[Billing Code: 6750-01P]
FEDERAL TRADE COMMISSION
Privacy Act Notice
AGENCY: Federal Trade Commission
ACTION: Final notice of
new Privacy Act system of records.
SUMMARY: The FTC is establishing
a new system of records under the Privacy Act of 1974, as
amended. This system will include telephone numbers and other
information of individuals who do not wish to receive telemarketing
calls from telemarketers, sellers, and agents. These telephone
numbers will be disclosed to companies to ensure compliance
with the Commission's Telemarketing Sales Rule.
DATES: This system is final
and effective as of [insert date of publication in the Federal
FOR FURTHER INFORMATION CONTACT:
For information about this Privacy Act notice, you
may contact Alex Tang, Attorney, Office of the General Counsel,
FTC, 600 Pennsylvania Avenue, NW, Washington, DC 20580, (202)
For information about the National Do Not Call Registry, please
contact David Torok, Attorney, Division of Marketing Practices,
Bureau of Consumer Protection, Federal Trade Commission, 600
Pennsylvania Avenue, NW, Washington, DC 20580, (202) 326-3075,
As required by the Privacy Act of 1974, as amended, the FTC
previously published a notice of its proposal to establish
a new agency system of records pertaining to individuals,
to be called the "National Do Not Call Registry System-FTC"
(FTC-IV-3). The FTC published its proposal in the February
27, 2002, edition of the Federal Register.
See 67 FR 8986.
The proposal outlined what personal information
the system would collect from individuals, and how we would
use, disclose and maintain that information. As explained
in the proposal, the new records system is intended to help
the FTC implement and enforce the do-not-call requirements
of our Telemarketing Sales Rule, 16 CFR Part 310, as recently
amended.(1) Once it begins
operating, the system, as we explained, will allow you, if
you choose, to place your telephone number on our National
Do Not Call Registry, so that telemarketers, sellers, and
agents will know that you do not want to receive telemarketing
calls from them.(2) You will
have the option of registering through a dial-in system from
the telephone number that you wish to place on the Registry,
or through the National Do Not Call Registry Web site that
will be linked to our main Web site, www.ftc.gov, as described
further below. Our Rule will require telemarketers, sellers,
and agents that are subject to our Rule to check the Registry
at least once every three months to make sure their do-not-call
lists are current and consistent with the Registry at that
time. This requirement should help ensure that you do not
get unwanted telemarketing calls from these telemarketers,
sellers, or agents.
Below, in final form, is the system notice
that the Privacy Act requires us to publish for the system.
Although we received no public comments in response to our
proposal, we have taken this opportunity to make a few minor
clarifications, which we summarize below.(3)
System name. We have added
the word "National" to distinguish our Registry from do-not-call
lists that some states or other organizations maintain. (We
have made the same change in the address of the program manager
for the system.)
Categories of records in the
system. Our proposal explained that the system would
maintain your telephone number, as well as the date and time
you place your number in the system or remove it from the
system. We also proposed to ask you for your telemarketing
preferences, zip code, or other voluntary information. As
explained in the final system notice below, the system will
still record your telephone number and the relevant date and
time, as well as any other information automatically generated
by the system, if you call in to register, verify, or delete
your telephone number from the system. Our proposal explained
that the system will use automatic number identification technology,
also known as "ANI," which is similar to "caller ID," to verify
your telephone number when you call from that number.
If, however, you use the National Do Not
Call Registry Web site to register, the Web site will instead
ask you for an e-mail address to validate and confirm your
registration, since ANI cannot be used in that case to verify
your telephone number. Likewise, the Web site will ask you
to supply an e-mail address if you use the Web site to verify
that your telephone number is in the Registry, or to delete
your number from it. (Of course, you may avoid giving us an
e-mail address by using the dial-in method described above.)
Thus, in this final system notice, we have clarified that
"other information that the individual may be asked to provide
voluntarily" means we will ask you to provide an e-mail address
if you use the Web site to register, or to obtain access to
the system to verify or delete your telephone number from
the system.(4) We do not
intend, however, to ask you for your telemarketing preferences,
zip code, or other personal information, as our original proposal
Authority for maintenance of
the system. We have updated this section to include the
Do-Not-Call Implementation Act, Pub. L. No. 108-10 (Mar. 11,
2003). Congress passed that law after we published our proposed
system notice. The new law allows us to collect fees from
telemarketers, sellers, and their agents in order to maintain
and operate the system.
Routine uses of your information.
We are revising this section to make clear that the "records"
that we may disclose to telemarketers, sellers, and agents
for do-not-call purposes do not include e-mail addresses that
we ask from individuals who register through the National
Do Not Call Registry Web site. That information is collected
only for purposes of registering, verifying, or deleting your
telephone number from the Registry, as explained earlier,
and not for disclosure to telemarketers, sellers, or their
Our proposal explained that, if you want to learn (i.e.,
confirm) whether our National Do Not Call Registry contains
a record of your telephone number, we would require you to
use a dial-in system or "other system" to obtain that notification.
