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UNITED STATES
OF AMERICA
FEDERAL TRADE COMMISSION
WASHINGTON, D.C. 20580 |
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DRAFT
[Date]
Brooke J. Dickson
Office of Information and Regulatory Affairs
U.S. Office of Management & Budget
726 West Jackson Place
Washington, D.C. 20503
- Re: Information Quality
Guidelines
Dear Ms. Dickson:
This report sets forth the draft agency
guidelines and draft administrative mechanism for the Federal Trade
Commission (FTC), in accordance with section 515 of the Treasury and
General Government Appropriations Act for Fiscal Year 2001, Pub. L. No.
106-554.
Attachment A contains the required draft
guidelines. Attachment B contains the draft administrative mechanism for
affected persons to seek correction of information that does not comply
with the OMB or agency guidelines.
Should you have any questions concerning
this draft report, please contact Alex Tang, 202/326-2447, or Gary
Greenfield, 202/326-2753, of the FTC Office of General Counsel.
Sincerely,
Stephen Warren
Chief Information Officer
Attachments
cc:
Donald S. Clark, Secretary
Dr. Edward H. Clarke, Office of Management & Budget
ATTACHMENT A
DRAFT
-- MAY 1, 2002
GUIDELINES FOR
ENSURING AND MAXIMIZING THE QUALITY, OBJECTIVITY, UTILITY, AND INTEGRITY
OF INFORMATION DISSEMINATED BY THE FEDERAL TRADE COMMISSION
I. Purpose
These guidelines implement section 515 of
the Treasury and General Government Appropriations Act for FY2001, Pub. L.
No. 106-554, and government-wide guidelines issued by the Office of
Management and Budget ("OMB") for ensuring and maximizing the quality,
objectivity, utility, and integrity of information, including statistical
information, disseminated by Federal agencies that are subject to the
Paperwork Reduction Act, 44 U.S.C. 3502(1).(1)
II. FTC's Role in Public
Information Dissemination
Section 5 of the Federal Trade Commission
("FTC") Act authorizes the FTC to prevent the use of unfair methods of
competition and unfair or deceptive acts or practices in or affecting
commerce. See 15 U.S.C. § 45. Section 6(f) of the Act authorizes
the FTC to make public such portions of information that it obtains under
the Act as are in the public interest, to report to Congress, and to
provide for the publication of its reports and decisions in such form and
manner as may be best adapted for public information and use. 15 U.S.C.
§ 46(f). At the same time, the Commission's authority to disseminate
information is subject to legal restrictions or limitations applicable to
the disclosure, use, or transfer of information that it collects or
maintains. See, e.g., FTC Act § 21(b) & (f), 15 U.S.C. § 57b-2 (b)
& (f) (information obtained pursuant to compulsory process or in lieu
thereof in a Commission law enforcement investigation); FTC Act § 6(f), 15
U.S.C. § 46(f) (trade secrets and confidential commercial or financial
information obtained from a person); Clayton Act § 7A(h), 15 U.S.C.
§ 18a(h) (filings under the Hart-Scott-Rodino pre-merger review program).
III. The FTC's Commitment to
Quality Information Dissemination
In carrying out its functions, the FTC
strives to ensure that the information it disseminates reflects a level of
quality appropriate to the nature and timeliness of the information.
Consistent with applicable disclosure restrictions, the FTC seeks to
disseminate information, including relevant supporting data or analyses,
in as broad and prompt a manner as possible for the public to benefit from
the FTC's efforts and expertise. This general commitment to quality
extends to all information disseminated by the FTC, whether or not the
activity constitutes the "dissemination" of "information" for purposes of
these guidelines. See para. V. of these guidelines below
(definitions).
IV. Information Quality Principles
In accordance with OMB Guidelines,
paragraph III.1., the following quality principles apply as a matter of
general policy to information disseminated by the FTC:
- A. Information that the FTC
disseminates, including factual or statistical data, shall meet basic
standards of quality, including objectivity, utility, and integrity.
B. The FTC shall treat information quality as a performance goal, and
shall take appropriate steps to incorporate information quality criteria
into its information dissemination practices.
C. The specific quality standards that the FTC adopts in a particular
case shall be appropriate for the category of information being
disseminated.
The remainder of these guidelines explain
how the FTC achieves information quality, objectivity, utility, and
integrity, and the administrative mechanism (see para. XI. below)
by which affected persons shall be able to seek and obtain appropriate
correction of information maintained and disseminated by the FTC that does
not comply with the OMB or FTC guidelines.
V. Definitions
For purposes of these guidelines, the
definitions set forth below shall apply, consistent with the OMB
Guidelines, paragraph V. (definitions), which shall also apply. Unless
otherwise stated, information dissemination products and activities that
fall outside the scope of these definitions are not subject to these
guidelines.
