FREEDOM OF INFORMATION ACT 

& PRIVACY ACT 

HANDBOOK 

September 2019

WORKING FOR CONSUMER PROTECTION 

AND A CO MPETTTIVJ! MARKETPLACE 
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TABLE OF CONTENTS

I. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

II. What is the Freedom of Information Act? . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

III. The Public Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 

IV. Types of Commonly Requested Non-Public FTC Records . . . . . . . . . . . . . . . . 3 

A. Consumer Complaints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

B. Investigative Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

C. Administrative Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

V. Exemptions to the FOIA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 

A. The Nine Exemptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3 

Exemption 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Exemptions 3 & 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 

Exemption 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 

Exemption 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

Exemption 7 and Subparts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

VI. Records Excluded from Coverage Under the FOIA . . . . . . . . . . . . . . . . . . . . . 7 

VII. How to File a Freedom of Information Act Request . . . . . . . . . . . . . . . . . . 7 

A. What You Need to Include In Your Request . . . . . . . . . . . . . . . . . . . . 7 

B. Where to Send Your Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 

C. Processing Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8 

D. Fee Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 

VIII. How the FTC Responds to FOIA Requests . . . . . . . . . . . . . . . . . . . . . . . . 12

A. Response Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

1) Extensions of Time for Responding to FOIA Requests . . . . . . . . .12

2) Expedited Processing of FOIA Requests . . . . . . . . . . . . . . . . . 12

B. Content of Response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

1) Materials from Other Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2) Copyrighted Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

3) Retention of Requested Documents . . . . . . . . . . . . . . . . . . . . . . 14

IX. Appeals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 

X. Index of Major FTC Information and Record Locator Systems . . . . . . . . . . . . 14 

XI. Privacy Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 

XII. Government in the Sunshine Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 

Common Misconceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
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I. INTRODUCTION

The purpose of this Handbook is to describe how the Freedom of Information Act (“FOIA”) is 

administered at the Federal Trade Commission (“FTC”). Each Federal agency handles 

requests for its own records. If you would like to request documents that may be found at 

several agencies, you must send a separate request to each of those agencies. Each 

agency’s rules are different, and this Handbook covers only the rules of the FTC. If you need 

the FTC’s formal regulations, they can be found at 16 C.F.R. §§ 4.8 through 4.11. You 

also may wish to consult our Common FOIA Misconceptions (page 17 of this Handbook) 

before submitting your FOIA request. You may also want to check our Frequently Requested 

Records page to see if your area of interest has already been responded to. If you have 

questions that this Handbook does not answer, contact the FTC FOIA Office by phone at 

(202) 326-2430; by fax at (202) 326-2477; or by e-mail at FOIA@FTC.GOV. 

II. WHAT IS THE FREEDOM OF INFORMATION ACT?

The FOIA is a federal law that provides for public access to Federal government records in 

two ways. First, the FOIA requires that agencies proactively make public certain types of 

records. These records are available on the Office of Secretary’s webpage or in the Federal 

Register. Second, it allows the public to request copies of records that are not routinely 

placed on the FTC’s public record. The goal of the FOIA is to make all Federal government

agency records available to the public, unless release of the information would cause a 

specific harm. The FOIA describes nine categories of records that are exempt from FOIA, 

this means that agencies need not disclose certain records because of the potential harm 

that disclosure would cause. 

The FOIA does not require an agency to create records, conduct investigations, develop or 

analyze information to answer questions. While we cannot give you specific advice, the 

information we may provide could assist you in reaching your own conclusions. If you have a 

question, our FOIA staff can help you request the records that will be most likely provide the 

information you seek, assuming that information can be found in existing records and is not 

subject to one or more of the FOIA exemptions. 

III. THE PUBLIC RECORD

The FTC routinely posts many documents on its “public record.” There is no need to file a 

formal FOIA request to obtain to those documents. 

Most public records are readily available on the FTC’s website at www.ftc.gov. While public 

records created before 1997 may not be available online, you may be able to get them by 

calling the FTC’s Reading Room at (202) 326-2222, extension 2. Written requests for public 

material should be made to: 

Consumer Response Center (“CRC”)

Federal Trade Commission 

Room 630 

600 Pennsylvania Avenue, NW 

Washington, DC 20580 

 

All requests should clearly and accurately describe the records you want. 
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Requests for documents already on the public record are subject to search and duplication 

costs, as provided in the Commission’s Rules of Practice, 16 C.F.R. § 4.8. Because the cost 

depends on whether the person asking for them is a private person, a member of the news 

media, or a commercial entity, your request must contain enough information to show your 

fee category. Each request must also include either an agreement to pay fees or a request 

for a fee waiver. More information about the Commission’s fee regulations can be found in 

Sections VII(C) and XIII below.

If requested materials are available for sale at another government agency, the requester 

will not be provided with copies of the materials but will be directed to the selling agency. 

A complete list of the types of records that are routinely placed on the public record can be 

found in the FTC Rules of Practice, 16 C.F.R. § 4.9. Some of the more common types of 

records are: 

• Commission Organization and Procedures (administrative staff manuals; 

statements of the Commission’s procedures and policies; records of votes on 

public Commission matters; reprints of the principal laws under which the 

Commission enforces or administers; and a description of the Commission’s 

organization).

• Industry Guidance (any advice, advisory opinion, or response given and required 

to be made public under 16 C.F.R. §§ 1.4 and 2.41 (d) or (f); transcripts of hearings 

in industry guide proceedings; petitions related to industry guides; industry guides 

themselves; and digests of advisory opinions and compliance advice). 

