SYSTEM NAME AND NUMBER: 

General Personnel Records—FTC (FTC–II–1). 

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, email: SORNs@ftc.gov. 

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

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301, 1302, 2951, 3301, 3372, 4118, 8347; the Rehabilitation Act of 1973, 29 

U.S.C. 791; Executive Orders 9397, 9830, 12107 and 13164; and 5 CFR pt. 293. 

PURPOSE(S) OF THE SYSTEM: 

The Official Personnel Folder (OPF), its approved electronic equivalent (the electronic 

OPF or eOPF), and other general personnel records are the official repository of the records, 

reports of personnel actions, and the documents required in connection with those actions 

effected during an employee’s Federal service. The personnel action reports and other 

documents, some of which are filed as long term records in the OPF, give legal force and effect 
 

to personnel transactions and establish employee rights and benefits under pertinent laws and 

regulations governing Federal employment. The OPF, which exists in various approved media, is 

maintained for the period of the employee’s service in the Commission and is then transferred to 

the National Personnel Records Center for storage or, as appropriate, to the next employing 

Federal agency. Other records are either retained at the agency for various lengths of time in 

accordance with National Archives and Records Administration records schedules or destroyed 

when they have served their purpose or when the employee leaves the agency. They provide the 

basic source of factual data about a person’s Federal employment while in the service and after 

his or her separation. Records in this system have various uses including: screening 

qualifications of employees; determining status, eligibility, and employees’ rights and benefits 

under pertinent laws and regulations governing Federal employment, including requests for 

reasonable accommodation by applicants with disabilities or sincerely held religious beliefs, 

practices, or observances; computing length of service; and for other information needed in 

providing personnel services. These records and their automated or microformed equivalents 

may also be used to locate individuals for personnel research. Temporary documents on the left 

side of the OPF may lead (or have led) to a formal action, but do not constitute a record of it, nor 

make a substantial contribution to the employee's long term record. 

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

Current Federal Trade Commission employees. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Each category of records may include identifying information such as name(s), date of 

birth, home residence, mailing address, Social Security number, and home telephone number. 

This system includes, but is not limited to, the contents of the Official Personnel Folder (OPF) 
maintained by the FTC’s Human Capital Management Office (HCMO) and described in the 

United States Office of Personnel Management (OPM) Guide to Personnel Recordkeeping and in 

OPM’s Government-wide system of records notice for this system, OPM/GOVT-1. 

(Nonduplicative personnel records maintained by FTC employee managers in other FTC offices 

are covered by FTC-II-2, Unofficial Personnel Records–FTC.) Records in this system (FTC-II-1) 

include copies of current employees’ applications for employment, documentation supporting 

appointments and awards, benefits records (health insurance, life insurance, retirement 

information, and Thrift Savings Plan information), investigative process documents, personnel 

actions, other personnel documents, changes in filing requirements, and training documents. 

Other records include: 

a. Records reflecting work experience, educational level achieved, specialized education 

or training obtained outside of Federal service. 

b. Records reflecting Federal service and documenting work experience and specialized 

education or training received while employed. Such records contain information about past and 

present positions held; grades; salaries; and duty station locations; commendations, awards, or 

other data reflecting special recognition of an employee’s performance; and notices of all 

personnel actions, such as appointments, transfers, reassignments, details, promotions, 

demotions, reductions in force, resignations, separations, suspensions, approval of disability 

retirement applications, retirement and removals. 

c. Records relating to participation in the Federal Employees’ Group Life Insurance 

Program and Federal Employees Health Benefits Program. 

d. Records relating to an Intergovernmental Personnel Act assignment or Federal-private 

exchange program. 
e. Records relating to participation in an agency Federal Executive or SES Candidate 

Development Program. 

f. Records relating to Government-sponsored training or participation in the agency’s 

Upward Mobility Program or other personnel programs designed to broaden an employee’s work 

experiences and for purposes of advancement (e.g., an administrative intern program). 

g. Records connected with the Senior Executive Service (SES), for use in making studies 

and analyses of the SES, preparing reports, and in making decisions affecting incumbents of 

these positions, e.g., relating to sabbatical leave programs, training, reassignments, and details, 

that are perhaps unique to the SES and which may or may not be filed in the employee’s OPF. 

