of General Counsel, Rm. 568, Federal Trade Commission,
Washington, DC 20580.
Categories of individuals covered by the system:
FTC Commissioners-elect.
Categories of records in the system:
Financial statements of Commissioners-elect: Lists of personal
property, stocks, bonds, indebtedness, etc.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Reviewed for adequacy of disclosure and potential conflict of interest
purposes when a new Commissioner-elect requests assistance with his/
her financial statements. Used by the General Counsel and his staff.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in legal-size accordion folders.
Retrievability:
Indexed by name.
Safeguards:
Maintained in a metal locked cabinet in GC's secretary's office.
Access restricted to those agency personnel whose responsibilities
require access.
Retention and disposal:
Held since 1970. Retention indefinite.
System manager(s) and address:
General Counsel, Federal Trade Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-25
System name: General Correspondence Records--FTC.
System location:
Office of the Secretary, Correspondence Branch, Federal Trade
Commission, Room 701, 6th and Pennsylvania Avenue NW, Washington, DC
20580.
Categories of individuals covered by the system:
Consumers; individuals; public officials; company and corporation
officers; attorneys; members of consumer groups, student groups, and
committees.
Categories of records in the system:
Letters of complaint, inquiry, comment, petitions, and/or
communications concerning FTC actions and activities.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To respond to previous correspondence. To determine whether any law
enforcement action by FTC may be warranted. Referral to other federal,
state, or local governmental agencies for appropriate action when
matter complained of or inquired about comes within the jurisdiction
of such agency. Used by FTC employees and by personnel of any agency
to which the matter is referred.
Referral to person, partnership, or corporation complained about by
Commission staff or by another federal, state, or local governmental
agency to whom matter has been referred, when considered appropriate.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Legal-size standard file cabinets.
Retrievability:
Indexed by correspondent's name on computer printout.
Safeguards:
Unlocked file cabinets. Office security: Blue seal locked doors.
Access restricted to those agency personnel whose responsibilities
require access.
Retention and disposal:
Copies of correspondence and correspondent index are retained for 1
year from date of receipt by Correspondence Branch.
System manager(s) and address:
Supervisor, Correspondence Branch, Office of the Secretary, Federal
Trade Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained.
FTC-26
System name: Applicant Files and General Personnel Records
(Official Personnel Folder and Records Related Thereto): Duplicate
Personnel Files and Automated Records-FTC.
System location:
Automated Records:
Division of Personnel
Federal Trade Commission
Washington, DC 20580
Comnet, Inc.
5185 MacArthur Blvd.
Washington, DC 20016
Duplicate Records:
Federal Trade Commission
6th Street & Pennsylvania Avenue, NW
Washington, DC 20580
Atlanta Regional Office
1718 Peachtree Street, NW, Room 1000
Atlanta, Georgia 30309
Boston Regional Office
150 Causeway Street
Boston, Massachusetts 02114
Chicago Regional Office
55 East Monore Street
Chicago, Illinois 60603
Cleveland Regional Office
Suite 500, Mall Building
118 Saint Clair Avenue
Cleveland, Ohio 44114
Dallas Regional Office
2001 Bryan Street, Suite 2665
Dallas, Texas 75201
Denver Regional Office
1405 Curtis Street
Suite 2900
Denver, Colorado 80202
Los Angeles Regional Office
13209 Federal Building
11000 Wilshire Boulevard
Los Angeles, California 90024
New York Regional Office
2243-EB Federal Building
26 Federal Plaza
New York, New York 10007
San Francisco Regional Office
450 Golden Gate Avenue
San Francisco, California 94102
Seattle Regional Office
28th Floor, Federal Building
915 Second Avenue
Seattle, Washington 98174
Categories of individuals covered by the system:
Current Federal Trade Commission employees and applicants for
vacancies.
Categories of records in the system:
This system consists of a variety of records relating to personnel
action determinations made about applicants or individual while
employed in the federal service. These records contain information
about an individual relating to birth date; social security number;
verteran's preference; tenure; handicap; past and present job
salaries, grades and position titles; position control information;
letters of commendation, reprimand, charges, and decision on charges;
notice of reduction-in-force; locator files; personnel actions,
including but not limited to, appointment, reassignment, demotion,
detail, promotion, transfer, and separation; training; minority group
designator; records relating to life insurance, health benefits, and
designation of beneficiary; performance rating; data documenting the
reasons for personnel actions or decisions made about an individual;
awards; and other information relating to the status of the
individual.
Authority for maintenance of the system:
Title 5 U.S.C. 1302, 2951, 4118, 4305, 4506, and Executive Order
10561.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information or a record may be used:
a. By agency officials for purposes of review in connection with
appointments, transfers, promotions, reassignments, adverse actions,
disciplinary actions, and determination of qualification of an
individual.
b. By the Office of Personnel Management for purposes of making a
decision when a federal employee or former federal employee is
questioning the validity of a specific document in an individual's
record.
c. By the district courts to render a decision when an agency has
refused to release to current or former federal employees a record
under the Freedom of Information Act.
d. To provide information to a prospective employer of a government
employee or former federal employee at the individual's request.
e. To provide data for the automated Center Personnel Data File.
f. To provide data on adverse actions, terminations, and for Security
Investigation Index on New Hires.
g. To provide statistical reports to Congress, agencies, and the
public on characteristics of the federal work force.
h. To provide information or disclose to a federal agency, in response
to its request, in connection with the hiring or retention of an
employee, the letting of a contract, or issuance of a license, grant,
or other benefit by the requesting agency, to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter.
i. To request information from a federal, state, or local agency
maintaining civil, criminal, or other relevant enforcement or other
pertinment information, such as licenses, if necessary to obtain
relevant information or other pertinent information to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance the letting of a contract, or the
issuance of a license, grant, or other benefit.
j. To refer, where there is an indication of a violation or potential
violation of the law, whether civil, criminal, or regulatory in
nature, to the appropriate agency, whether federal, state or local,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation, or order issued pursuant thereto.
k. As a data source for management information for promotion of
summary descriptive statistic and analytical studies in support of the
related personnel management functions of human resource studies; may
also be utilized to locate specific individuals for personnel research
or other personnel management functions.
l. Disclosed to health insurance carriers or plans participating in
Federal Employee's Health Benefits Program in support of a claim for
health insurance benefits.
m. Disclosed to the Department of Labor; Veterans Affairs Department;
Department of Defense; Federal agencies which may have special
civilian employee retirement programs; national, state, county,
municipal, or other publicly recognized charitable or Social Security
Administration agency to adjudicate a claim for benefits under OPM's
Bureau of Retirement, Insurance, and Occupational Health or the
recipient's benefit program(s), or to conduct an analytical study of
benefits being paid under such program.
n. Disclosed to educational institutions for training purposes.
o. Disclosed to the Office of Management and Budget at any stage in
the legislative coordination and clearance process in connection with
private relief legislation as set forth in OMB Circular No. A-19.
p. Disclosed to officials of foreign governments for clearance before
employee is assigned to that country.
q. Disclosed to Federal Employee's Group Life Insurance Program in
support of an individual's claim for life insurance.
r. Disclosed to labor organizations in response to requests for names
of employees and identifying information.
s. Disclosed to officials of labor organizations recognized under
Executive Orders 11636 and 11491, as amended, when relevant and
necessary to their duties of exclusive representation concerning
personnel policies, practices and matters affecting working
conditions.
t. Disclosed in response to a request for discovery or for appearance
of a witness, if relevant to the subject matter involved in a pending
judicial or administrative proceeding.
u. Disclosed for any routine use noted in the Office of Personnel
Management Act Notice for this system of records. See 44 FR 30882
(1979).