We are revising the language specifically to mention the National
Do Not Call Registry Web site as an option to the dial-in
system, as previously discussed.
Record access procedures.
Our proposal suggested that we might need to ask for e-mail
addresses or other contact information so we could send a
written acknowledgment if you ask us to delete your phone
number from the Registry. The final version of the system
will normally process deletions within 24 hours from when
an individual submits such a request by telephone or through
the National Do Not Call Registry Web site, so we are not
required to send a written acknowledgment to an individual
in those situations.(5) The
revised notice also clarifies that if you want access to any
other information about your registration that the system
may maintain, and the information is not available through
the automated dial-in system or the Web site, you must submit
your request in writing under the Commission's rules. (We
are making the same clarification in the "contesting record
procedures" section discussed below.)
Contesting record procedures.
This section of the proposal referred only to the automated
dial-in system. We are revising this section to include the
National Do Not Call Registry Web site, as described earlier.
Record source categories.
In this section, we repeat that the system includes not only
the information that you provide (i.e., your telephone number,
plus your e-mail address, if you register through the National
Do Not Call Registry Web site), but also information that
the system itself automatically generates (e.g., the date
and time you registered), as discussed earlier. We are also
clarifying that some telephone numbers in our Registry may
come from do-not-call lists that some states or other organizations
separately maintain. See 68 FR at 4641.
Other revisions. The final
notice also includes some additional cross-references and
miscellaneous other revisions (such as the name of the FTC
office that will manage the system, and changing "telemarketers
and their agents" to "telemarketers, sellers, and their agents"),
for clarity and precision.
Privacy Impact Assessment.
Section 208 of the E-Government Act of 2002, Pub. L. No. 107-347,
generally requires that agencies assess the privacy impact
of collecting personally identifiable information online before
initiating such a collection activity or developing or procuring
the technology to do so. The above requirement did not take
effect until after the Commission initiated and legally adopted
the Rule amendments that established the National Do Not Call
Registry, and after the Commission started developing and
procuring the technology for accepting do-not-call registrations
online. Nevertheless, we have assessed the privacy impact
of the system as discussed below. (The Commission's Chief
Information Officer or other designated official has reviewed
1. What information will we be collecting?
See above, and the discussion of "Categories of records" below.
2. Why are we collecting this information?
See above, and the discussion of "Purpose(s)" and "Routine
3. How do we intend to use the information?
See above, and the discussion of "Purpose(s)" and "Routine
4. With whom will we share the information?
See above, and the discussion of "Purpose(s)" and "Routine
5. What notice or opportunities for
consent will individuals have about what information we collect
and how we share it? This notice explains what information
we collect and how we share it. Whether you register and submit
your information to us is completely up to you. If, however,
you do not supply your phone number or other information we
may need to process your request, we cannot put your telephone
number in our National Do Not Call Registry.
6. How will the information be secured?See
the discussion of "Safeguards" below. Our National Do Not
Call Registry Web site will use secure socket layer (SSL)
encryption. We also plan to use the same or comparable technology
when telemarketers, sellers, and their agents access telephone
numbers from the system.
7. Does this create a system of records
subject to the Privacy Act of 1974, as amended? Yes,
as this notice describes.
System Name: National Do
Not Call Registry System-FTC (FTC-IV-3)
System Location: Federal
Trade Commission, 600 Pennsylvania Avenue, NW, Washington,
DC 20580. System records may be maintained, in whole or part,
off-site by contractors.
Categories of individuals covered
by the system: Individuals who notify the Commission
that they do not wish to receive telemarketing calls.
Categories of records in the system:
Telephone numbers of individuals who do not wish to receive
telemarketing calls; information automatically generated by
the system, including date and/or time that the telephone
number was placed on or removed from the Registry; and other
information that the individual may be asked to provide voluntarily
(such as e-mail address, if the individual registers through
the National Do Not Call Registry Web site).
Authority for maintenance of the
system: Federal Trade Commission Act, 15 U.S.C. 41
et seq., Telemarketing and Consumer Fraud and Abuse Prevention
Act, 15 U.S.C. 6101-6108; Do-Not-Call Implementation Act,
Pub. L. No. 108-10 (2003).
Purpose(s): To maintain
records of the telephone numbers of individuals who do not
wish to receive telemarketing calls; to disclose such records
to telemarketers, sellers, and their agents in order for them
to reconcile their do-not-call lists with the Registry and
comply with the do-not-call provisions of the Commission's
Telemarketing Sales Rule, 16 CFR Part 310; to enable the Commission
and other law enforcement officials to determine whether a
company is complying with the Rule; to provide statistical
data that may lead to or be incorporated into law enforcement
investigations and litigation; or for other law enforcement,
regulatory or informational purposes.