These records may also serve as basis for reports submitted to OMB’s Executive Personnel and 

Management Development Group for purposes of implementing the Office’s oversight 

responsibilities concerning the SES. 

h. Records on an employee’s activities on behalf of the recognized labor organization 

representing agency employees, including accounting of official time spent and documentation in 

support of per diem and travel expenses. 

i. To the extent that the records listed here are also maintained in the agency automated 

personnel or microform records system, those versions of the above records are considered to be 

covered by this system notice. Any additional copies of these records (excluding performance 

ratings of record and conduct-related documents maintained by first-line supervisors and 

managers covered by FTC-II-2) maintained by agencies at field or administrative offices remote 

from where the original records exist are considered part of this system. 

j. Records relating to designations for lump sum death benefits. 

k. Records relating to classified information nondisclosure agreements. 
l. Records relating to the Thrift Savings Plan (TSP) concerning the starting, changing, or 

stopping of contributions to the TSP as well as the how the individual wants the investments to 

be made in the various TSP Funds. 

m. Copies of records contained in the Enterprise Human Resources Integration (EHRI) 

data warehouse (including the Central Employee Record, the Business Intelligence file that 

provide resources to obtain career summaries, and the electronic Official Personnel Folder 

(eOPF)) maintained by OPM. These data elements include many of the above records along with 

additional human resources information such as training, payroll and performance information 

from other OPM and agency systems of records. A definitive list of EHRI data elements is 

contained in OPM’s Guide to Human Resources Reporting and The Guide to Personnel Data 

Standards. 

n. Emergency contact information for the employee (see, e.g., FTC Form 75), which is 

kept on the left side of the OPF. 

RECORD SOURCE CATEGORIES: 

Individual to whom the record applies and agency employees. 

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: 

(1) Performance Related Uses 

(a) To disclose information to any source from which additional information is requested 

(to the extent necessary to identify the individual, inform the source of the purpose(s) of the 

request, and to identify the type of information requested), where necessary to obtain information 

relevant to an agency decision concerning the hiring or retention of an employee, the issuance of 
a security clearance, the conducting of a security or suitability investigation of an individual, the 

classifying of jobs, the letting of a contract, or the issuance of a license, grant, or other benefit; 

(b) To disclose to an agency in the executive, legislative, or judicial branch, or the 

District of Columbia Government in response to its request, or at the initiation of the agency 

maintaining the records, information in connection with the hiring of an employee; the issuance 

of a security clearance; the conducting of a security or suitability investigation of an individual; 

the classifying of jobs; the letting of a contract; the issuance of a license, grant, or other benefit 

by the requesting agency; or the lawful statutory, administrative, or investigative purpose of the 

agency to the extent that the information is relevant and necessary to the requesting agency’s 

decision on the matter; 

(c) By the agency or by OPM to locate individuals for personnel research or survey 

response, and in the production of summary descriptive statistics and analytical studies in 

support of the function for which the records are collected and maintained, or for related work 

force studies. While published statistics and studies do not contain individual identifiers, in some 

instances the selection of elements of data included in the study may be structured in such a way 

as to make the data individually identifiable by inference; 

(d) To provide an official of another Federal agency information needed in the 

performance of official duties related to reconciling or reconstructing data files, in support of the 

functions for which the records were collected and maintained; 

(e) To disclose information to officials of the Merit Systems Protection Board, including 

the Office of the Special Counsel, when requested in connection with appeals, special studies of 

the civil service and other merit systems, review of Office rules and regulations, investigations of 
alleged or prohibited personnel practices, and such other functions, promulgated in 5 U.S.C. 