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders, magnetic tapes, and punched
cards.
Retrievability:
Records are indexed by any combination of name, birth date, social
security number, or identification number.
Safeguards:
Duplicate files--Records are located in lockable metal file cabinets
or in metal file cabinets in secured rooms with access limited to
those whose official duties require access. Automated files--
Restricted password to access data.
Retention and disposal:
Duplicate files--The Official Personnel Folder (OPF) is retained
indefinitely. The OPF is sent to the National Personnel Records Center
within 30 days of the date of the employee's separation from the
Federal service. Some records such as letters of reprimand,
indebtedness, and vouchers are maintained for 2 years or destroyed
when an individual resigns, transfers, or is separated from the
federal service. Automated files--Files of individuals are erased
after they leave the FTC; only statistical turnover information is
retained.
System manager(s) and address:
Duplicate file--Regional Director, Regional Office (see name and
address of regional office listed in location above). Automated
records--Director of Personnel, Division of Personnel, Federal Trade
Commission, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information in this system of records comes either from the individual
to whom it applies or is derived from information he/she supplied,
except information provided by agency officials.
FTC-27
System name: Assignment Control System, Bureau of Consumer
Protection--FTC.
System location:
Federal Trade Commission, Bureau of Consumer Protection, 6th Street
and Pennsylvania Ave., NW, Washington, DC 20580.
Categories of individuals covered by the system:
Professional staff of the Bureau of Consumer Protection.
Categories of records in the system:
Control number, subject and status, staff attorney, Office of the
Director liaison, staff deadline, Office of the Director liaison
deadline, Office of the Director deadline, and completion date.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by the Bureau Director, Deputy Directors, Regional Directors,
Assistant Directors, and Assistants to the Director for management
purposes and recording and tracking all internal assignments.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in the computer--Four Phase System.
Retrievability:
By attorney name, control number, and organization code.
Safeguards:
Distribution of reports restricted to agency personnel whose
responsibilities require access.
Retention and disposal:
Retained indefinitely.
System manager(s) and address:
Records Division, Bureau of Consumer Protection, Room 485, Federal
Trade Commission, 6th & Pennsylvania Avenue, NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Assignments under the responsibility of the Bureau of Consumer
Protection, and information and instructions from the staff.
FTC-28
System name: Investigational, Legal, and Public Records--FTC.
System location:
Records Division, Federal Trade Commission, 6th Street and
Pennsylvania Avenue, NW, Washington, DC 20580 (Record Center,
Suitland, Maryland).
Categories of individuals covered by the system:
Respondents, proposed respondents, and others in Commission
investigations and law enforcement proceedings; parties requesting
formal advisory opinions.
Categories of records in the system:
Name and some or all of the following: Address; company affiliation;
age; date of birth; place of birth; employment; financial, credit, and
personal history background in the records contained in this system.
This system is composed of the following files: Formal investigation
files; docketed and consent matters; assurances of voluntary
compliance; and advisory opinions; but is limited to those files from
which personal information is retrieved by the name of an individual
or other identifying particular assigned to the individual.
Authority for maintenance of the system:
Federal Trade Commission Act and Executive Order 10450.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
For use by Commission staff in investigative and adjudicative
proceedings, enforcement actions, penalty proceedings, enforcement of
compliance orders, issuance of complaints, negotiation of consent
orders, issuance of cease and desist orders, and advisory opinions.
Referral to Federal, State, or local government authorities for
investigation and possible criminal prosecution, civil action or
regulatory order. Used by Commission staff assigned to, reviewing, or
supervising matter; used by Commission personnel with recordkeeping,
managerial, and budgeting responsibilities; used by personnel of other
agencies to whom a matter is referred.
Referral to experts, when considered appropriate by Commission staff.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on standard legal- and letter-size paper; mag-card tapes;
microfilm; and microfiche.
Retrievability:
Indexed by respondent's or correspondent's name; company name;
industry investigation title; FTC internal 7-digit or 4-digit
investigation number; or complaint assigned number.
Safeguards:
Metal legal- and letter-size file cabinets; official records center
containers. Access restricted to those agency personnel whose
responsibilities require access.
Retention and disposal:
Retained at FTC office for 5 years, after which transferred to
National Archives and Federal Records Center, Suitland, Maryland.
Investigatory files, except history portions, destroyed after 5 years.
System manager(s) and address:
Supervisor, Records Management Branch, Office of the Secretary,
Federal Trade Commission, 6th Street & Pennsylvania Avenue, NW,
Washington, DC 20580.
Notification procedure:
Public records contained in this system are available upon request, as
indicated below. Otherwise, records in this system generally do not
contain personal information about individuals and are generally
exempt from mandatory disclosure under 5 U.S.C. 552a(k)(2). However,
some personal information relating to individuals may be included and,
if retrievable, may be disclosable. Access to such information may be
requested by mailing or delivering a written request bearing the
individual's name, return address, and signature, addressed as
follows: Privacy Act Request, Office of the Executive Director,
Federal Trade Commission, 6th Street & Pennsylvania Avenue, NW,
Washington, DC 20580. In order for personal information in this system
to be retrieved, A request must specify the name of the party subject
to the investigation or adjudicatory proceeding.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual respondents or proposed respondents, company records,
complainants, informants, witnesses or other third parties.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system generally are
exempt from the requirements of subsections (c)(3), (d), (e)(1),
(e)(3), (e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a. See section
4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-29
System deleted.
FTC-30
System name: Consultant Files, Bureau of Competition--FTC.
System location:
Federal Trade Commission, Bureau of Competition, Washington, DC 20580.
Categories of individuals covered by the system:
Consultants consisting of experts in various fields, including
economic and legal.
Categories of records in the system:
Contains name, curriculum vitae, resume of employment, lists and
copies of publications in field, copies of application forms submitted
to FTC.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
For identification of background, previous publications, and current
research work.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Letter- and/or legal-size files in regulation cabinet.