Routine uses of records:
Records from this system may be disclosed as permitted by
5 U.S.C. 552a(b), and, as authorized by 5 U.S.C. 552a(b)(3),
in accordance with the routine uses announced by the Commission
in Appendix I of its system notice applicable to all other
agency Privacy Act systems of records (57 FR 45678), as may
be revised and updated from time to time. Additional routine
uses for records in this system are as follows, provided that
no routine use specified either herein or in Appendix I shall
be construed to limit or waive any other routine use published
for this system:
- a. Telephone numbers, but not any e-mail
addresses, submitted by individuals may be made available
or referred on an automatic or other basis to telemarketers,
sellers, and their agents for the purpose of determining
or verifying that an individual does not wish to receive
- b. Records may be made available or referred
on an automatic or other basis to other federal, state,
or local government authorities for regulatory, compliance,
or law enforcement purposes.
Disclosure to consumer reporting
agencies: Not applicable.
Policies and practices for storing,
retrieving, accessing, retaining, and disposing of records
in the system:
Storage: Stored in a computer
database maintained on magnetic disks and tape, or other electronic
systems determined by the Commission in consultation with
staff or contractors.
by area code and phone number of individuals who have informed
the Commission that they do not wish to receive telemarketing
calls. May also be retrieved by other data, if any, compiled
or otherwise maintained with the record.
Safeguards: Access to computerized
records by electronic security precautions. Access is generally
restricted to those agency personnel and contractors whose
responsibilities require access, or to approved telemarketers,
sellers, and their agents. (See also "Purposes" and "Routine
Uses" above to learn how information may be used or disclosed.)
Retention and disposal:
Automated information retained indefinitely, until deleted
pursuant to request by the subject individual, or deleted
automatically after certain period of time, to be determined
by the Commission.
System manager and address:
National Do Not Call Registry Program Manager, Division of
Planning and Information, Bureau of Consumer Protection, Federal
Trade Commission, 600 Pennsylvania Avenue, NW, Washington,
To obtain notification of whether the system contains a record
pertaining to that individual (i.e., the individual's telephone
number), individuals may be required to use a dial-in system
or a designated Web site that will enable the identification
and verification of their telephone numbers. Individuals filing
written requests pursuant to 16 CFR 4.13 will be acknowledged
and directed to use those automated systems.
Record access procedures:
See notification procedures above. To request access to any
information maintained with your registration that is not
available to you through the automated dial-in system or the
designated Web site, you must submit your request in writing
under the Commission's Rules to: "Privacy Act Request, Office
of the General Counsel, Federal Trade Commission, 600 Pennsylvania
Avenue NW, Washington, DC 20580." See 16 CFR 4.13.
Contesting record procedures:
See notification procedures above. Where an individual believes
the system has erroneously recorded or omitted information
that is collected and maintained by the system, the individual
will be afforded the opportunity to register, change, or delete
that information after the automated system identifies and
verifies the telephone number from which the individual is
calling, or the individual provides other requested identifying
information if the individual is using the designated Web
site. To contest the accuracy of any other information maintained
on you that is not accessible to you through the automated
dial-in system or Web site, you must submit your request in
writing under the Commission's Rules to: "Privacy Act Request,
Office of the General Counsel, Federal Trade Commission, 600
Pennsylvania Avenue NW, Washington, DC 20580." See
Commission Rule 4.13, 16 CFR 4.13.
Record source categories:
Individuals who inform the Commission through the procedures
established by the Commission that they do not wish to receive
telemarketing calls. Some records may come from do-not-call
lists that some states or other organizations separately maintain.
Exemptions claimed for the system:
By direction of the Commission.
Donald S. Clark
1. The Rule amendments
were published earlier this year. See 68 FR
4580 (Jan. 29, 2003).
2. In this document,
"you" means an individual who places his or her telephone
number on the National Do Not Call Registry to indicate that
he or she does not wish to receive telemarketing calls from
telemarketers, sellers, or agents.
3. In a separate
document published elsewhere in today's FEDERAL REGISTER,
we are proposing to amend the Privacy Act notice for this
system to explain the extent, if any, that it will apply to
information that telemarketers, sellers, and their agents
separately submit in order to pay for access to the system
and check their do-not-call lists against the system. If you
are an individual who registers your telephone number in our
system, that separate proposed amendment, which would only
affect the information that those companies submit, should
not affect you.
4. As described
in the notice, the system will maintain system information
indefinitely or until it is no longer needed or it is deleted
automatically. In the case of e-mail addresses, we anticipate
that the information will be retained for no more than a year.
5. The Privacy
Act requires agencies to send a written acknowledgment not
later than 10 days after an individual submits a request to
amend his or her record, which would include deleting a record
from the system. See 5 U.S.C. 552a(d)(2)(A). The
United States Office of Management and Budget, which is responsible
for interpreting the Privacy Act, has explained that this
requirement does not apply if the agency processes the request
within the 10-day period that the law would allow for acknowledging
the request. See 40 FR 28948, 28958 (1975). If you
use the National Do Not Call Registry Web site to register
or to delete your telephone number from the system, however,
the system will acknowledge your request by e-mail.