1205 and 1206, or as may be authorized by law; 

(f) To disclose information to the Equal Employment Opportunity Commission when 

requested in connection with investigations into alleged or possible discrimination practices in 

the Federal sector, examination of Federal affirmative employment programs, compliance by 

Federal agencies with the Uniform Guidelines on Employee Selection Procedures, or other 

functions vested in the Commission by the President’s Reorganization Plan No. 1 of 1978; 

(g) To disclose to prospective non-Federal employers, the following information about a 

specifically identified current or former Federal employee: 

(i) Tenure of employment; 

(ii) Civil service status; 

(iii) Length of service in the agency and the Government; and 

(iv) When separated, the date and nature of action as shown on the Notification of 

Personnel Action, Standard Form 50 (or authorized exception); 

(h) To consider employees for recognition through quality step increases, and to publicize 

those granted. This may include disclosure to other public and private organizations, including 

news media, which grant or publicize employee recognition; 

(i) To consider and select employees for incentive awards and other honors and to 

publicize those granted. This may include disclosure to other public and private organizations, 

including news media, which grant or publicize employee awards or honors; 

(j) To disclose information to any member of the agency’s Performance Review Board or 

other board or panel (e.g., one convened to select or review nominees for awards of merit pay 

increases), when the member is not an official of the employing agency; information would then 
be used for the purposes of approving or recommending selection of candidates for executive 

development of SES candidate programs, issuing a performance appraisal rating, issuing 

performance awards, nominating for Meritorious and Distinguished Executive ranks, and 

removal, reduction-in-grade, and other personnel actions based on performance; 

(k) By agency officials for purposes of review in connection with appointments, transfers, 

promotions, reassignments, adverse actions, disciplinary actions, and determinations of the 

qualifications of an individual; 

(l) By the Office of Personnel Management for purposes of making a decision when a 

Federal employee or former Federal employee is questioning the validity of a specific document 

in an individual’s record; and 

(m) As a data source for management information for promotion of summary descriptive 

statistics and analytical studies in support of the related personnel management functions of 

human resource studies; may also be utilized to locate specific individuals for personnel research 

or other personnel management functions; 

(2) Training/Education Related Uses 

(a) To disclose information to Government training facilities (Federal, State, and local) 

and to non-Government training facilities (private vendors of training courses or programs, 

private schools, etc.) for training purposes; and 

(b) To disclose information to educational institutions on appointment of a recent 

graduate to a position in the Federal service, and to provide college and university officials with 

information about their students working under the Cooperative Education Volunteer Service, or 

other similar programs where necessary to a student’s obtaining credit for the experience gained; 

(3) Retirement/Insurance/Health Benefits Related Uses 
(a) To disclose information to: the Department of Labor, Department of Veterans Affairs, 

Social Security Administration, Department of Defense, Federal agencies that have special 

civilian employee retirement programs; or a national, State, county, municipal, or other publicly 

recognized charitable or income security administration agency (e.g., State unemployment 

compensation agencies) where necessary to adjudicate a claim under the retirement, insurance or 

health benefits programs of the Office of Personnel Management or an agency cited above, or to 

an agency to conduct an analytical study or audit of benefits being paid under such programs; 

(b) To disclose to the Office of Federal Employees Group Life Insurance information 

necessary to verify election, declination, or waiver of regular and/or optional life insurance 

coverage or eligibility for payment of a claim for life insurance; 

(c) To disclose to health insurance carriers contracting with the Office of Personnel 

Management to provide a health benefits plan under the Federal Employees Health Benefits 

Program, information necessary to identify enrollment in a plan, to verify eligibility for payment 

of a claim for health benefits, or to carry out the coordination or audit of benefit provisions of 

such contracts; 

(d) When an individual to whom a record pertains is mentally incompetent or under other 

legal disability, information in the individual’s record may be disclosed to any person who is 

responsible for the care of the individual, to the extent necessary to assure payment of benefits to 

which the individual is entitled; 

(e) To disclose to the agency-appointed representative of an employee all notices, 

determinations, decisions, or other written communications issued to the employee, in 

connection with an examination ordered by the agency under: 

(i) Fitness-for-duty examination procedures; or 
(ii) Agency-filed disability retirement procedures; 

(f) To disclose to a requesting agency, organization, or individual the home address and 

other relevant information concerning those individuals who, it is reasonably believed, might 

have contracted an illness, been exposed to, or suffered from a health hazard while employed in 

the Federal work force; and 

(g) To disclose information to the Department of Defense, National Oceanic and 

Atmospheric Administration, and the United States Coast Guard needed to effect any 

adjustments in retired or retained pay required by the dual compensation provisions of 5 U.S.C. 