Retrievability:
Indexed by name.
Safeguards:
Secured as are other files by locking of office door at night. Access
restricted to those agency personnel whose responsibilities require
access.
Retention and disposal:
Maintained indefinitely for future reference.
System manager(s) and address:
Administrative Officer, Bureau of Competition, Room 544, Pennsylvania
Bldg., 425 13th Street, NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained.
FTC-31
System name: Payroll Processing System--FTC.
System location:
Division of Budget and Finance, Federal Trade Commission, 6th Street &
Pennsylvania Avenue, NW, Washington, DC 20580.
Categories of individuals covered by the system:
All FTC personnel.
Categories of records in the system:
All payroll information on individual FTC employees, including basic
employment information, pay and deduction information, and leave and
tax information.
Authority for maintenance of the system:
5 U.S.C. 1301; Federal Personnel Manual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Salary and wage processing in accordance with applicable laws and
regulations. Used by Division of Budget and Finance personnel and by
other agency personnel whose responsibilities include salary and wage
processing and evaluation.
Referral of unemployment compensation information to state and local
unemployment compensation boards.
Referral of information to the Office of Personnel Management (OPM)
concerning pay, benefits, retirement deductions, and other information
necessary for OPM to carry out its governmentwide personnel management
functions.
Disclosure may be made to a congressional office from the record of an
individual only when congressional office makes the request on behalf
of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in comprehensive computer listing and tape and payroll file
folders at the system location in Washington, DC., and on computer
tape at the Treasury Department in San Francisco.
Retrievability:
By Social Security number.
Safeguards:
Access restricted to those agency personnel whose responsibilities
require access.
Retention and disposal:
Maintained according to GSA/Archives schedule of retention and
disposal.
System manager(s) and address:
Director, Division of Budget and Finance (address same as System
Location).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Pay forms completed by individual on whom the records are maintained;
personnel system.
FTC-32
System name: Payroll-Retirement Records--FTC.
System location:
Division of Budget and Finance, Federal Trade Commission, 6th Street &
Pennsylvania Avenue, NW, Washington, DC 20580
Categories of individuals covered by the system:
All FTC personnel who qualify for federal retirement benefits.
Categories of records in the system:
Payroll information relating to retirement benefits.
Authority for maintenance of the system:
5 U.S.C. 5301, 5501, 6101, 6301, 8301.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Calculation of retirement benefits. Referred to Office of Personnel
Management (OPM) upon retirement or resignation from federal service.
Referral to OPM concerning pay, benefits, retirement deductions, and
other information, for OPM to carry out its government personnel
management functions.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on computer tape at the Treasury Department in San
Francisco, or on individual cards for those not included in the
regular payroll system.
Retrievability:
Indexed by employee Social Security number.
Safeguards:
Access restricted to those agency personnel whose responsibilities
require access.
Retention and disposal:
Held for length of service of employee while at FTC, information
forwarded to next employing agency or OPM.
System manager(s) and address:
Director, Division of Budget and Finance, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Payroll system; personnel system.
FTC-33
System name: Preliminary Investigatory Files-FTC.
System location:
Federal Trade Commission, 6th and Pennsylvania Avenue NW, Washington,
DC 20580.
Indiana Building, 633 Indiana Avenue NW, Washington, DC 20580.
Star Building, 101 Pennsylvania Avenue NW., Washington, DC 20580.
Gelman Building, 2120 L Street NW, Washington, DC 20580.
Pennsylvania Building, 425 13th Street NW, Washington, DC 20580.
Logan Building, 1111 18th Street NW, Washington, DC 20580.
Bicentennial Building, 600 E Street NW, Washington, DC 20580.
Atlanta Regional Office, 1718 Peachtree Street NW, Atlanta, Georgia
30309.
Boston Regional Office, 150 Causeway Street, Boston, Massachusetts
02114.
Chicago Regional Office, 55 East Monroe Street, Chicago, Illinois
60603.
Cleveland Regional Office, Suite 500, Mall Building, 118 Saint Clair
Avenue, Cleveland, Ohio 44114.
Dallas Regional Office, 2001 Bryan Street, Suite 2665, Dallas, Texas
75201.
Denver Regional Office, 1405 Curtis Street, Suite 2900, Denver,
Colorado 80202.
Los Angeles Regional Office, 13209 Federal Building, 11000 Wilshire
Boulevard, Los Angeles, California 90024.
New York Regional Office, 2243-EB Federal Building, 26 Federal Plaza,
New York, New York 10007.
San Francisco Regional Office, 450 Golden Gate Ave., San Francisco,
California 94102.
Seattle Regional Office, 28th Floor, Federal Building, 915 Second
Avenue, Seattle, Washington 98174.
Categories of individuals covered by the system:
Respondents and correspondents in preliminary investigations.
Categories of records in the system:
Information on individuals generally concerns relations or
transactions with, or knowledge about, respondents, or general
business and isolated personal information on individual respondents,
and other items of information relating to the individual's
involvement in the matter in question. This system is composed of
files of preliminary investigations (investigations which have not yet
become formal and assigned a 7-digit number), but is limited to those
files from which personal information is retrieved by the name of an
individual or other identifying particular assigned to the individual.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To determine whether a formal investigation or other action is
appropriate. Referral to federal, state, or local government
authorities for investigation and possible criminal prosecution, civil
action, or regulatory order. Used by Commission staff assigned to
reviewing or supervising matter; used by Commission personnel with
recordkeeping, managerial, and budgeting responsibilities; used by
personnel of other agencies to whom a matter is referred.
Referral to experts, when considered appropriate by Commission.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records maintained in file folders and on magnetic disc and tape.
Retrievability:
Indexed by name of respondent or correspondent.
Safeguards:
Access to use of these records is limited to those agency personnel
whose official duties require such access.
Retention and disposal:
Records are transferred to the Records Division if the preliminary
investigation becomes a formal investigation; otherwise records are
retained by office that conducted the preliminary investigation. No
disposal system at present. As of August 1978, the Commission
discontinued the utilization of preliminary investigations. See FTC
Operating Manual, Chapter 3.
System manager(s) and address:
Supervisor, Records Management Branch, Office of the Secretary; or the
Regional Director of the respective Regional Office.