- A. "Information" means any
communication or representation of knowledge such as facts or data, in
any medium or form, including textual, numerical, graphic, cartographic,
narrative, or audiovisual forms. This definition includes information
that the agency disseminates from a Web page, but does not include the
provision of hyperlinks to information that others disseminate. This
definition does not include opinions, where the agency's presentation
makes it clear that what is being offered is someone's opinion rather
than fact or the agency's views (i.e., "views" officially approved or
adopted by the agency in an agency-initiated or -sponsored
"dissemination," as defined below).
-
- B. "Dissemination" means
agency-initiated or -sponsored distribution of information to the
public. It does not include, for example:
-
-
- 1. Distribution limited to government
employees or agency contractors or grantees;
-
2. Intra- or inter-agency use or sharing of government information;
-
3. Responses to requests for agency records under the Freedom of
Information Act, the Privacy Act, the Federal Advisory Committee Act
or other similar law;
-
4. Other correspondence with individuals or persons, including, but
not limited to, written agreements with particular entities or
parties, responses to specific requests for advisory opinions or other
advice, etc.;
-
5. Press releases;
-
6. Archival records (e.g., library materials);
-
7. Public filings, including, but not limited to, submissions in
rulemakings or other FTC proceedings or matters, requests, petitions,
applications, supporting materials, etc.;
-
8. Subpoenas, including, but not limited to, civil investigative
demands and other administrative subpoenas or compulsory process,
subpoenas or discovery orders issued in adjudicative proceedings or
court litigation, etc.;
-
9. Information dissemination products relating to or arising from
adjudicatory processes, including, but not limited to, evidence
submitted, analyses prepared, findings and determinations made, and
rulings or opinions issued in any administrative or judicial
litigation or other adjudicatory matter;
-
10. Legally required disclosures, notices, or other information
disseminated by persons or entities other than the FTC, where the text
of such disclosures, notices, or information is not explicitly
prescribed or specified by the FTC itself (e.g., statutorily mandated
text of warning labels on cigarette packages, disclosure language
developed and used by regulated entities in order to satisfy legal
standards established under FTC regulations, orders, or agreements);
and
-
11. Studies, statements, or other issuances or publications by FTC
employees, officials, contractors, consultants, or others who may be
or have been paid, employed, or retained by the FTC, where the
issuance or publication is not represented as being an official
position of the agency or used by the agency in support of its
official position.
-
- C. "Information dissemination product"
means any books, paper, map, machine-readable material, audiovisual
production, or other documentary material, regardless of physical form
or characteristic, the agency disseminates to the public. This
definition includes any electronic document, CD-ROM, or Web page.
D. "Quality" is an encompassing term comprising utility,
objectivity, and integrity.
E. "Utility" refers to the usefulness of the information to its
intended users, including the public. When transparency of information
is relevant for assessing the information's usefulness from the public's
perspective, transparency is addressed to the extent practicable and
appropriate in the FTC's review of the information, as discussed below
in paragraph VIII. of these guidelines. There may be legal limitations,
however, on the FTC's ability to make publicly available the data or
methods underlying a particular information dissemination product, and
persons seeking access to such data or methods must comply with certain
FTC requirements and procedures for requesting such access.
F. "Objectivity" involves two distinct elements, presentation and
substance.
-
1. "Objectivity" includes whether disseminated information is being
presented in an accurate, clear, complete, and unbiased manner,
including whether the information is presented within a proper context
and identifying the source of the disseminated information to the
extent possible in light of confidentiality protections, if any. In a
scientific, financial, or statistical context, the FTC may make
supporting data and models publicly available so the public can assess
for itself whether there may be some reason to question the
objectivity of the sources. Where appropriate, data should have full,
accurate, transparent documentation, and error sources affecting data
quality should be identified and disclosed to users, subject to legal
or other restrictions on disclosure.
-
2. "Objectivity" also involves a focus on ensuring accurate, reliable,
and unbiased information. In a scientific, financial, or statistical
context, original and supporting data are normally generated, and the
analytic results are normally developed, using sound statistical and
research methods.
-
3. To ensure "objectivity" in cases, if any, where the FTC is
responsible for disseminating "influential scientific, financial, or
statistical information," the FTC shall provide the highest
practicable degree of transparency about data and methods to
facilitate the reproducibility of such information by qualified third
parties, consistent with legal restrictions or limitations on
disclosure. See OMB Guidelines, para. V.3.b.ii.A, B & C, and
paras. V.I. (reproducibility) & VIII. (transparency) of these
guidelines below.
-
- G. "Integrity" refers to the
security of information, i.e., protection of the information from
unauthorized access or revision, to ensure that the information is not
compromised through corruption or falsification.
