SYSTEM NAME AND NUMBER:

Workers’ Compensation—FTC (FTC–II–3).

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 (HCMO), Federal 

Trade Commission, 600 Pennsylvania Avenue, NW, Washington, DC 20580, email: 

SORNs@ftc.gov.

See DOL/GOVT-1 for information about the system manager and address for that 

system.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Federal Employees Compensation Act (FECA), 5 U.S.C. 8101 et seq., 20 CFR 1.1 et seq.

PURPOSE(S) OF THE SYSTEM:

To consider claims filed by employees and/or their survivors for compensation under 

FECA based on work-related injuries, and to maintain records concerning such claims. The 

FECA establishes the system for processing and adjudicating claims that the Commission 

employee and/or the Commission and other covered individuals file with DOL’s Office of 
Workers’ Compensation Programs, seeking monetary, medical and similar benefits for injuries 

or deaths sustained by the individual while in the performance of duty. The records maintained in 

this system are created as a result of and are necessary to this process. The records provide 

information and verification about the individual’s employment-related injury and the resulting 

disabilities and/or impairments, if any, on which decisions awarding or denying benefits 

provided under the FECA must be based.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Individuals (i.e., FTC employees) and/or their survivors who file claims seeking benefits 

under the Federal Employees’ Compensation Act (FECA) for injuries sustained by the individual 

while in the performance of duty. The FECA applies to all civilian Federal employees, including 

various classes of persons whom provide or have provided personal service to the government of 

the United States.

CATEGORIES OF RECORDS IN THE SYSTEM:

This system may contain the following kinds of records: names; Social Security numbers; 

reports of injury by the employee and/or the Commission; claim forms filed by or on behalf of 

injured employees or their survivors seeking benefits under the FECA; forms authorizing 

medical care and treatment; other medical records and reports; bills and other payment records; 

compensation payment records; copies of formal orders for or against the payment of benefits; 

copies of transcripts of hearings conducted; and any other medical, employment, or personal 

information submitted or gathered in connection with the claim. The system may also contain 

information relating to dates of birth, marriage, divorce, and death; notes of telephone 

conversations conducted in connection with the claim; information relating to vocational and/or 

medical rehabilitation plans and progress reports; records relating to court proceedings, 
insurance, banking and employment; articles from newspapers and other publications; 

information relating to other benefits (financial and otherwise) the claimant may be entitled to; 

and information received from various investigative agencies concerning possible violations of 

Federal civil or criminal law. The system may also contain consumer credit reports on 

individuals indebted to the United States, information relating to the debtor’s assets, liabilities, 

income and expenses, personal financial statements, correspondence to and from the debtor, 

information relating to the location of the debtor, and other records and reports relating to the 

implementation of the Federal Claims Collection Act (as amended), including investigative 

reports or administrative review matters. Individual records listed here are included in a claim

file only insofar as they may be pertinent or applicable to the employee or beneficiary.

This system includes only claims-related records maintained by the FTC. Claims are 

transmitted the United States Department of Labor (DOL) for processing and adjudication. Data 

maintained by DOL by the Government-wide system of records notice published by DOL for its 

system of records, see DOL/GOVT-1 (Office of Workers’ Compensation Programs, Federal 

Employees’ Compensation Act File) or any successor DOL system notice that may be published 

for that system.

RECORD SOURCE CATEGORIES:

Employee claiming work-related injury; beneficiaries; witnesses; FTC supervisors, 

managers, and responsible FTC HCMO staff; DOL; suppliers of health care products and 

services and their agents and representatives, including physicians, hospitals, and clinics; 

consumer credit reports, etc.

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 in response to queries from Department of Labor, Office of Workers 

Compensation Programs, supervisors and employees about compensation claims; and

(2) Used or disclosed for any purpose or routine use set forth in the system of records 

notice published by DOL for this system of records, DOL/GOVT-1 (Office of Workers’ 

Compensation Programs, Federal Employees’ Compensation Act File), or any successor DOL 

system notice that may be published for this system.

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: 

Maintained in file folders or 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 are retained and disposed of under the National Archives and Records 

Administration’s General Records Schedule 2.4, items 100-101.

See DOL/GOVT-1 for the retention and disposal schedules that apply to claims files 

maintained by that agency. In general, all case files and automated data in that system pertaining 

to a claim are destroyed 15 years after the case file has become inactive. Case files that have

been scanned to create electronic copies are destroyed after the copies are verified. Automated 
data are retained in their most current form only, however, and as information is updated, 

outdated information is deleted.

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 electronic 

records is controlled by “user ID” and password combination and/or other appropriate 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). Current FTC employees may directly access their records via DOL’s 

electronic system, ECOMP (Employees’ Compensation Operations & Management Portal). 

Access to their specific records is controlled by “user ID” and password combination and/or 

other appropriate electronic access or network controls (e.g., firewalls). See DOL/GOVT-1 for 

information about the notification, record access and contesting procedures for claims records 

maintained by DOL.

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). See DOL/GOVT-1 for information about the notification, record access 

and contesting procedures for claims records maintained by DOL.

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). See DOL/GOVT-1 for information about the notification, record access 

and contesting procedures for claims records maintained by DOL.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:

As explained in DOL/GOVT-1, in accordance with 5 U.S.C. 552a(k)(2), investigative 

materials, if any, in this system of records compiled for law enforcement purposes are exempt 

from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I), and (f) of 5 U.S.C. 552a, provided, 

however, that if any individual is denied any right, privilege, or benefit that he or she would 

otherwise be entitled to by Federal law, or for which he or she would otherwise be eligible, as a 

result of the maintenance of these records, such material shall be provided to the individual, 

except to the extent that the disclosure of the material would reveal the identity of a source who 

furnished information to the Government under an express promise that the identity of the source 

would be held in confidence, or prior to January 1, 1975, under an implied promise that the 

identity of the source would be held in confidence.

HISTORY: 

80 FR 9460-9465 (February 23, 2015)

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