Notification procedure:
Records in this system generally do not contain personal information
about individuals and are generally exempt from mandatory disclosure
under 5 U.S.C. 552a(k)(2). However, some personal information relating
to individuals may be included and, if retrievable, may be
disclosable. Access to such information may be requested by mailing or
delivering a written request bearing the individual's name, return
address, and signature, addressed as follows: Privacy Act Request,
Office of the Executive Director, Federal Trade Commission, 6th Street
and Pennsylvania Avenue, NW, Washington, DC 20580. In order for
personal information in this system to be retrieved, a request must
specify the name of the party subject to the investigation or
adjudicatory proceeding. The request should also specify the bureau
(and division, if possible) or Regional Office responsible for the
investigation.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual respondent or proposed respondent, company records,
complainants, informants, witnesses or other third parties.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system generally are
exempt from the requirements of subsections (c)(3), (d), (e)(1),
(e)(4) (G), (H), (I), and (f) of 5 U.S.C. 552a. See section 4.13(m) of
the FTC Rules of Practice, 16 CFR 4.13(m).
FTC-34
System name: Public Contact Report System, Atlanta Regional
Office--FTC.
System location:
Atlanta Regional Office, Room 1000, 1718 Peachtree Street NW, Atlanta,
Georgia 30309.
Categories of individuals covered by the system:
Individual members of the public who file complaints or request
information either by telephone or in person concerning matters
believed to be of interest or within the jurisdiction of the FTC.
Categories of records in the system:
Consist of completed form listing the name of the individual, name of
the company about which the individual inquiries or complaints, and
the matter complained of.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Filed for future reference as to possible witnesses if company
complained of should come under investigation by the FTC. Also may be
used for reference to another office of the FTC or other federal
agencies for law enforcement purposes when deemed appropriate. Used by
Atlanta Regional Office personnel and by personnel of other FTC units
or other agencies to whom a matter is referred.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Public contact forms maintained in letter-size file folders.
Retrievability:
Contact form filed alphabetically by name.
Safeguards:
Contact forms in standard file cabinet. Access restricted to those
agency personnel whose responsibilities require access.
Retention and disposal:
Retained for a minimum of one year and disposed of by delivery to and
placing in a local government incinerator.
System manager(s) and address:
Regional Director, Federal Trade Commission, Atlanta Regional Office,
1718 Peachtree Street NW, Room 1000, Atlanta, Georgia 30309.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Information obtained from the individual.
FTC-35
System name: Public Information Mailing List--FTC.
System location:
Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.
Categories of individuals covered by the system:
Individuals, businesses, and organizations which have indicated an
interest in receiving FTC materials; selected news media and special
interest groups (i.e., organizations to be reached on specific FTC
matters).
Categories of records in the system:
Contains some or all of the following: Name, title, company or
organization, mailing address, occupation, and capacity/interest
codes.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Producing address labels for mailing FTC materials by Office of Public
Affairs and other Commission personnel.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer disc storage.
Retrievability:
Labels for individual addresses can be retrieved by name or computer-
assigned identification number.
Safeguards:
Retrieval of records is restricted to Office of Public Affairs and
computer support personnel who have knowledge of computer password.
Retention and disposal:
Records are retained until a purge action occurs or a request to
delete is received. A purge action occurs when an affirmative response
to a purge inquiry is not received, and each list entry receives a
purge inquiry annually. News media and special interest addresses are
retained indefinitely or for a specified length of time unless removal
from the list is requested by the individual.
System manager(s) and address:
Director, Office of Public Affairs, Room 496, Federal Trade
Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC
20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual who wishes to receive FTC material and FTC staff referring
mailing list requests.
FTC-36
System name: Public Information Mailing Lists, Boston Regional
Office--FTC.
System location:
Boston Regional Office, Suite 1301, 150 Causeway Street, Boston, Mass.
02114.
Categories of individuals covered by the system:
News media personnel, heads of consumer organizations, Attorneys
General and key staff, heads of business organizations, selected key
individuals such as legislators, government leaders, professors, etc.,
concerned with consumerism.
Categories of records in the system:
Contains name, title, organization and address.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information is used by staff for purposes of mailing or distributing
press releases and other information materials.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on a typed listing which is periodically updated.
Retrievability:
Indexed by name and organization.
System manager(s) and address:
Public Information Officer, Boston Regional Office, 150 Causeway St.,
Suite 1301, Boston, Mass. 02114.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Boston Regional Office staff, the media, consumer organizations,
materials and information supplied by the public, directories, and
government officials.
FTC-37
System name: Individual Claims Submitted Pursuant to Consent
Agreement in`` Bachman v. Pertschuk``, CA No. 76-0079 (D.D.C.
1978).
System location:
Office of the Secretary, Federal Trade Commission, 6th Street and
Pennsylvania Avenue NW, Room 164, Washington, DC 20580.
Categories of individuals covered by the system:
Current and former FTC economists, accountants, attorneys, computer
specialists, research analysts, and consumer protection specialists
and applicants for those positions who file individual claims of
discrimination pursuant to the consent agreement in `` Bachman v.
Pertschuk``.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Will be used by Administrator of Bachman agreement, his assistants,
and the magistrate of U.S. District Court of District for Columbia in
deciding claims presented.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In cabinet in locked office; held by attorney-advisor to Administrator
of agreement.
Retrievability:
By name of claimant.
Safeguards:
Availability only to authorized individuals conducting inquiry into
claims.
Retention and disposal:
No disposal system at present.
System manager(s) and address:
Benjamin I. Berman, Office of the Secretary, Room 164, Federal Trade
Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC
20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Claimants' submissions, FTC personnel records.
FTC-38
System deleted.
FTC-39
System name: Staff Advisory Opinion Records-FTC.
System location:
Secretary, Federal Trade Commission, 6th Street and Pennsylvania
Avenue NW, Washington, DC 20580.
Categories of individuals covered by the system:
Applicants for advisory opinions under section 1.1 of the Commission's
Rules of Practice, 16 CFR 1.1.
Categories of records in the system:
Name and address of requester; business information; proposed courses
of business action.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by staff and members of the public. To provide staff advice
responsive to a request from a member of the public; to maintain
record of advice given for use of the staff for preparation of future
Commission opinions and to coordinate and assure consistency of
position; possible referral to other parts of the FTC or to
appropriate federal or state agencies for advice or where law
enforcement action may be warranted; used by FTC personnel and other
agencies to whom a matter is referred.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in binders in Public Reference Room. Available to the public.
Retrievability:
Generally indexed by name of requesting party.
Safeguards:
Maintained in lockable office.
Retention and disposal:
Maintained from June 1962; no present disposal program.
System manager(s) and address:
Supervisor, Public Reference Branch, Office of the Secretary, Federal
Trade Commission, 6th Street and Pennsylvania Avenue NW, Washington,
DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual proprietorship, corporation, or other business
organization, or counsel seeking or receiving a staff advisory
opinion.
FTC-40
System name: Statement of Employment and Financial Interests--
FTC.
System location:
Assistant General Counsel, Office of the General Counsel, Federal
Trade Commission, 6th & Pennsylvania Avenue, NW, Washington, DC 20580.
Categories of individuals covered by the system:
Personnel required by FTC regulations to file statements of employment
and financial interests.
