SYSTEM NAME AND NUMBER:

Employee Adverse Action and Disciplinary Records–FTC. (FTC-II-8). 

SECURITY CLASSIFICATION:

Unclassified.

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 website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 80 FR 9460, 

9465 (Feb. 23, 2015).

SYSTEM MANAGER(S):

Chief Human Capital Officer, Human Capital Management Office, Federal Trade 

Commission, 600 Pennsylvania Avenue, NW, Washington, DC 20580.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 4301 et seq.; 5 U.S.C. 4311 et seq.; 5 U.S.C. 7101 et seq.; 5 U.S.C. 7501 et seq.;

5 U.S.C. 7511 et seq.; 5 U.S.C. 7541 et seq.; and 5 CFR parts 293, 315, 432 & 752.

PURPOSE(S) OF THE SYSTEM:

To document proposed and final agency decisions on disciplinary actions, adverse 

actions, and performance-based actions in order for them to be defensible before third-party 

review.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Current or former FTC employees who have been disciplined or had a performancebased action taken against them, or who have a proposed disciplinary or performance-based 

action against them.

CATEGORIES OF RECORDS IN THE SYSTEM:

Case files and records related to adverse actions and performance-based actions (removal, 

suspension, reduction-in-grade) against employees. The file can include a copy of the proposed 

adverse action with supporting documents, statements of witnesses, employee’s reply, hearing 

notices, reports, agency decisions, reversal of action, and appeal records. Other types of records 

are set out in the Office of Personnel Management (OPM) Privacy Act system of records notice 

applicable to this system, OPM/GOVT-3 (Records of Adverse Actions, Performance Based 

Reduction in Grade and Removal Actions, and Termination of Probationers), or any successor 

system notice for this system.

RECORD SOURCE CATEGORIES:

Individual about whom the records pertain, witnesses, supervisors, program managers, 

counselors, related correspondence from organizations or persons.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

Records in this system may be disclosed for any of the routine uses set forth in

OPM/GOVT-3.

In addition, records in this system:
(1) Including records of disciplinary actions, adverse actions and performance-based actions, 

may be disclosed to and used by employee relations specialists or others whose official duties 

require such information;

(2) Including records of official time used and travel and per diem money spent while attending 

to union business, may be disclosed to and used by labor relations specialists and others whose 

official duties require such information. Information in system records may also be disclosed to 

officials of labor organizations recognized under 5 U.S.C. 7101 et seq. when relevant and 

necessary to their duties as exclusive representative; and

(3) May be disclosed to the Federal Labor Relations Authority (including its General Counsel) 

when requested in connection with investigation and resolution of allegations of unfair labor 

practices, in connection with the resolution of exceptions to arbitrator’s awards where a question 

of material fact is raised and matters before the Federal Service Impasses Panel.

For other ways that the Privacy Act permits the FTC to use or disclose 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 website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 83 FR 55541, 

55542-55543 (Nov. 6, 2018).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS: 

Paper records stored in file folders; temporary electronic files.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

Indexed by individual’s name.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records related to adverse actions, performance-based reduction-in-grade and removal 

actions, and termination of probationers are destroyed seven years after case is closed in 

accordance with General Records Schedule 2.3, items 60-62, issued by the National Archives 

and Records Administration. Actions related to labor management relations arbitration are 

destroyed 5 years after final resolution in accordance with General Records Schedule 2.3, item 

52.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:

Access is restricted to agency personnel or contractors whose responsibilities require 

access. Paper records are maintained in lockable rooms or file cabinets. Access to any electronic 

records is controlled by “user ID” and password combination and/or other appropriate access or 

network controls (e.g., firewalls). FTC buildings are guarded and monitored by security 

personnel, cameras, ID checks, and other physical security measures.

RECORD ACCESS PROCEDURES:

See § 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 website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 73 FR 33592, 

33634 (June 12, 2008).

CONTESTING RECORD PROCEDURES:

See § 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 website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 73 FR 33592, 

33634 (June 12, 2008).
NOTIFICATION PROCEDURES:

See § 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 website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 73 FR 33592, 

33634 (June 12, 2008).

EXEMPTIONS PROMULGATED FOR THE SYSTEM:

None.

HISTORY: 

80 FR 9460-9465 (February 23, 2015)

73 FR 33591-33634 (June 12, 2008).