• Rulemaking (petitions related to rules and regulations; notices and advance notices 

of rulemaking; rules and orders issued in rulemaking proceedings; transcripts of all 

rulemaking proceedings, all other materials distributed to the public during these 

proceedings, and written statements or comments submitted to the Commission in 

connection with these proceedings).

• Investigations (petitions to limit or quash compulsory process and FTC responses 

and closing letters its investigations). 

• Adjudicative Proceedings, Stay Applications, Requests to Reopen, and

Litigated Orders (public pleadings; transcripts of testimony and oral arguments; 

exhibits and material received in evidence; initial decisions of administrative law 

judges; orders and opinions in interlocutory matters; final orders and opinions, 

including separate statements of Commissioners; records filed by the Commission 

with the courts in connection with adjudicative, injunctive, enforcement, 

compliance, and condemnation proceedings; and orders of the courts). 

• Consent Agreements (agreements containing orders, after acceptance by the

Commission; comments filed concerning proposed consent agreements; and final 

decisions and orders issued after the comment period, including separate statements 

of Commissioners). 

• Compliance/Enforcement (reports of compliance; and applications for approval of 

proposed divestitures, acquisitions, or similar transactions).

• Access to Documents and Meetings (letters requesting access to Commission 

records under the FOIA and letters granting or denying the requests; 

announcements of Commission meetings under the Sunshine Act, including records 

of the votes to close such meetings; summaries or other explanatory materials 

relating to matters to be considered at open meetings; and minutes of open 

meetings and nonexempt portions (or summaries) of closed meetings; a guide for 

requesting records or information from the Commission, including a description of 

major information and record locator systems).

• Standards of Conduct (memoranda to staff elaborating or clarifying standards 
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described in administrative staff manuals). 

• Other (press releases; grants of early termination of waiting periods under the HartScott-Rodino statutory premerger notification provisions; informal interpretations of 

the premerger Rules given by FTC staff in response to requests for advice on proposed 

mergers (redacting all party identifiers); applications for clearance or authorization to 

appear or participate in a proceeding or investigation and agency responses; 

continuing guaranties filed under the Wool, Fur, and Textile Acts; published reports by 

the staff or by the Commission on economic surveys and investigations of general 

interest; filings by the Commission or by the staff submitted to other Federal agencies 

or state or local government bodies; registration statements and annual reports filed 

with the Commission by export trade associations; identities of holders of registered 

identification numbers (referred to as “RN Numbers”) issued by the Commission; and 

the Commission annual report and any other annual reports made to Congress on 

activities of the Commission). 

IV. TYPES OF COMMONLY REQUESTED NON-PUBLIC FTC RECORDS 

The most frequently requested categories of FTC records requested under the FOIA are (A) 

consumer complaints, (B) material relating to investigations, and (C) administrative 

records. 

A. Consumer Complaints

The FTC maintains computer databases containing consumer complaints submitted to the 

FTC and other law enforcement and consumer protection agencies. Most complaints are 

submitted electronically. We can often provide information from consumer complaints 

entered into the computer databases. If the number of responsive complaints is very great, 

we will contact you to discuss ways of modifying your request to address your needs, while 

minimizing processing costs.

B. Investigative Records

The FTC enforces a number of Federal antitrust and consumer protection laws. Records 

created during law enforcement investigations can include commercial or financial 

information submitted by businesses, inter and intra-agency memoranda and letters, 

attorney opinions and notes, and decisions or orders regarding investigations and 

adjudicative proceedings. Many of the records that fall into this category will have 

information that cannot be made public because it falls within one of the FOIA exemptions. 

C. Administrative Records

While many administrative records are public some may only be accessed through a FOIA 

request. These can include finance and contract documents, personnel records, and 

information technology records. Administrative records, like any other Commission record, 

are subject to the FOIA’s exemptions.

V. EXEMPTIONS TO THE FOIA 

A. The Nine Exemptions

The purpose of the FOIA is to make government information available to the public. 

However, the statute recognizes that disclosure of certain kinds of information would be 

harmful. For this reason, the FOIA exempts nine categories of information from the general 
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mandatory disclosure rule, and excludes certain records from coverage under the FOIA. 

Exemption 1: Classified national defense and foreign relations information

Exemption 2: Internal personnel rules and practices

Exemption 3: Information that is prohibited from disclosure by another 

federal law

Exemption 4: Trade secrets and confidential commercial or financial 

information

Exemption 5: Inter-agency or intra-agency communications protected by 

legal privileges

Exemption 6: Information involving matters of personal privacy

Exemption 7: Certain types of information compiled for law enforcement 

purposes

Exemption 8: Information relating to the supervision of financial institutions

Exemption 9: Geological information concerning wells

These are the most common exemptions that apply to FTC records: 

Exemption 2: Information About Internal Personnel Rules and Practices

FOIA Exemption 2 protects material that relates solely to the FTC’s internal personnel rules 

and practices. “Personnel” concerns such matters as hiring and firing, work rules and 

discipline, as well as compensation and benefits. The FTC also may invoke Exemption 2 to 

withhold documents about inconsequential administrative matters that are of no genuine

public interest. 

Exemptions 3 & 4: Information Prohibited from Disclosure By Other Federal

Laws, and Trade Secrets and Other Confidential Business Information

In the course of its work, the FTC obtains a great deal of sensitive or confidential information 

about businesses. Disclosure of this information often could cause competitive harm to those 

businesses. Moreover, businesses are more willing to provide information to the FTC if they 

know that the government will protect their sensitive information. Accordingly, the law 

recognizes the importance of protecting much of this information from disclosure. FOIA 

Exemptions 3 and 4, together with other statutory provisions, require the agency to withhold 

trade secrets and other confidential commercial or financial information. Exemption 3 

provides that if a law other than the FOIA prohibits the release of certain information, that 

information may not be disclosed under the FOIA. The following statutory provisions protect 

the release of certain information provided to the FTC by businesses or other outside parties: 

 Proposals submitted by a contractor in response to the requirements of a solicitation

for a competitive proposal are exempt from release under FOIA if those proposals

have not become incorporated into an ensuing government contract. 41 U.S.C. §

4702. Winning contract bids are protected by this exemption only to the extent they

are not incorporated into an ensuing government contract.