Categories of records in the system:
Contains name, organization, statement of employment and financial
interests.
Authority for maintenance of the system:
Executive Order 11222 and 5 CFR part 735.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Review of statement of employment and financial interests to ascertain
whether a conflict of interest or apparent conflict of interest exists
and, if so, to insure that appropriate action is taken to remove
conflict. Used by senior Commission employees and members of the
General Counsel's Office.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained on 8\1/2\x 11 paper.
Retrievability:
Indexed by calendar year and organization.
Safeguards:
Records are maintained in a combination steel vault. Access restricted
to those agency personnel whose responsibilities require access.
Retention and disposal:
Records are maintained indefinitely.
System manager(s) and address:
Assistant General Counsel, Room 506, Federal Trade Commission,
Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-41
System name: Unofficial Personnel Records-FTC.
System location:
Federal Trade Commission, 6th Street and Pennsylvania Avenue, NW,
Washington, DC 20580.
Indiana Building, 633 Indiana Avenue, NW, Washington, DC 20580.
Bicentennial Building, 600 E Street, NW, Washington, DC 20580.
Star Building, 1101 Pennsylvania Avenue, NW, Washington, DC 20580.
Gelman Building, 2120 L Street, NW, Washington, DC 20580.
Pennsylvania Building, 425 13th Street, NW, Washington, DC 20580.
Logan Building, 1111 18th Street, NW, Washington, DC 20580.
Regional Offices:
Atlanta Regional Office, 1718 Peachtree Street, NW, Atlanta, Georgia
30309.
Boston Regional Office, 150 Causeway Street, Boston, Massachusetts
02114.
Chicago Regional Office, 55 East Monroe Street, Chicago, Illinois
60603.
Cleveland Regional Office, Suite 500, Mall Building, 118 Saint Clair
Avenue, Cleveland, Ohio 44114.
Dallas Regional Office, 2001 Bryan Tower, Suite 2665, Dallas, Texas
75201.
Denver Regional Office, Suite 2900, 1405 Curtis Street, Denver,
Colorado 80202.
Los Angeles Regional Office, 13209 Federal Building, 11000 Wilshire
Boulevard, Los Angeles, California 90024.
New York Regional Office, 2243-EB Federal Building, 26 Federal Plaza
New York, New York 10007.
San Francisco Regional Office, 450 Golden Gate Avenue, San
Francisco, California 94102.
Seattle Regional Office, 28th Floor Federal Building, 915 Second
Avenue, Seattle, Washington 98174.
Categories of individuals covered by the system:
Current and former employees of the FTC.
Categories of records in the system:
The system of records contains information or documents about the
employment and work history of individual employees. The types of
records maintained vary with each supervisor and Commission unit. Each
supervisor may maintain some or all of the following records: Written
notes or memoranda on employee performance (i.e., Attorney Evaluation,
Employment Forms), leave, work assignments, or disciplinary problems.
Authority for maintenance of the system:
Title 5 U.S.C. 4301-4308; 6101-6106; 6301-6326; 7301-7352; and 7501-
7533.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To be used by the employee's supervisor in evaluating performance,
preparing promotion and award recommendations, preparing informal or
formal disciplinary actions, approving leave, and making work
assignments.
Referral to the Office of Personnel Management concerning pay,
benefits, retirement deductions, and other information necessary for
OPM to carry out its governmentwide personnel management functions.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are indexed by the names of individuals on whom they are
maintained.
Safeguards:
Access to and use of these records is limited to those whose official
duties require such access. Screening by system managers is used to
prevent unauthorized disclosure.
Retention and disposal:
Records are destroyed when no longer relevant to the purpose for which
they were compiled and maintained. Generally, records are destroyed
when the employee no longer works in the bureau or office which
compiled and maintained the information.
System manager(s) and address:
Employee's supervisors, Federal Trade Commission (same address as
system location).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals to whom record pertains; supervisors of employee.
FTC-42
System deleted.
FTC-43
System deleted.
FTC-44
System deleted.
FTC-45
System name: Automated Serials Routing System--FTC.
System location:
Library, Federal Trade Commission, 6th Street and Pennsylvania Avenue,
NW, Washington, DC 20580.
Categories of individuals covered by the system:
Readers of FTC Library periodicals wishing to be on the routing
system.
Categories of records in the system:
Name and location of reader, employee number, and the name and number
of periodical.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To manage serials-routing among readers. Used by staff of FTC Library
and other FTC employees with a need to use this system.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
On computer disc/tape.
Retrievability:
By periodical number and employee number.
Safeguards:
Access limited to authorized users by means of password.
Retention and disposal:
Record maintained as long as reader wishes to be on the routing
system.
System manager(s) and address:
Librarian, Federal Trade Commission (address same as system location).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-46
System name: Clearance to Participate Applications and the
Commission's Responses Thereto--FTC.
System location:
Office of the Secretary, Federal Trade Commission, 6th Street and
Pennsylvania Avenue, NW, Washington, DC 20580.
Categories of individuals covered by the system:
Copies of letters from former members or employees of the Commission
requesting authorization to appear or participate in a proceeding or
investigation, formal or informal, which was pending in any manner in
the Commission while such former member of employee served with the
Commission.
Categories of records in the system:
Name, address, current employment status, nature of any connection
with the proceeding or investigation during service with the
Commission.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by the public. Used also by the Commission's Correspondence
Branch staff to track the processing of clearance requests by the
Commission. Other Commission staff use the records to make
recommendations and determinations on new applications for clearance.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in binders and on microfilm in the Public Reference Room.
Retrievability:
Indexed by name of the applicant, by the name of the investigation or
proceeding, and by date.
Safeguards:
Maintained in a lockable office.
Retention and disposal:
Maintained from January 1969; no present disposal schedule.
System manager(s) and address:
Supervisor, Public Reference Branch, Office of the Secretary, Federal
Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington,
DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-47
System deleted.
FTC-48
System deleted.
FTC-49
System name: Freedom of Information Act Requests and Appeals
from Other Than Governmental Agencies and the Commission's
Responses Thereto--FTC.
System location:
Records Division, Office of the Secretary, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Information Division, Office of the Executive Director, Federal
Trade Commission, 6th Street and Pennsylvania Avenue, NW,
Washington, DC 20580.
Office of the General Counsel, Room 560, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Automated Records:
Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.
Categories of individuals covered by the system:
Persons filing requests for access to information under the Freedom of
Information Act (FOIA).
Categories of records in the system:
Name, address, sometimes purpose of request, and intended use of
information, and agreement to pay fees, if any.
