82 FR 27483 - Privacy Act of 1974; System of Records

FEDERAL TRADE COMMISSION

Federal Register Volume 82, Issue 114 (June 15, 2017)

The FTC is adopting in final form a new routine use that permits disclosure of the agency's Freedom of Information Act (``FOIA'') request and appeal records to the Office of Government Information Services (``OGIS''), in order for OGIS to assist FOIA requesters in the processing and resolution of their requests and appeals. In addition to revising the applicable Privacy Act system of records notice to include this new routine use, the FTC is also separately making a technical revision to update the records disposition section of the notice.

[Federal Register Volume 82, Number 114 (Thursday, June 15, 2017)]
[Notices]
[Pages 27483-27485]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-12452]


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FEDERAL TRADE COMMISSION


Privacy Act of 1974; System of Records

AGENCY: Federal Trade Commission (FTC).

ACTION: Notice of routine use.

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SUMMARY: The FTC is adopting in final form a new routine use that 
permits disclosure of the agency's Freedom of Information Act 
(``FOIA'') request and appeal records to the Office of Government 
Information Services (``OGIS''), in order for OGIS to assist FOIA 
requesters in the processing and resolution of their requests and 
appeals. In addition to revising the applicable Privacy Act system of 
records notice to include this new routine use, the FTC is also 
separately making a technical revision to update the records 
disposition section of the notice.

DATES: These amendments are effective June 15, 2017.

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

SUPPLEMENTARY INFORMATION: In a document previously published in the 
Federal Register, 82 FR 10012 (Feb. 9, 2017), the Federal Trade 
Commission, as required by the Privacy Act, sought comments on a 
proposal to adopt a new routine use. See 5 U.S.C. 552a(e)(4) and (11). 
As the FTC explained, the new routine use, the text of which is set 
forth

[[Page 27484]]

at the end of this document, authorizes the FTC to disclose FOIA 
request and appeal records covered by FTC-V-1 to the Office of 
Government Information Services (``OGIS''), in order for OGIS to assist 
requesters in the processing and resolution of their requests and 
appeals.
    The OPEN Government Act of 2007 amended the Freedom of Information 
Act and created OGIS within the National Archives and Records 
Administration (``NARA''). The 2007 FOIA amendments require OGIS to 
review agency FOIA policies, procedures, and compliance, and to offer 
mediation services to resolve disputes between FOIA requesters and 
agencies. See 5 U.S.C. 552(h).
    In order for OGIS to fulfill its statutory responsibilities, it 
requires access to FOIA request files originated and maintained by 
federal agencies including the FTC. However, because the FOIA request 
and appeal records covered by FTC-V-1 are governed by the Privacy Act 
of 1974, their disclosure normally requires the prior written consent 
of the individual to whom the records pertain (including, for example, 
an individual filing a FOIA request), unless the agency has published a 
routine use authorizing disclosure.
    The Privacy Act authorizes the agency to adopt routine uses that 
are consistent with the purpose for which information is collected. 5 
U.S.C. 552a(b)(3); see also 5 U.S.C. 552a(a)(7). The FTC believes that 
it is consistent with the purposes for which the FOIA request and 
appeal records covered by FTC-V-1 are collected to disclose such 
records routinely to OGIS to help OGIS mediate between individual FOIA 
requesters and agencies and ensure compliance with the FOIA statute. If 
agencies do not establish a ``routine use'' to provide for this 
proposed disclosure, OGIS would have to obtain the written consent of 
the individual FOIA requesters in order to obtain the access it 
requires to assist that requester. Simplifying the procedure for 
exchanging information would increase the efficiency of the FOIA 
administrative process. FTC staff understands that obtaining such 
consent has proven more complicated in some circumstances, e.g., when 
an agency, rather than the individual FOIA requester, seeks OGIS's 
assistance to mediate between the agency and the individual FOIA 
requester. Accordingly, the Commission concludes that it is authorized 
under the Privacy Act to adopt a routine use permitting disclosure of 
Privacy Act records for such purposes.
    In seeking public comments on the proposed routine use, the FTC 
explained that it would take into account any such comments and make 
appropriate or necessary revisions, if any, before publishing the 
proposed routine use as final. In response to the one comment received 
from the Office of Management and Budget (OMB), the FTC is republishing 
an updated notice to clarify that the text of Appendices I-III, cited 
in this system of records notice (SORN), is publicly available on the 
privacy program page of the FTC's Web site and previously published in 
the Federal Register.
    The FTC is also separately making a technical revision that updates 
the records disposition section of FTC-V-1. During January 2017, NARA 
issued General Records Schedule 4.2, Records of Information Access and 
Protection, which in part superseded and rescinded General Records 
Schedule 14, which previously covered FOIA-related records across the 
federal government. FTC-V-1's records disposition section has been 
updated accordingly. This change does not require prior public comment 
or notice to the Office of Management & Budget (OMB) and Congress. See 
U.S.C. 552a(e)(11) and 552a(r); OMB Circular A-108 (2016).
    In light of the updated SORN template set forth in the newly 
revised OMB Circular A-108, the FTC is reprinting the text of the 
entire SORN, including the new routine use, for the public's benefit, 
to read as follows:
* * * * *

V. FTC Access Requests

SYSTEM NAME AND NUMBER:
    Freedom of Information Act Requests and Appeals-FTC (FTC-V-1).