 Section 6(f) of the Federal Trade Commission Act (“FTC Act”), 15 U.S.C. § 46(f),

requires the agency to protect the confidentiality of trade secrets and other

commercial or financial information obtained from a business. FOIA Exemption 4 also

explicitly exempts this type of information from disclosure; the two provisions are

normally applied together.

 The Hart-Scott-Rodino (“HSR”) amendments to the Clayton Act, 15 U.S.C. § 18a,

require submission of information to the FTC about certain proposed mergers and

acquisitions. All information and documentary material submitted to the FTC under 
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the HSR amendments are exempt from the FOIA's disclosure requirements and 

may not be made public “except as may be relevant to any administrative or 

judicial action or proceeding.” 15 U.S.C. § 18a(h). 

 The FTC has the authority to require businesses or individuals to submit information

needed for investigations. This authority is known as compulsory process. Sections

21(b) and 21(f) of the FTC Act prohibit the release of information obtained through

compulsory process, or submitted to the FTC voluntarily by a party when compulsory

process might otherwise have been used.

 Material that the FTC receives from a foreign law enforcement agency or other foreign

government agency, as well as consumer complaint information received from other

foreign sources is exempt from mandatory disclosure when the agency or foreign

source providing the material requests confidentiality as a condition of providing the

information. Section 21(f)(2)(A)(i)–(ii) of the FTC Act, 15 U.S.C. § 57b-2(f)(2)(A)(i)-

(ii). Additionally, any material reflecting a consumer complaint submitted to a

Commission reporting mechanism sponsored in part by foreign law enforcement

agencies or other foreign government agencies is exempt from mandatory disclosure.

Section 21(f)(2)(A)(iii) of the FTC Act, 15 U.S.C. § 57b-2(f)(2)(A)(iii).

 Pharmaceutical agreement filings submitted pursuant to the Medicare Prescription

Drug, Improvement, and Modernization Act of 2003 are exempt from release under

FOIA. 21 USC 355.

The FOIA exemptions, the FTC Act, and the various Exemption 3 provisions protect trade 

secrets, confidential commercial information, and information submitted to the FTC during 

its law enforcement investigations from disclosure under FOIA. 

Example: In response to an FTC investigation of the nutrition claims of a health food snack, 

a distributor or manufacturer supplies the FTC with information about the snack’s 

ingredients, advertising budget, and sales profits. Both the FOIA and the FTC Act require the 

FTC to withhold all such information because it is confidential business information and, with 

respect to the commercial food recipe, a trade secret. Disclosing such information to the 

public would harm the distributor’s competitive position and make it, and others, less likely 

to cooperate with government investigations for fear of losing competitive advantage. 

Exemption 5: Internal Government Documents

FOIA Exemption 5 allows the FTC to withhold some internal government communications, 

including memoranda or letters transmitted within the FTC or between the FTC and other 

government agencies. The exemption protects records that would normally not be available 

to a private party involved in litigation with the FTC. The exemption typically covers the 

following legal privileges: 

• Deliberative process: This privilege allows the FTC to withhold information that is

predecisional (i.e., prepared in advance of an agency decision in a particular matter)

and deliberative (i.e., prepared to aid in the decision-making process). The FOIA

allows the agency to withhold records of this type to facilitate open and candid

discussion among government employees as part of agency decision-making. The

exemption is also intended to avoid causing confusion among the public resulting

from the release of information that does not reflect the agency’s fully-considered

position. However, the agency must release segregable facts contained in these

records.

• Work product: The work-product privilege protects material prepared because of

actual or anticipated litigation. The privilege protects not only an attorney’s mental
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impressions, theories, and thought processes, but also the facts that are collected 

in such documents. 

• Attorney-client communications: The attorney-client privilege protects confidential

communications between an attorney and a client over a legal matter for which the

client has sought legal advice. The privilege is intended to encourage full and frank

communication between attorney and client. This privilege protects the entire

document.

Example: In a law enforcement investigation that is likely to go to trial, the FTC's Office of 

the General Counsel may be asked to prepare memoranda analyzing whether the FTC has 

jurisdiction and outlining the arguments the FTC’s attorneys could use to defend its 

jurisdiction in court. The FTC may use all three of these privileges to withhold such 

memoranda. 

In accordance with the FOIA, the deliberative process privilege generally will not apply to 

records created 25 years or more prior to the date of the FOIA request. The presumption 

favoring release does not apply to portions of internal documents that are protected by 

other exemptions. The General Counsel’s delegee (on initial requests) and the General 

Counsel or delegee (on appeal) shall apply this policy in determining whether to release 

internal documents.

Exemption 6: Personal Information

Exemption 6 allows agencies to withhold personnel, medical, and similar records to 

prevent a clearly unwarranted invasion of personal privacy. In addition, Exemption 7(C) 

(see below) allows agencies to withhold personal information that is part of an 

investigative file. Before invoking either of these exemptions, the FTC must determine that 

the individual’s right to privacy is greater than the public’s interest in the information in 

question. 

Example: Although the Commission’s Consumer Sentinel database informs consumers that 

this agency may disclose their identity, the FTC usually withholds the personally identifying 

information of individuals from consumer complaints received by the Commission. The 

individual's right to privacy outweighs the public’s interest in knowing the personal 

information.