Authority for maintenance of the system:
Federal Trade Commission Act; Freedom of Information Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by staff of the Executive Director's Office, General Counsel's
Office, and Bureaus of the Commission to make recommendations and
determinations in response to FOIA requests and appeals. Referral to
the Office of Management and Budget and to the Congress for annual
reports required by the FOIA. Referral to federal enforcement
authorities to assist with administrative processing and litigation.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Request and appeal letters, and agency responses thereto, are
available to the public for inspection and copying.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
(1) Copies of request and appeal letters, and agency responses
thereto, are stored in binders in the Public Reference Room (available
to the public). (2) Original request letters, copies of appeal letters
(if any) and agency responses, and related internal memoranda, are
stored in folders in lockable file cabinets in the Freedom of
Information and Privacy Act Branches of the Information Division. (3)
Original appeal letters, copies of request letters and agency
responses, and related internal memoranda are stored in folders in
lockable file cabinets in the General Counsel's Office. Automated data
stored on magnetic disc.
Retrievability:
Generally indexed by name of requesting party.
Safeguards:
Maintained in lockable file cabinets in office.
Retention and disposal:
Full grant response letters and files are destroyed after 2 years.
Denials and appeal files are destroyed 4 years after final
determination by agency or 3 years after final adjudication by courts,
whichever is later.
System manager(s) and address:
Supervisor, FOIA/PA Branch, Office of the Executive Director, and
Assistant to the General Counsel for FOIA/PA, Federal Trade Commission
(address same as System Location above).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-50
System deleted.
FTC-51
System name: Privacy Act Requests and Appeals--FTC.
System location:
Information Division, Office of the Executive Director, Federal
Trade Commission, 6th Street and Pennsylvania Avenue, NW,
Washington, DC 20580.
Office of the General Counsel, Room 559, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Categories of individuals covered by the system:
Persons filing requests for access to, correction of, or an accounting
of disclosures of personal information contained in system of records
maintained by the Commission, pursuant to the Privacy Act of 1974.
Categories of records in the system:
Name, address; sometimes purpose of request; intended use of
information; agreement to pay fees, if any; and nature of correction
of information requested.
Authority for maintenance of the system:
Federal Trade Commission Act; Privacy Act of 1974.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by staff of the Executive Director's Office, General Counsel's
Office, and Commissioners, to make recommendations and determinations
in response to Privacy Act requests and appeals. Referral to the
Office of Management and Budget and to the Congress for annual reports
required by the Privacy Act. Referral to federal enforcement
authorities to assist with administrative processing and litigation.
Disclosure may be made to a congressional office from the record of an
individual only when the congressional office makes the request on
behalf of the private citizen.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Initial requests stored in lockable files in Secretary's Office.
Appeals stored in lockable files in General Counsel's Office.
Retrievability:
Indexed by request index number, date of request, and name of
requester or appellant.
Safeguards:
Maintained in lockable offices. Access restricted to those agency
personnel whose responsibilities require access.
Retention and disposal:
Full grant correspondence and files are destroyed after 2 years.
Denials and appeal files are destroyed 4 years after final
determination by agency or 3 years after final adjudication by courts,
whichever is later.
System manager(s) and address:
Supervisor, FOIA/PA Branch, Office of the Executive Director, and
Assistant General Counsel for Legal Counsel, Federal Trade Commission
(address same as System Location above).
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom record is maintained.
FTC-52
System name: Equal Employment Opportunity Statistical Reporting
System--FTC.
System location:
Optimum Systems, Inc., 5615 Fishers Lane, Rockville, Maryland 20852.
Categories of individuals covered by the system:
Former and current FTC employees.
Categories of records in the system:
Coded minority group designations.
Authority for maintenance of the system:
5 U.S.C. 1301, 3301, 7151, 7154, and Executive Order 10577.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by the Equal Employment Opportunity Director in composite
statistical form only, for analyses and reports within the Commission
and to the Congress, Office of Management and Budget, Equal Employment
Opportunity Commission, and Office of Personnel Management as required
by law.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored on magnetic disc.
Retrievability:
Minority group designations may be retrieved by name of group, or by
cross-reference to title and grade information contained in FTC System
26, General Personnel Records (Official Personnel Folder and Records
Related Thereto); Duplicated Personnel Files and Automated Records.
Safeguards:
Access may be obtained only by written authorization of the Equal
Employment Opportunity Director.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Director, Equal Employment Opportunity, Federal Trade Commission, 6th
Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Self-identification or visual identification of each employee by
Division of Personnel staff and administrative officer in regional
office.
FTC-53
System name: Medical Participation in Control of Certain Open-
Panel Medical Prepayment Plans Mailing List.
System location:
Comnet, Inc., 5185 MacArthur Blvd., Washington, DC 20016.
Categories of individuals covered by the system:
Individuals formally requesting information from the staff regarding
the Commission's now-closed investigation of Medical Participation in
Control of Blue Shield and Certain Other Open-Panel Medical Prepayment
Plans, and individuals from whom comments on advance notice of
proposed rulemaking were sought.
Categories of records in the system:
Name; mailing address; business title, if any; type of comment or
requests received, if any.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used to mail staff report and materials related to the Commission's
actions in this matter to interested individuals, and for tracking
requests and comments received from such individuals.
If any individual requests that his congressman obtain access to a
record concerning that individual, disclosure may be made to the
congressional office requesting such information.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disc packs.
Retrievability:
By name and type of comment or request.
Safeguards:
Access restricted to personnel whose responsibilities require access.
Retention and disposal:
Insofar as individuals request that their names be deleted from the
mailing list, records may be retained in the Comnet computer for the
duration of related investigations. Disposal will be made upon demand,
at the close of related investigations, or prior to the close of those
investigations if no longer deemed necessary.
System manager(s) and address:
Assistant Director, Bureau of Competition, Room 1038, Pennsylvania
Building, 6th Street and Pennsylvania Avenue, NW, Washington, DC
20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-54
System name: Discrimination Complaint System--FTC.
System location:
Director, Office of Equal Employment Opportunity, Room 411, Federal
Trade Commission, 6th Street and Pennsylvania Avenue, NW, Washington,
DC 20580.
Categories of individuals covered by the system:
Former and current FTC employees and applicants for employment.
Categories of records in the system:
Complaint file.
Authority for maintenance of the system:
Section 717 of Title VII of the Civil Rights Act of 1964, as amended,
and 29 CFR part 1613.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used to resolve issues related to discrimination because of race,
national origin, religion, sex, age, and physical or mental handicap
presented in formal complaints and used to make reports to Office of
Management and Budget, Merits Systems Protection Board, and Equal
Employment Opportunity Commission.
Disclosure of information from discrimination complaint files is
limited to the complainant, his/her representatives, agency
representatives involved in the processing, and the EEO staff.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored in lockable file cabinets.
Retrievability:
Generally indexed by name of the complainants.
Safeguards:
Access restricted to Commission's EEO staff and parties concerned in
any related proceeding.
Retention and disposal:
Records are retained indefinitely.