H. "Influential," when used in the phrase "influential
scientific, financial, or statistical information," means that the
agency can reasonably determine that dissemination of the information
will have or does have a clear and substantial impact on important
public policies or important private sector decisions. Whether a
particular FTC information dissemination product is "influential" will
depend on the nature and multiplicity of issues for which the FTC is
responsible and the relationship of the information dissemination
product to those issues.
-
- I. "Reproducibility" means that
the information is capable of being substantially reproduced, subject to
an acceptable degree of imprecision. As provided in the OMB Guidelines,
this standard does not apply to all agency information or data, but only
to "influential scientific, financial, or statistical information," if
any, disseminated by the agency.
- 1. Original or supporting data.
The FTC may identify and/or limit the specific types of such data that
can practicably be "reproduced," given ethical, feasibility, or
confidentiality constraints and, in doing so, may consult, as needed,
with relevant scientific and technical communities.
-
2. Analytic results relating to original or supporting data.
The FTC is not required to, and generally will not, reproduce each
analytic result before it is disseminated.
-
3. Analysis of risks to human health, safety, and the environment
disseminated by the agency, if any. The FTC will apply, as
appropriate and feasible, the standards set forth in OMB Guidelines,
paragraph V.3.b.ii.C.
J. "Affected persons" are people who may benefit from or be
harmed by the disseminated information.
VI. Pre-Dissemination Information
Quality Review
- A. Internal agency review. To the
greatest extent practicable and appropriate, information disseminated by
the FTC is internally reviewed for quality--including objectivity,
utility, and integrity--before such information is disseminated.
-
-
- 1. Information disseminated to the
public by the FTC is normally subject to one or more levels of
internal staff, supervisory, or Commission review for quality before
such information may be disseminated.
-
-
-
- 2. The number of levels of internal
quality review applied in a particular case depends on the nature,
scope, and purpose of the information to be disseminated. For example,
routine reports that may be prepared by staff about the agency's
activities or operations may be subject to one or two levels of staff
or supervisory review for basic accuracy and completeness before such
reports are released to the general public. Additional levels of
internal review, supplementation, clarification, or approval by agency
management and/or the Commissioners may be appropriate, however, to
the extent such a report may be intended as the basis for more
complicated budgeting decisions or legislative reporting purposes
(e.g., to satisfy a need for greater statistical detail or
explanation).
-
- B. Public comment. In rulemakings
and certain other agency matters (e.g., workshops, conferences, etc.),
information or data may also be subject to public comment or exposure
before such information or data may be approved or adopted by the
agency. This public comment process provides an opportunity for
interested parties, including persons who may be most affected by the
dissemination, to corroborate or dispute the objectivity, utility, or
integrity of the information or data. In these cases, the FTC may
provide on the public record of the proceeding or upon request public
access to the underlying data or methods used by the agency (e.g.,
statistical models, assumptions, etc.), to the extent relevant and
consistent with any confidentiality restrictions. Where corrections are
necessary and appropriate, such corrections may be made before the
information or data become the basis for final agency action or
dissemination.
-
- C. Peer review.
-
-
- 1. Peer review by outside parties is
normally reserved for FTC economic reports and studies. The FTC may
also use peer review to ensure the quality of other information
dissemination products to the extent they are "influential," or to
ensure quality in other appropriate cases. Where data and analytic
results have been subjected to formal, independent, external peer
review, the information is entitled to a presumption of acceptable
objectivity, subject to rebuttal based on a persuasive showing by the
petitioner in a particular instance. OMB Guidelines, para. V.3.b.i.
-
-
-
- 2. To ensure competent and credible
review, peer reviewers are normally selected with the following
criteria and conditions in mind: (a) that they have the necessary
technical expertise; (b) that they will be expected to disclose to the
FTC any prior technical/policy positions they may have taken on the
issues at hand; (c) that they will disclose to the FTC their sources
of personal and institutional funding (private or public sector); and
(d) that such peer review will be conducted in an open and vigorous
manner, subject to any applicable confidentiality restrictions. Id.
VII. Development of Quality
Information and Data
Information quality is also integral to the
development of information that will ultimately be disseminated, including
its creation, collection, and maintenance. OMB Guidelines, para. III.1.
The strategies that the FTC employs to develop quality information and
data include, for example:
- A. Using a variety of methods to solicit
relevant and reliable information, such as:
-
-
- 1. voluntary and compulsory methods
(e.g., in law enforcement matters);
-
2. invitations for public comment (e.g., in rulemaking proceedings);
-
3. public workshops;
-
4. meetings with relevant industry and consumer groups, etc.