Exemption 7 and Subparts: Law Enforcement

FOIA Exemption 7 allows the FTC to withhold law enforcement records where release could 

harm law enforcement efforts in one or more ways listed in the statute. Because the FTC is a 

law enforcement agency, the FTC often invokes this exemption. There are six subparts, (A) 

through (F), of Exemption 7, three of which apply commonly to FTC records. Exemption 7(A) 

allows the FTC to withhold information in law enforcement investigations if disclosure could 

reasonably be expected to interfere with enforcement efforts (e.g., by alerting a target of 

the existence of an investigation, or by revealing investigative strategies). As noted above, 

Exemption 7(C) allows the FTC to withhold personal information from an investigative file. 
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Exemption 7(D) allows the FTC to withhold records that could reveal the identity of a 

confidential source. The FTC’s practice is to treat third-parties that provide information 

during the course of a law enforcement investigation as confidential sources whenever 

possible. 

Example: Exemption 7 would probably apply in a number of ways to an ongoing FTC 

investigation of a franchisor triggered by allegations from several franchise owners about 

misrepresentations of potential earnings. The FTC may use Exemption 7(A) to withhold all 

records that reveal investigative strategies of the FTC or that may show that the franchisor is 

an investigation target. It may also use Exemption 7(C) to withhold information about the 

franchisees’ personal finances, because the public has little right to know about information 

that is not related to government operations or business. Finally, it might invoke Exemption 

7(D) to protect the complaining franchisees’ identities. 

VI. Records Excluded from Coverage Under the FOIA

In addition to the FOIA’s exemptions, Congress has identified three types of materials 

that are not subject to disclosure under the FOIA: 

1. Criminal investigative records that could reveal the existence of the investigation 

to the target, leading to interference with the proceeding (5 U.S.C. § 552(c)(1)); 

2. Records related to a criminal informant that would identify that individual’s 

previously undisclosed identity as an informant (5 U.S.C. § 552(c)(2)); 

3. Classified FBI records related to foreign intelligence, counter-intelligence, or 

terrorism (5 U.S.C. § 552(c)(3)). 

These FOIA exclusions recognize that even acknowledging the existence of certain types 

of records may cause as much harm as their disclosure, so the law excludes those classes 

of records from the disclosure requirements. Since the FTC does not prosecute alleged 

criminal violations, we typically only apply an exclusion when we discover evidence of a 

criminal violation that may be turned over to other agencies for prosecution (Exclusion 

(c)(1)). 

VII. HOW TO FILE A FREEDOM OF INFORMATION ACT REQUEST 

A. What You Need to Include in Your Request

All FOIA requests must be in writing. You may submit your written request via e-mail, fax, 

U.S. mail, or via our secure online form. To file a request, identify your letter as a “Freedom 

of Information Act Request” to ensure that it is handled promptly. Additionally, we can 

respond to your request more quickly if the letter precisely describes the records you seek. 

At a minimum, your FOIA request should contain:

• Your name, address, and daytime telephone number or email address, in case 

we need to contact you to discuss your request. 

• A precise description of the records that you seek, e.g., consumer complaints or 

investigative files about a particular company or product.

• Your willingness to pay the applicable fees, if any, associated with processing your

FOIA request. (See Section VII.C. Processing Fees.) 

• If you are seeking a fee waiver or reduced fees, sufficient information to show that (1) 

disclosure of the information you are seeking will likely contribute significantly to 

public understanding of government activities or operations, and (2) the request is not 

primarily to serve your commercial interest (e.g., you are seeking information for 
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research purposes, or the public interest in disclosure outweighs your commercial 

interest). 

• If you are seeking expedited treatment, sufficient information to show that (1) failure 

to obtain the records quickly could pose an imminent threat to the life or safety of an 

individual; or (2) your primary job is to disseminate information and there is an 

urgency to inform the public about actual or alleged Federal government activity.

• If you are seeking records about a company, the exact name and address of the 

company, if you know it. Because many companies share similar names, you can 

help us identify the information you want by indicating the type of business that the

company is engaged in. 

 If you are seeking a copy of a consumer complaint that you submitted, you must 

include the address that was included with the original complaint. 

• The relevant time period. (Do you want us to search only for records that were 

created during a specific time period? Remember that information in newer records 

may be more relevant and easily located.)

B. Where to Send Your Request

Regardless of how you send your request (via e-mail, fax, U.S. mail, or other delivery 

service), address it as follows: 

Freedom of Information Act Request 

Office of General Counsel

Federal Trade Commission 

600 Pennsylvania Ave., N.W.

Washington, D.C. 20580 

and the fax number for the FOIA branch is (202) 326-

2477. 

The e-mail address is FOIA@FTC.GOV 

C. Processing Fees

The FOIA allows the FTC to charge fees to process some FOIA requests. (See subsection D 

for information about the FTC’s fee schedule.) Your request must include a statement of 

your willingness to pay fees, and should include the amount you are willing to pay. If you 

are willing to pay fees only up to a certain amount, you may say that in your letter. If we 

estimate that the cost to process your request will exceed $25, we will not begin to process 

it until we have a fee agreement in place. If we do not receive a fee agreement within 20 

calendar days after providing notice that a fee agreement is needed, we will close your 

request. We reserve the right in appropriate cases to require that some or all of the fees be 

paid in advance. If you have unpaid fees from a previous FOIA request, you may be 

required to pay those fees before we process your new request. 

You may ask for a waiver of processing fees if your request meets certain requirements. The 

FOIA permits us to grant a fee waiver if you show that a waiver is appropriate under the 

following standards: (1) disclosure of the information you are seeking will likely contribute 

significantly to public understanding of government activities or operations, and (2) the 

request is not primarily to serve your commercial interest.