5532; 

(4) Labor Relations Related Uses 

(a) To disclose information 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; and 

(b) To disclose information to officials of labor organizations recognized under 5 U.S.C. 

71 et seq. when relevant and necessary to their duties of exclusive representation concerning 

personnel policies, practices, and matters affecting working conditions; and 

(5) Miscellaneous Uses 

(a) To provide data to OPM for inclusion in the automated Center Personnel Data File; 

(b) To be disclosed for any other routine use set forth in the Government-wide system of 

records notice published for this system by OPM, see OPM/GOVT-1, or any successor OPM 

system notice that may be published for this system (visit www.opm.gov for more information); 
 

(c) To disclose information to a Federal, state, or local agency for determination of an 

individual’s entitlement to benefits in connection with Federal Housing Administration 

programs; and 

(d) To locate individuals for personnel research or survey response, and in the production 

of summary descriptive statistics and analytical studies in support of the function for which the 

records are collected and maintained, or for related work force studies. While published statistics 

and studies do not contain individual identifiers, in some instances, the selection of elements of 

data included in the study may be structured in such a way as to make the data individually 

identifiable by inference. 

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: 

Records may be maintained on standard legal-size and letter-size paper, and in electronic 

storage media such as personnel system databases and .pdf forms. 

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

Records are indexed by employee name and social security number. 

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: 

The OPF is maintained for the period of the employee’s service in the agency and is then, 

if in a paper format, transferred to the National Personnel Records Center for storage or, as 

appropriate, to the next employing Federal agency. If the OPF is maintained in an electronic 
format, the transfer and storage is in accordance with the OPM-approved electronic system 

according to the most current version of OPM’s Guide to Personnel Recordkeeping. Destruction 

of the OPF is in accordance with General Records Schedule GRS-2.2, Items 40-41. 

When the individual transfers to any Federal agency or to another appointing office, the 

OPF is sent to that agency or office. All personnel-related medical records, except for those 

relating to reasonable accommodation requests, are covered by a separate OPM Privacy Act 

system of records notice, OPM/GOVT-10. 

Other records. These records are retained for varying periods of time as set out by GRS 

2.2. 

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. (In addition, FTC 

HCMO offices are in a locked suite separate from other FTC offices not generally accessible to 

the public or other FTC staff.) Access to electronic records is controlled by “user ID” and 

password combinations 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 also access their records directly by 
utilizing OPM’s approved electronic Official Personnel Folder system, using their assigned user 

ID and password. 

Former FTC employees subsequently employed by another Federal agency should 

contact the personnel office for their current Federal employer. Former employees who have left 

Federal service and want access to their official personnel records in storage should contact the 

National Personnel Records Center, 1411 Boulder Boulevard, Valmeyer, IL 62295. 

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). Current FTC employees may also access their records directly by 

utilizing OPM’s approved electronic Official Personnel Folder system, using their assigned user 

ID and password. 

Former FTC employees subsequently employed by another Federal agency should 

contact the personnel office for their current Federal employer. Former employees who have left 

Federal service and want access to their official personnel records in storage should contact the 

National Personnel Records Center, 1411 Boulder Boulevard, Valmeyer, IL 62295. 

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). Current FTC employees may also access their records directly by 
utilizing OPM’s approved electronic Official Personnel Folder system, using their assigned user 

ID and password. 

Former FTC employees subsequently employed by another Federal agency should 

contact the personnel office for their current Federal employer. Former employees who have left 

Federal service and want access to their official personnel records in storage should contact the 

National Personnel Records Center, 1411 Boulder Boulevard, Valmeyer, IL 62295. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

86 FR 67056-67060 (November 24, 2021) 

84 FR 16493-16510 (April 19, 2019) 

80 FR 9460-9465 (February 23, 2015) 

74 FR 17863-17866 (April 17, 2009) 

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