SECURITY CLASSIFICATION:
    Not applicable.

SYSTEM LOCATION:
    Federal Trade Commission, 600 Pennsylvania Avenue NW., Washington, 
DC 20580. For other locations where records may be maintained or 
accessed, see Appendix III (Locations of FTC Buildings and Regional 
Offices), available on the FTC's privacy program page at www.ftc.gov/privacy and at 80 FR 9460, 9465 (Feb. 23, 2015).

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

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

PURPOSE(S) OF THE SYSTEM:
    To consider requests and appeals for access to records under the 
Freedom of Information Act; to determine the status of requested 
records; to respond to the requests and appeals; to make copies of FOIA 
requests and frequently requested records available publicly, under the 
FTC's Rules of Practice and FOIA; to maintain records, documenting the 
consideration and disposition of the requests for reporting, analysis, 
and recordkeeping purposes.

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

CATEGORIES OF RECORDS IN THE SYSTEM:
    Communications (e.g., letters, emails) to and from the requesting 
party; agency documents generated or collected during processing and 
consideration of the request, including scanned copies of materials 
responsive to the FOIA request.

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

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    (1) Request and appeal letters, and agency letters responding 
thereto, are placed on the FTC's public record and available to the 
public for routine inspection and copying. See FTC-I-6 (Public Records-
FTC).
    (2) As required by the FOIA, records that have been ``frequently 
requested'' and disclosed under the FOIA within the meaning of that 
Act, as determined by the FTC, are made available to the public for 
routine inspection and copying. See FTC-I-6 (Public Records-FTC).
    (3) Disclosure to the National Archives and Records Administration, 
Office of Government Information Services (OGIS), to the extent 
necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review 
administrative agency policies, procedures, and compliance with the 
Freedom of Information Act (FOIA), and to facilitate OGIS's offering of 
mediation services to resolve disputes between persons making FOIA 
requests and administrative agencies.
    For other ways that the Privacy Act permits the FTC to use or 
disclose

[[Page 27485]]

system records outside the agency, see Appendix I (Authorized 
Disclosures and Routine Uses Applicable to All FTC Privacy Act Systems 
of Records), available on the FTC's privacy program page at 
www.ftc.gov/privacy and at 73 FR 33592, 36333-36334 (June 12, 2008).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are maintained electronically using a commercial software 
application run on the agency's internal servers. Temporary paper files 
are destroyed once the request is complete.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Indexed by name of requesting party and subject matter of request. 
Records can also be searched by name, address, phone number, fax 
number, and email of the requesting party, subject matter of the 
request, requestor organization, FOIA number, and staff member assigned 
to the request.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records are retained and disposed of in accordance with General 
Records Schedule 4.2, issued by the National Archives and Records 
Administration.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Requests, appeals, and responses available to the public, as 
described above. Access to nonpublic system records is restricted to 
FTC personnel or contractors whose responsibilities require access. 
Nonpublic paper records are temporary, maintained in lockable file 
cabinets or offices, and destroyed once the request is complete. Access 
to electronic records is controlled by ``user ID'' and password 
combination and other electronic access or network controls (e.g., 
firewalls). FTC buildings are guarded and monitored by security 
personnel, cameras, ID checks, and other physical security measures.

RECORD ACCESS PROCEDURES:
    See Sec.  4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For 
additional guidance, see also Appendix II (How To Make A Privacy Act 
Request), available on the FTC's privacy program page at www.ftc.gov/privacy and at 73 FR 33592, 33634 (June 12, 2008).

CONTESTING RECORD PROCEDURES:
    See Sec.  4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For 
additional guidance, see also Appendix II (How To Make A Privacy Act 
Request), available on the FTC's privacy program page at www.ftc.gov/privacy and at 73 FR 33592, 33634 (June 12, 2008).

NOTIFICATION PROCEDURES:
    See Sec.  4.13 of the FTC's Rules of Practice, 16 CFR 4.13. For 
additional guidance, see also Appendix II (How To Make A Privacy Act 
Request), available on the FTC's privacy program page at www.ftc.gov/privacy and at 73 FR 33592, 33634 (June 12, 2008).

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

HISTORY:
    73 FR 33592-33634 (June 12, 2008).
* * * * *

David C. Shonka,
Acting General Counsel.
[FR Doc. 2017-12452 Filed 6-14-17; 8:45 am]
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