Example: A fee waiver would likely be denied if a request seeks only consumer complaints 

about a company, because consumer complaints about a particular company, standing 

alone, do not provide information about how the FTC operates. However, fees might be 
9 

waived for a request seeking communications between the FTC and Congress or other 

Federal agencies (if the other required conditions are also met) because such documents 

could provide information about how the FTC carries out its duties. 

Untimely responses. Except as provided below, search fees for responding to a FOIA 

request will not be assessed for responses that fail to comply with the time limits as 

provided at 5 U.S.C. 552(a)(4)(A)(viii) and §4.11(a)(1)(ii), if there are no unusual or 

exceptional circumstances, as those terms are defined by 5 U.S.C. 552(a)(6) and 

§4.11(a)(1)(ii). Except in unusual or exceptional circumstances (as described below), 

duplication fees will not be assessed for an untimely response made to a requester 

qualifying for one of the fee categories set forth in §4.8(b)(2). 

If we determine that unusual circumstances apply and provide you a timely written notice in 

accordance with 5 U.S.C. 552(a)(6)(B), the delay in a response is excused for an additional 

10 days. If we fail to comply with the extended time limit, we will not charge search fees (or 

for a requester qualifying for one of the fee categories set forth in §4.8(b)(2) will not charge 

duplication fees). 

If we determine that unusual circumstances apply and more than 5,000 pages are 

necessary to respond to the request, we may charge search fees (or, for requesters 

qualifying for one of the fee categories set forth in §4.8(b)(2), may charge duplication fees) 

if we have given you timely written notice and have discussed with you via written mail, 

electronic mail, or telephone (or made not less than 3 good-faith attempts to do so) how 

you could effectively limit the scope of the request. 

If a court determines that exceptional circumstances exist, the Commission’s failure to 

comply with a time limit shall be excused for the length of time provided by the court order. 

D. FEE SCHEDULE

Fees for processing FOIA requests depend on the fee category of the requester. Some 

services are provided without charge, as noted in the table below. Generally, commercial 

requesters are those who seek information to further the commercial, trade, or profit 

interests of the requester or the person on whose behalf the request is made. An educational 

institution is a school or institution of higher learning which operates a program or programs 

of scholarly research. A non-commercial scientific institution is an institution that is not 

operated on a commercial basis, as that term is referenced in 16 C.F.R. § 4.8(b), and that is 

operated solely to conduct scientific research, the results of which are not intended to 

promote any particular product or industry. A representative of the news media is any 

person or entity that gathers information of potential interest to a segment of the public, 

uses its editorial skills to turn the raw materials into a distinct work, and distributes that work 

to an audience. More exact definitions of these terms can be found at 16 C.F.R. § 4.8(b). 
Requester Fee Categories 

Requester Searching Reviewing Duplication 

Category Charges 

Commercial Fee Fee Fee for all 

(including law Duplication 

firms) 

Educational, Non- No Fee No Fee No Fee for first 

commercial 100 pages 

Scientific 

Institution, or 

News Media 

All other Fee after 2 No Fee No Fee for first 

requesters hours 100 pages 

(including 

members of the 

general public) 

Search and Review Fees (per quarter 

hour): 

Clerical $8.00 

Other Professional $13.00 

Attorney/Economist $20.00 

No fees to be charged if cost for all services is below $25.00 

this amount 

Duplication: 

Paper to paper copy (up to 8.5" x 14") $0.14 per page 

Converting paper into electronic format (scanning) Quarter-hour rate of 

operator (Clerical, Other 

Professional, 

Attorney/Economist) 

10 
Other reproduction (e.g., computer disk or printout, Actual direct cost, 

microfilm, microfiche, or microform) including operator time 

Electronic Services: 

Preparing electronic records and media $10.00 per qtr. hour 

Compact Disc (CD) $3.00 per disc 

DVD $3.00 per disc 

Videotape Cassette $2.00 per cassette 

Microfilm Services: 

Conversion of existing fiche/film to paper $0.14 per page 

Other Fees: 

Certification $25.00 each 

Express Mail U.S. Postal Service 

Market Rates 

Records maintained at Iron Mountain or Washington Contract Rates 

National Records Center facilities (records retrieval, refiling, etc.) 

Other Services as they arise Market Rates 

11 
12

VIII. HOW THE FTC RESPONDS TO FOIA REQUESTS 

A. Response Time

We answer most requests within the statutory time limit of 20 working days following the 

receipt of a request, without need for an extension. Unless it is a simple request or a 

request that we can process in fewer than three days, we will send you an acknowledgmen

letter informing you we have received your request. We may also contact you during 

processing to ask questions or to give you a status report. If we need additional informatio

or clarification about your request, we may put your request on hold temporarily, while we 

try to reach you. If we have not been able to reach you during the hold period, to resolve 

these issues, we may close the request. You may check the status of your request on our 

Track Your FOIA Request webpage, or by calling the FOIA specialist who is processing your

request. 

t 

n

1) Extensions of Time for Responding to FOIA Requests

After a request has been perfected, the FOIA requires us to respond to requests within 20 

working days, but it also gives us the right to extend that time under unusual or exceptional 

circumstances. A formal 10-day extension of the FOIA’s time limits may be invoked under 

unusual circumstances, which are defined by the FOIA statute to include when the 

responsive documents: (1) are located in offices separate from the FOIA office; (2) are 

voluminous; or (3) require two or more FTC offices to confer about the documents. 

If we need to invoke a formal extension of the response time, we will notify you in writing by 

the 20th working day after we receive your request. You will be given the opportunity to 

modify your request, in order to reduce the necessary processing time. 