System manager(s) and address:
Director, Equal Employment Opportunity, Room 411, Federal Trade
Commission, 6th Street and Pennsylvania Avenue, NW, Washington, DC
20580.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street and Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FTC-55
System name: Consumer Education Mailing List--FTC.
System location:
Bureau of Consumer Protection, Federal Trade Commission, Room 668,
600 E Street, NW, Washington, DC 20580.
Comnet, Inc., 5182 MacArthur Boulevard, Washington, DC 20016
Categories of individuals covered by the system:
Individuals and organizations who have expressed an interest in
receiving Commission consumer education material and who are in a
position to share the information with consumers.
Categories of records in the system:
Contains name, title, organization, mailing address, and telephone
number in most cases.
Authority for maintenance of the system:
Federal Trade Commission Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used to mail consumer education material to individuals and
organizations in the best position to disseminate the information to
consumers.
Used by staff members of the Bureau of Consumer Protection. Most of
the mailing lists are available to the public for inspection and
copying, with the exception of lists that are exempt from disclosure
under 5 U.S.C. 552.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Letter-size files in filing cabinet and computer disc files.
Retrievability:
Indexed by name, name of organization, by zip code, and by list
category.
Safeguards:
Secured as are other files in the Bureau of Consumer Protection by
being in a closed drawer in a building with guards stationed at the
building entrance. Access limited to those agency personnel whose
responsibilities require access.
Retention and disposal:
Maintained indefinitely for future reference, updating, and mailing.
System manager(s) and address:
Associate Director for Consumer Education, Bureau of Consumer
Protection, Federal Trade Commission.
Notification procedure:
By mailing or delivering a written request bearing the individual's
name, return address, and signature, addressed as follows: Privacy Act
Request, Office of the Executive Director, Federal Trade Commission,
6th Street & Pennsylvania Avenue, NW, Washington, DC 20580.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
PRIVACY ACT RULES
FEDERAL TRADE COMMISSION
Title 16-Commercial Practices
Chapter I-Federal Trade Commission
PART 4--MISCELLANEOUS RULES
Sec.
4.13 Privacy Act rules.
Authority: Sec. 6, 38 Stat. 721; 15 U.S.C. 46, unless otherwise noted.
Source: 32 FR 8456, June 13, 1967, unless otherwise noted.
Note: Nomenclature changes appearing in Part 4 see 37 FR 22611, Oct.
20, 1972. Nomenclature changes to Sec. 4.13 appeared at 46 FR 26292, May
12, 1981.
Sec. 4.13 Privacy Act rules.
(a) Purpose and scope. (1) This section is promulgated to implement
the Privacy Act of 1974 (Pub. L. 93-579, 5 U.S.C. 552a) by establishing
procedures whereby an individual can, as to all systems of records
maintained by the Commission except those set forth in Sec. 4.13(m) as
exempt from disclosure, (i) request notification of whether the
Commission maintains a record pertaining to him in any system of
records, (ii) request access to such a record or to an accounting of its
disclosure, (iii) request that the record be amended or corrected, and
(iv) appeal an initial adverse determination of any such request. This
section also establishes those systems of records that are specifically
exempt from disclosure and from other requirements.
(2) The procedures of this section apply only to requests by an
individual as defined in Sec. 4.13(b). Except as otherwise provided,
they govern only records containing personal information in systems of
records for which notice has been published by the Commission in the
Federal Register pursuant to section 552a(e)(4) of the Privacy Act of
1974 and which are neither exempt from the provisions of this section
nor contained in government-wide systems of personnel records for which
notice has been published in the Federal Register by the Office of
Personnel Management. Requests for notification, access, and amendment
of personnel records which are contained in a system of records for
which notice has been given by the Office of Personnel Management are
governed by the Office of Personnel Management's notices, 5 CFR part
297. Access to records which are not subject to the requirements of the
Privacy Act are governed by Sec. Sec. 4.8-4.11.
(b) Definitions. The following definitions apply to this section only:
(1) ``Individual'' means a natural person who is a citizen of the
United States or an alien lawfully admitted for permanent residence.
(2) ``Record'' means any item, collection, or grouping of personal
information about an individual that is maintained by the Commission,
including, but not limited to, his education, financial transactions,
medical history, and criminal or employment history and that contains
his name, or the identifying number, symbol, or other identifying
particular assigned to the individual, such as a finger or voice print
or a photograph, but does not include information concerning
proprietorships, businesses, or corporations.
(3) ``System of records'' means a group of any records under the
control of the Commission from which information is retrieved by the
name of the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual, for which notice has
been published by the Commission in the Federal Register pursuant to 5
U.S.C. 552a(e)(4).
(c) Procedures for requests pertaining to individual records in a
record system. An individual may request access to his records or any
information pertaining to him in a system of records, and notification
of whether and to whom the Commission has disclosed a record for which
an accounting of disclosures is required to be kept and made available
to him, using the procedures of this subsection. Requests for the
disclosure of records under this subsection or to determine whether a
system of records contains records pertaining to an individual or to
obtain an accounting of disclosures, shall be in writing and if mailed,
addressed as follows:
Privacy Act Request, Office of the Secretary, Federal Trade Commission,
6th Street and Pennsylvania Avenue NW, Washington, DC 20580.
If requests are presented in person at the Deputy Executive Director for
Planning and Information, the individual shall be required to execute a
written request. All requests must name the system of records which is
the subject of the request, and must include any additional information
specified in the pertinent system notice as necessary to locate the
records requested. If the requester desires to permit a person to
accompany him to review his record, the request shall so state. Nothing
in this section shall allow an individual access to any information
compiled in reasonable anticipation of a civil action or proceeding.
(d) Times, places, and requirements for identification of individuals
making requests. Verification of identity of persons making written
requests to the Deputy Executive Director for Planning and Information
ordinarily will not be required. The signature upon such requests shall
be deemed to be a certification by the person signing that he is the
individual to whom the record pertains or the parent of a minor or the
duly appointed legal guardian of the individual to whom the record
pertains. The Deputy Executive Director for Planning and Information may
require additional verification of identity as specified by him when
necessary reasonably to assure that records are not improperly
disclosed; provided, however, that no verification of identity will be
required where the records sought are publicly available under the
Freedom of Information Act.
(e) Disclosure of requested information to individuals. Within ten
(10) working days of receipt of a request under Sec. 4.13(c), the Deputy
Executive Director for Planning and Information or the Director of the
Information Services Division shall acknowledge receipt of the request.
Within thirty (30) working days of the receipt of a request under
Sec. 4.13(c), the Deputy Executive Director for Planning and Information
or the Director of the Informaiton Services Division shall inform the
requester whether a system of records containing retrievable information
pertaining to the requester exists, and if so, either that his request
has been granted or that the requested records or information is exempt
from disclosure pursuant to Sec. 4.13(m). When, for good cause shown,
the Deputy Executive Director for Planning and Information or the
Director of the Information Services Division is unable to respond
within thirty (30) working days of the receipt of the request, he shall
notify the requester of that fact and approximately when it is
anticipated that a response will be made.
