SYSTEM NAME AND NUMBER: 

Office of Inspector General Investigative Files–FTC (FTC-I-7). 

SECURITY CLASSIFICATION: 

Unclassified. 

SYSTEM LOCATION: 

Office of Inspector General (OIG), 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): 

Inspector General, Federal Trade Commission, 600 Pennsylvania Avenue, NW, 

Washington, DC 20580, email: SORNs@ftc.gov. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Inspector General Act Amendments of 1988, Pub. L. 100-504, amending the Inspector 

General Act of 1978, Pub. L. 95-452, 5 U.S.C. app. 

PURPOSE(S) OF THE SYSTEM: 

To document the conduct and outcome of investigations; to report results of 

investigations to other components of the FTC or other agencies and authorities for their use in 

evaluating their programs and imposition of criminal, civil or administrative sanctions; to report 

the results of investigations to other agencies or other regulatory bodies for an action deemed 

appropriate and for retaining sufficient information to fulfill reporting requirements; and to 

maintain records related to the activities of the Office of the Inspector General.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

Subjects of OIG investigations relating to the programs and operations of the Federal 

Trade Commission. Subject individuals include, but are not limited to, current and former 

employees; current and former agents or employees of contractors or subcontractors, as well as 

current and former contractors and subcontractors in their personal capacity, where applicable; 

and other individuals whose actions affect the FTC, its programs or operations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Correspondence relating to the investigation; internal staff memoranda; copies of 

subpoenas issued during the investigation, affidavits, statements from witnesses, transcripts of 

testimony taken in the investigation and accompanying exhibits; documents, records or copies 

obtained during the investigation; interview notes, documents and records relating to the 

investigation; opening reports, information or data relating to alleged or suspected criminal, civil 

or administrative violations or similar wrongdoing by subject individuals and final reports of 

investigation. 

RECORD SOURCE CATEGORIES: 

Employees or other individuals on whom the record is maintained, non-target witnesses, 

FTC and non-FTC records, to the extent necessary to carry out OIG investigations authorized by 

5 U.S.C. app. 

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

Records in this system may be: 

(1) Disclosed to agencies, offices, or establishments of the executive, legislative, or 

judicial branches of the federal or state government–
(a) Where such agency, office, or establishment has an interest in the individual 

for employment purposes, including a security clearance or determination as to 

access to classified information, and needs to evaluate the individual's 

qualifications, suitability, and loyalty to the United States Government, or 

(b) Where such agency, office, or establishment conducts an investigation of the 

individual for the purposes of granting a security clearance, or for making a 

determination of qualifications, suitability, or loyalty to the United States 

Government, or access to classified information or restricted areas, or 

(c) Where the records or information in those records are relevant and necessary 

to a decision with regard to the hiring or retention of an employee or disciplinary 

or other administrative action concerning an employee, or 

(d) Where disclosure is requested in connection with the award of a contract or 

other determination relating to a government procurement, or the issuance of a 

license, grant, or other benefit by the requesting agency, to the extent that the 

record is relevant and necessary to the requesting agency’s decision on the matter, 

including, but not limited to, disclosure to any Federal agency responsible for 

considering suspension or debarment actions where such record would be 

germane to a determination of the propriety or necessity of such action, or 

disclosure to the United States General Accountability Office, the General 

Services Administration Board of Contract Appeals, or any other federal contract 

board of appeals in cases relating to an agency procurement; 

(2) Disclosed to the Office of Personnel Management, the Office of Government Ethics, 

the Merit Systems Protection Board, the Office of the Special Counsel, the Equal 
Employment Opportunity Commission, or the Federal Labor Relations Authority or its 

General Counsel, of records or portions thereof relevant and necessary to carrying out 

their authorized functions, such as, but not limited to, rendering advice requested by the 

OIG, investigations of alleged or prohibited personnel practices (including unfair labor or 

discriminatory practices), appeals before official agencies, offices, panels or boards, and 

authorized studies or review of civil service or merit systems or affirmative action 

programs; 

(3) Disclosed to independent auditors or other private firms with which the Office of the 

Inspector General has contracted to carry out an independent audit or investigation, or to 

analyze, collate, aggregate or otherwise refine data collected in the system of records, 

subject to the requirement that such contractors shall maintain Privacy Act safeguards 

with respect to such records; 

(4) Disclosed to a direct recipient of federal funds such as a contractor, where such record 

reflects serious inadequacies with a recipient’s personnel and disclosure of the record is 

for purposes of permitting a recipient to take corrective action beneficial to the 

Government; 

(5) Disclosed to any official charged with the responsibility to conduct qualitative 

assessment reviews of internal safeguards and management procedures employed in 

investigative operations. This disclosure category includes members of the Council of the 

Inspectors General on Integrity and Efficiency and officials and administrative staff 

within their investigative chain of command, as well as authorized officials of the 

Department of Justice and the Federal Bureau of Investigation;
(6) Disclosed to members of the Council of the Inspectors General on Integrity and 

Efficiency for the preparation of reports to the President and Congress on the activities of 

the Inspectors General; and 

(7) Disclosed to complainants and/or victims to the extent necessary to provide such 

persons with information and explanations concerning the progress and/or results of the 

investigation or case arising from the matters of which they complained and/or which 

they were a victim. 

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: 

The FTC maintains system records in various electronic and non-electronic formats and 

media. The OIG Investigative Files consist of paper records maintained in file folders, cassette 

tapes and CD-ROMs containing audio recordings of investigative interviews, and data 

maintained on computer diskettes and hard drives. The folders, cassette tapes, CD-ROMs and 

diskettes are stored in file cabinets in the OIG. The hard drives are retained in the OIG safe. 

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

The records are retrieved by the name of the subject of the investigation or by a unique 

control number assigned to each investigation. 

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: 
Records are retained and disposed of in accordance with Item 3.5 of FTC Records 

Retention Schedule N1-122-09-1, which was approved by the National Archives and Records 

Administration.

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, which are kept locked 

during non-duty hours. Records in file folders are retained as long as needed and then destroyed 

by shredding or burning. Computer disks and CD-ROMs are cleared, retired or destroyed when 

no longer useful. Entries on electronic media are deleted or erased when no longer needed. To 

the extent records or portions thereof are incorporated into e-mails or other electronic 

communications, access to such electronic records is controlled by “user ID” and password 

combination and/or other electronic access or network controls (e.g., firewalls). FTC buildings 

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

security measures. 

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: 

Pursuant to 5 U.S.C. 552a(j)(2), records in this system are exempt from the provisions of 

5 U.S.C. 552(a), except subsections (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), (10) 

and (11) and (i) and corresponding provisions of 16 CFR 4.13, to the extent that a record in the 

system of records was compiled for criminal law enforcement purposes. 

Pursuant to 5 U.S.C. 552a(k)(2), the system is exempt from 5 U.S.C. 552a(c)(3), (d), 

(e)(1), (e)(4)(G), (H) and (I) and (f) and the corresponding provisions of 16 CFR 4.13, to the 

extent the system of records consists of investigatory material compiled for law enforcement 

purposes, other than material within the scope of the exemption at 5 U.S.C. 552a(j)(2). See 16 

CFR 4.13(m). 

HISTORY: 

74 FR 17863-17866 (April 17, 2009) 

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