When we cannot process your request within the extended time limit (i.e., 20 working days 

+ 10-day extension), we will notify you and give you an opportunity to limit the scope of 

the request so that it may be processed within this time limit, or to arrange an alternative 

time frame for processing the request or a modified request. In exceptional circumstances, 

when the request cannot be processed within the extended time limit, we will also make the 

agency’s FOIA Public Liaison available to assist in the resolution of any dispute and notify 

you of the right to seek dispute resolution services from the Office of Government 

Information Services. “Exceptional” circumstances will not include delays resulting from a 

predictable workload of requests under this section. Unwillingness to make reasonable 

modifications in the scope of the request or to agree to an alternative time frame may be 

considered as factors in determining whether exceptional circumstances exist and whether 

the agency has exercised due diligence in responding to the request. 

2) Expedited Processing of FOIA Requests

We generally process requests in the order in which they are received. However, you may 

request expedited handling of your request if you believe there is a compelling need for a 

more rapid response. To qualify for expedited processing, you must show that: (1) failure to 

obtain the records quickly could pose an imminent threat to the life or safety of a specific 

individual; or (2) your primary job is to disseminate information and there is an urgency to 

inform the public about actual or alleged Federal government activity. A FOIA officer will 

respond to your request for expedited treatment within ten calendar days of receiving it to 

let you know whether the request has been granted. If expedited treatment is granted, the 

request will be processed as soon as practicable. 
13

B. Content of Response

We will send you a letter in response to your FOIA request. The responsive documents 

that qualify for release will be included with this letter.

If we did not locate any responsive records, we will state this in the response letter. If we 

locate responsive materials, we will review them to determine whether we can grant full or 

partial access to them, or whether we must withhold them based on the FOIA exemptions. If 

we deny your request in whole or in part, we will list and explain the applicable FOIA 

exemptions and provide the name of the official who made the decision. In our response 

letter we describe the categories of documents being withheld in as much detail as the case 

permits, and give an estimate of the quantity of documents withheld. We do not provide a 

complete index enumerating the withheld documents or portions thereof, nor do we provide 

specific descriptions of them. The response letter concludes with an explanation of the 

procedure for appealing a decision, information about the FTC’s FOIA Public Liaison, 

notification about services provided by the Office of Government Information Services 

(OGIS), and the name and telephone number of someone who can answer questions about 

how we handled your request. If there are any processing fees associated with your request, 

we will include an invoice of the fees incurred and information on how to make the payment. 

We will send the response letter by U.S. Mail unless you specify your preference for another 

medium of delivery. Responses may be faxed, sent via Federal Express, emailed, or 

delivered by courier on a case-by-case basis but only if you are willing to pay certain 

delivery fees and when an explicit agreement is reached between you and FOIA officer. If 

records are not easily copied or duplicated, they will be made available for inspection for 30 

days from the date you are notified unless we approve a request for additional time. 

Some documents that we release may contain both exempt and releasable information.

When we release documents that contain information subject to a FOIA exemption, we 

redact the exempt material and label it with the exemption that applies. In this way, we help 

you to determine the nature and quantity of information that is being withheld. 

1) Materials from Other Agencies

When responsive materials include documents that were received previously from another 

agency, we will contact the submitting agency. The materials will not be released if the 

submitting agency determines that they are exempt. In appropriate circumstances, we may 

refer the request to the submitting agency for processing. 

2) Copyrighted Materials

When responsive materials include copyrighted documents, such as published advertising 

substantiation materials, you ordinarily will receive copies of copyrighted materials unless 

doing so would violate section 6(f) of the FTC Act by adversely affecting the commercial value 

of the copyright. In that case, the materials would be withheld from release. For example, 

the FOIA Office will ordinarily release copies of materials otherwise available for sale (such as 

a Dun and Bradstreet or Lexis-Nexis Report) in the absence of sufficient evidence to 

demonstrate that potential customers of records sold by companies would utilize the FOIA as 

a substitute for directly purchasing the records from those companies. 
14

Other factors we consider in determining whether to release particular materials may include 

the amount of material requested, the age of the material, and whether it is still available 

from the copyright holder. Works that comprise a small portion of a publication are more 

appropriately copied than works that comprise a large portion of a publication. Although 

determinations will be made on a case-by-case basis, requesters will rarely be provided 

copies of entire books. 

3) Retention of Requested Documents

When a FOIA requester has been denied access to documents, the documents will be 

retained until the expiration of the ninety-day period during which the requester may file an 

administrative appeal. In appropriate cases, the responsive documents will also be retained 

in compliance with the FTC’s record retention policy. 

IX. APPEALS

Within 90 days of the receipt of the final FOIA response, you have the right to an 

administrative appeal of any full or partial denial of access. In some cases, you may also ask 

that the FTC exercise its discretion to release information even though it is exempt from 

mandatory disclosure. Appeals must be in writing and include a copy of the initial request

letter as well as the initial response letter. If you believe the FTC should exercise its 

discretion and disclose additional materials beyond what the FOIA requires, you need to 

explain why this would be in the public interest. FOIA appeals are decided by the General 

Counsel (or the General Counsel’s designee). To ensure an independent review of the issues 

presented on appeal, individuals other than those who processed and decided the initial 

request advise the General Counsel on appeals. The General Counsel has authority to

release documents that are exempt from disclosure, but are unlikely to cause harm to the 

agency’s activities, individuals, or businesses, if released. 

Appeal letters should be addressed to: 

Freedom of Information Act Appeal 

Office of the General Counsel 

Federal Trade Commission

600 Pennsylvania Avenue, N.W. 

Washington, D.C. 20580 

If you are not satisfied with the General Counsel’s decision you may obtain review of that 

decision in a Federal District Court. See 5 U.S.C. § 552(a)(4)(B). Decisions of the District 

Court may be appealed to the Court of Appeals and further review may be sought in the 

U.S. Supreme Court. 