(f) Special procedures: Medical records. When the Deputy Executive
Director for Planning and Information or the Director of the Information
Services Division determines that disclosure of a medical or
psychological record directly to a requesting individual could have an
adverse effect on the individual, he shall require the individual to
designate a medical doctor to whom the record will be transmitted.
(g) Request for correction or amendment of record. An individual to
whom access to his records or any information pertaining to him in a
system of records has been granted may request that any portion thereof
be amended or corrected because he believes it is not accurate,
relevant, timely, or complete. An initial request for correction or
amendment of a record shall be in writing whether presented in person or
by mail, and if by mail, addressed as in Sec. 4.13(c). In making a
request under this subsection, the requesting party shall state the
nature of the information in the record the individual believes to be
inaccurate, irrelevant, untimely, or incomplete, the correction or
amendment desired, and the reasons therefore.
(h) Agency review of request for correction or amendment of record.
Whether presented in person or by mail, requests under Sec. 4.13(g)
shall be acknowledged by the Deputy Executive Director for Planning and
Information or the Director of the Information Services Division within
ten (10) working days of the receipt of the request if action on the
request cannot be completed and the individual notified of the results
within that time. Thereafter, the Deputy Executive Director for Planning
and Information or the Director of the Information Services Division
shall promptly either make the requested amendment or correction or
inform the requester of his refusal to make the amendment or correction,
the reasons for the refusal, and the requester's right to appeal that
determination in accordance with Sec. 4.13(i).
(i) Appeal of initial adverse agency determination. (1) If an initial
request is denied under Sec. 4.13(c) or Sec. 4.13(g), the requester may
appeal that determination to the Commission. The appeal shall be in
writing and addressed as follows:
Privacy Act Appeal, Office of the General Counsel, Federal Trade
Commission, 6th Street and Pennsylvania Avenue NW, Washington, DC
20580.
The Commission shall notify the requester within thirty (30) working
days of the receipt of his appeal of the disposition of that appeal,
except that the thirty (30) day period may be extended for good cause,
in which case the requester will be advised of the approximate date on
which review will be completed.
(2) (i) If the Commission refuses to amend or correct the record in
accordance with a request under Sec. 4.13(g), it shall notify the
requester of that determination and inform him of his right to file with
the Deputy Executive Director for Planning and Information a concise
statement setting forth the reasons for his disagreement with that
determination and the fact that such a statement will be treated as set
forth in subdivision (ii) of this subparagraph. The Commission shall
also inform the requester that judicial review of the determination is
available by a civil suit in the district in which the requester
resides, or has his principal place of business, or in which the agency
records are situated, or in the District of Columbia.
(ii) If the individual files a statement disagreeing with the
Commission's determination not to amend or correct a record, it shall be
clearly noted in the record involved and made available to anyone to
whom the record has been disclosed after September 27, 1975, or is
subsequently disclosed together with, if the Commission deems it
appropriate, a brief statement of the reasons for refusing to amend the
record.
(j) Disclosure of record to person other than the individual to whom
it pertains. Except as provided by 5 U.S.C. 552a(b), the written request
or prior written consent of the individual to whom a record pertains, or
of his parent if a minor, or legal guardian if incompetent, shall be
required before such record is disclosed. If the individual elects to
inspect a record in person and desires to be accompanied by another
person, the Deputy Executive Director for Planning and Information or
the Director of the Information Services Division may require the
individual to furnish a signed statement authorizing his record to be
disclosed in the presence of the accompanying named person.
(k) Fees. No fees shall be charged for searching for a record,
reviewing it, or for copies of records made by the Commission for its
own purposes incident to granting access to a requester. Copies of
records to which access has been granted under this section may be
obtained by the requester from the Deputy Executive Director for
Planning and Information upon payment of the reproduction fees provided
in Sec. 4.8(b)(6).
(l) Penalties. Section 552a(i)(3) of the Privacy Act, 5 U.S.C.
552a(i)(3), makes it a misdemeanor, subject to a maximum fine of $5,000,
to knowingly and willfully request or obtain any record concerning an
individual under false pretenses. Sections 552a(i)(1) and (2) of the
Privacy Act, 5 U.S.C. 552a(i) (1) and (2), provide penalties for
violations by agency employees of the Privacy Act or regulations
established thereunder. Title 18 U.S.C. 1001, Crimes and Criminal
Procedures, makes it a criminal offense, subject to a maximum fine of
$10,000 or imprisonment for not more than 5 years or both, to knowingly
and willfully make or cause to be made any false or fraudulent
statements or representations in any matter within the jurisdiction of
any agency of the United States.
(m) Specific exemptions. (1)Pursuant to 5 U.S.C. 552a(k)(2),
investigatory materials maintained by an agency component in connection
with any activity relating to criminal law enforcement in the following
systems of records are exempt from all subsections of 5 U.S.C. 552a,
except (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9),
(10), and (11), and (i), and from the provisions of this section, except
as otherwise provided in 5 U.S.C. 552a(j)(2):
Office of Inspector General Investigative Files--FTC.
(2) Pursuant to 5 U.S.C. 552a(k)(2), investigatory materials compiled
for law enforcement purposes in the following systems of records are
exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I),
and (f) of 5 U.S.C. 552a, and from the provisions of this section,
except as otherwise provided in 552a(k)(2):
Investigational, Legal, and Public Records--FTC.
Disciplinary Action Investigatory Files--FTC.
Clearance to Participate Applications and the Commission's Responses
Thereto, and Related Documents--FTC
Management Information System--FTC.
Office of the Secretary Control and Reporting System--FTC
Office of Inspector General Investigative Files--FTC.
Freedom of Information Act Requests and Appeals--FTC
Privacy Act Requests and Appeals--FTC
Information Retrieval and Indexing System--FTC
(3) Pursuant to 5 U.S.C. 552a(k)(5), investigatory materials compiled
to determine suitability, eligibility, or qualifications for Federal
civilian employment, military service, Federal contracts, or access to
classified information, but only disclosure would reveal the identity of
a confidential source information, in the following systems of records
are exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f) of 5 U.S.C. 552a, and from the provisions of this section,
except as otherwise provided in 5 U.S.C. 552a(k)(5):
Personnel Security File--FTC.
[40 FR 40780, Sept. 3, 1975; as amended at 48 FR 4280, Jan. 31, 1983; 55
FR 37709, Sept. 13, 1990; 57 FR 10808, Mar. 31, 1992; 58 FR 7047, Feb.
4, 1993]