X. INDEX OF MAJOR FTC INFORMATION AND RECORD LOCATOR SYSTEMS

As required by subsection (g) of the FOIA, the following is a list and brief description of 

the major information and record locator systems maintained by the FTC: 

• MMS (Matter Management System) is an automated system that tracks 

significant events for Commission investigations, projects, rulemaking 

proceedings, and adjudications. 

• OSCAR (Office of the Secretary Control & Reporting System) provides information 

about the Commissioners’ assignments and actions. 

• Doc-Smart (Document Storage Management And Retrieval Tool) is a full-text
15

retrieval system that provides quick access to Commission documents for research 

purposes or for use in current work.

• CIS (Consumer Information System) tracks and manages information about 

consumer complaints. This information includes identification of the company, 

alleged statute and rule violations, products, and the content of consumer 

complaints. 

• Consumer Sentinel is a joint project of the FTC and the National Association of 

Attorneys General that assists U.S. law enforcement agencies in collecting and sharing 

information about companies and company representatives suspected of telemarketing 

fraud. 

• CCTS (Chairman's Correspondence Tracking System) records the correspondence 

received by the Office of the Chairman and tracks the handling of that 

correspondence. 

• OSTS (Office of the Secretary Correspondence Tracking System) records the 

Congressional correspondence and monitors the review and response to that 

correspondence. 

• Premerger Notification System tracks Hart-Scott-Rodino filing information for the FTC 

and DOJ. Information from HSR filings is transferred into this database. The system 

is used by litigation staff for antitrust analysis, litigation support, and to 

compile merger statistics. 

• FFS (Federal Financial System) helps the FTC manage its budget and 

expenditures. 

• STAR (Staff Time and Activity Reporting System) records the time spent by FTC staff 

on individual investigations, projects, and other activities of the agency.

• FOIA (Freedom of Information Act) System maintains information about each 

request, the subject of the request, the disposition of the request, and the 

exemptions claimed. 

XI. PRIVACY ACT

The Privacy Act restricts the collection, maintenance, use, and dissemination of information 

concerning individuals that is found in “systems of records.” 5 U.S.C. 552a. The Act allows 

agencies to maintain in their systems of records only such information about individuals as is 

relevant and necessary to accomplish a function required by statute or Executive Order. 

Commission employees or contractors may collect information directly from an individual 

when the information may result in adverse determinations about an individual's rights, 

benefits, or privileges under Federal programs. A Privacy Act Statement disclosure must be 

provided to each individual from whom information is sought, if that information will be 

retrieved by using a personal identifier. This requirement applies to subpoenas, section 6(b) 

orders, access letters, witness interviews, surveys, and other inquiries or forms. 

 

The Privacy Act also gives individuals the right to access information the government 

maintains about them in these systems of records. As under the FOIA, each Federal agency 

handles its own requests for records under the Privacy Act. To make a request under the 

Privacy Act, you should contact the agency that you believe may have records about you. 

The Privacy Act allows you to (1) request notification if the Commission maintains a record1

 

1

“Record” means any item, collection, or grouping of information about an individual that is 

maintained by the Commission, (including, but not limited to, education, financial 

transactions, medical history, and criminal or employment history) that contains a name, or 

identifying number, symbol, or other identifying particular assigned to the individual, such 

as a finger- or voiceprint or a photograph. It does not include information about 

proprietorships, businesses, or corporations. 
16

pertaining to you in any system of records,2

 (2) request access to such a record or to an 

accounting of its disclosure, (3) request that the record be amended or corrected, and (4) 

appeal an initial adverse determination of any request.

When you make a Privacy Act request to the FTC, we search our systems of records for any 

information indexed by your name, or any other identifying information. The FTC systems of 

records subject to the Privacy Act are organized into seven categories: (1) law enforcement 

systems, (2) FTC personnel systems, (3) FTC financial systems, (4) correspondence 

systems, (5) access request systems, (6) mailing list systems, and (7) miscellaneous 

systems. More information about the Privacy Act and a complete list of the FTC’s Privacy Act 

systems can be found at the FTC’s website. FTC regulations related to the Privacy Act, 

including procedures for making a Privacy Act request, are found at 16 C.F.R. §4.13. 

XII. GOVERNMENT IN THE SUNSHINE ACT

The Government in the Sunshine Act (“Sunshine Act”), 5. U.S.C. § 552b, gives the public 

the right to observe Commission meetings, except when the topics to be discussed at those 

meetings concern certain types of issues. When the Commission determines that certain 

types of information, which should remain confidential, are likely to be discussed at a 

Commission meeting, the Sunshine Act allows the agency to hold the meeting in a closed 

session. Whether a Commission meeting will be open or closed depends on the kind of 

information that will probably be discussed, not on what documents have been submitted. 

Therefore, access to Commission meetings and records of meetings is controlled by the 

Sunshine Act, but access to documents presented to the Commission, such as 

recommendations and memoranda, is controlled by the FOIA. The Commission’s vote to 

have a closed meeting and the General Counsel’s determination that allows the meeting to 

be closed are available on the public record. In addition, the nonexempt portions of the

minutes of those meetings are made public after the meeting. 

The Sunshine Act requires that the agency maintain a record of business conducted in 

closed meetings. The record may consist of a transcript, electronic recording, or minutes 

except that, for meetings closed because of applicable Sunshine Act exemptions, the only 

acceptable record is a transcript or electronic recording. Portions of the record that are 

determined not to be exempt under the Sunshine Act will be released to the public. The 

Sunshine Act does not require the maintenance of any record of business conducted at 

open meetings. The Sunshine Act, like the FOIA, requires disclosure of certain records of 

Commission meetings, but it contains exemptions that differ from those under the FOIA in 

significant respects. For example, the Sunshine Act does not contain an exemption parallel to 

FOIA Exemption 5, although it does contain exemptions that protect many materials covered 

by FOIA Exemption 5. When dealing with requests for records of Commission meetings, 

Sunshine Act exemptions, rather than FOIA exemptions, apply. 

The FTC regulations related to the Government in the Sunshine Act are found at 16 C.F.R. § 

4.15. 

 

2

To qualify under the Privacy Act, such a system must be one that uses an indexing or 

retrieval system in which “records” are retrieved by an individual identifier. A collection of 

records is not a “system of records” if it contains an identifier that is not actually used to 

retrieve records (e.g., a computer system that contains names but is not programmed to 

retrieve records using those names). 
17

Common Misconceptions 

1. The most commonly requested records that we do not have include:

-Credit Reports. We do not have a copy of your credit report, nor can we supply 

you with a copy of your credit report. You can go to https://www.annualcreditreport.com

to obtain a free copy of your credit report(s). More information about obtaining your free 

annual credit report is available on the FTC’s website. 

- Uniform Franchise Offering Circulars. Franchisors are not required to file 

these documents with the FTC and we do not generally have copies. However, many 

state laws require these documents to be filed with a division of that state’s government. 

Some states, such as California and Minnesota, make these documents available on their 

state government websites. 

-Non-FTC Records. Please make sure that you are submitting your FOIA request to

the correct Federal Agency or Office. We do not have access to other agencies’ records, and 

you must request those records directly from the appropriate Federal Agency or Office. For 

example, if you are looking for personal information that you believe the Department of

Labor may have, you must submit your FOIA request to that agency’s FOIA Office. 

You should also make sure that the records you seek are maintained by the Federal 

government, as opposed to a state government. Many personal records, such as your 

driving record or educational records, are maintained by state agencies or universities. 

State Attorneys General and other agencies also have the authority to investigate and 

prosecute much of the conduct over which the FTC has authority. Just because the FTC (or 

another Federal agency) does not have the records you seek does not mean that a state 

agency would not have them. Every state has a law similar to the FOIA that allows access 

to state records. 

-Criminal Records. The FTC is not a criminal law enforcement agency and does not 

typically investigate or prosecute violations of criminal laws. When our investigations reveal 

possible criminal conduct, we refer that conduct to the appropriate agency, such as the 

Federal Bureau of Investigations of the Department of Justice. It is important to understand 

that many criminal investigations and prosecutions are conducted by state and local 

agencies. If you are seeking information about a criminal investigation or prosecution, you 

should submit your request directly to the agency that conducted the investigation or 

prosecution. 

-Background Investigations and Other Information About Individuals. The 

FTC only maintains information about individuals that pertains to our consumer 

protection or competition missions, or the administrative functions of the agency. That 

means we only have information about an individual under very limited circumstances, 

such as when he or she was the subject of an FTC investigation. We collect, use, store, 

and dispose of personal information consistent with our obligations under the Privacy Act, 

which means we only maintain personal information that we actively use, and dispose of 

information when it is no longer needed. More information about the information we 

collect and maintain can be found in the FTC’s System of Records Notices at the website. 
18

Background investigations for employment by the Federal government are normally 

conducted by the Office of Personnel Management (which conducts investigations for the 

FTC), or by the law enforcement, defense, or intelligence agency doing the hiring. 

Requests for results of background investigations related to Federal employment should 

be directed to those agencies. State government agencies and private organizations 

conduct their own background investigations and have their own rules for disclosing the 

results of those investigations. Any request for the results of a background investigation 

by a state agency or private organization should be directed to that employer. 

2. The FOIA Office does not know the status of any complaint that you made to the

Consumer Response Center. 

Filing a complaint with the FTC does not mean that the agency will take steps to resolve 

your individual complaint. Although the Commission has authority under Section 19 of the 

FTC Act to seek consumer redress, it will not, ordinarily, intervene in isolated or individual 

consumer disputes. The Commission’s law enforcement efforts focus on eliminating 

practices that are egregious or affect many members of the public. The FOIA office can 

only provide a copy of the complaint that you filed, or of complaints filed against specific 

businesses. If you are requesting a copy of a complaint you made to the FTC, in your FOIA 

request include your reference number and the address under which the complaint was filed. 

For any other information about how your complaint was handled, you should contact the 

CRC directly at (877) 382-4357. 

3. The FTC cannot offer an opinion about whether a certain company or product is a 

scam. 

When the FTC investigates a company and decides to take legal action, we keep a record of 

the proceedings on our website. Searching our website for a company’s name will reveal 

whether we have taken action against the company, and if so, the alleged law violations and 

outcome of the case. Our website also provides frequent Scam Alerts, which inform 

consumers about the different kinds of scams of which we are aware. 

Likewise, companies are not required to register with the FTC, except in an extremely

narrow set of circumstance involving textile companies. Nor are companies “endorsed” by

the FTC. Many FOIA requests that we receive involve questions about whether a certain 

company is “FTC approved” or “FTC registered”. Such information does not exist. Our office 

can provide you with copies of complaints made against a certain company, so that you can 

make your own decision about whether to do business with that company. It should be 

reiterated that the consumer complaints received by the FTC have not been verified, so the 

information in the complaint only reflects the experience of the person who made the 

complaint. 

4. Finally, it is important to remember that the FTC is not required to create 

documents in order to answer a FOIA request, nor is the FTC required to analyze 

information or documents in order to answer requester questions.