B. Soliciting public comment specifically on paperwork burden estimates
of information collection activities sponsored by the agency and subject
to the Paperwork Reduction Act (i.e., submission, record maintenance, or
third-party disclosure rules or requirements).
C. Conducting independent legal, economic, or statistical research,
using an array of government and private commercial and non-profit
databases, agency surveys and questionnaires, etc.
D. Where information may be used to determine an individual's rights,
benefits, or privileges under Federal programs and such information is
maintained and retrieved from a system of records by the individual's
name or other personal identifier within the meaning of the Privacy Act,
collecting that information directly from the source to the greatest
extent practicable, and ensuring that it is accurate, relevant, timely,
and complete before it is disseminated, as required by that Act. See
5 U.S.C. § 552a(e)(2), (6).
E. Allowing self-verification or
self-reporting of information by consumers and others (e.g., consumer
complaints, identity theft data, etc.).
VIII. Transparency of Underlying
Data and Methods
- A. In cases where the Commission may
disseminate "influential scientific, financial, or statistical
information," the Commission, consistent with applicable law,
regulations, orders, and policies, shall make underlying data and
methods, including, where appropriate, sources and assumptions employed,
available to the public to the greatest extent feasible and appropriate
in order to facilitate the reproducibility of such information, either
before or after its dissemination, by qualified parties. OMB Guidelines,
para. V.3.b.ii.
-
- B. Where public access to data and
methods will not occur under para. A. above due to other compelling
interests, the FTC shall apply especially rigorous robustness checks to
analytic results and document what checks were undertaken. The types of
robustness checks, and the level of detail for documentation thereof,
shall depend on the nature and multiplicity of issues for which the FTC
is responsible. OMB Guidelines, para. V.3.b.ii.B.ii.
-
- C. Even when an agency matter does not
involve the dissemination of "influential scientific, financial, or
statistical information," the FTC notes that it often makes underlying
data and methods part of the public record and/or subject to public
comment in certain categories of proceedings (e.g., rulemakings, etc.).
-
- D. To the extent that underlying data or
methods are not part of the agency's public record or otherwise
published or publicly available, persons seeking access to such data or
methods are required to follow applicable Commission requirements and
procedures for seeking such access. See, e.g., 16 C.F.R.
§§ 4.9-4.11. In all cases, the interest in the transparency of the
agency's data and methods shall not override other compelling interests
such as privacy, trade secrets, intellectual property, and other
confidentiality protections. OMB Guidelines, para. V.b.3.ii.B.i.
IX. Integrity of FTC Information
and Data
- A. To preserve the integrity of
information and data that the FTC may ultimately disseminate, the FTC
takes appropriate measures to ensure that the security of information
and data is not compromised while it is being collected, maintained, or
used by the agency. OMB Guidelines, para. V.4. These measures are
intended to be consistent with legal requirements such as the Computer
Security Act, the Government Information Security Reform Act, the
Privacy Act, the FTC and Clayton Acts, and any other applicable laws,
regulations, orders, agreements, or guidance.
-
- B. These measures extend to FTC
contractors, consultants, experts or others to the extent such
information or data are shared with them on a non-public basis.
X. Documentation
- A. Where necessary or appropriate, the
agency substantiates the quality of the information it has disseminated
through documentation or other means appropriate to the information. OMB
Guidelines, para. III.2.
-
- B. With respect to pre-dissemination
review, this documentation may include intra- or inter-agency memoranda
or communications, or other records or materials, including, where
applicable, underlying data or methods, demonstrating that the
information has been reviewed internally by appropriate agency staff or
officials before it is disseminated to the public.
-
- C. With respect to the administrative
mechanism for seeking and obtaining the correction of information
disseminated by the agency, documentation consists principally of the
annual fiscal-year reports that are required to be submitted each
January 1, beginning in 2004, to OMB. See para. XII. below.
XI. Administrative Mechanism for
Seeking and Obtaining Correction of Information
- A. The Commission shall provide and
maintain a mechanism by which affected persons may seek and obtain,
where appropriate, timely correction of information maintained and
disseminated by the agency that does not comply with OMB or agency
guidelines.
-
- B. This administrative mechanism shall
be flexible, appropriate to the nature and timeliness of the
disseminated information, and incorporated into agency information
resources management and administrative practices.
-
- C. The administrative mechanism shall
specify appropriate time periods for agency decisions on whether and how
to correct the information, and how affected persons shall be notified
of the corrections made, if any.
-
- D. If the person who requested the
correction does not agree with the agency's decision (including the
corrective action, if any), the administrative mechanism shall provide
that such person may file for reconsideration within the agency. The
administrative mechanism shall include an administrative appeal process
to review the agency's initial decision, and shall specify appropriate
time limits in which to resolve such requests for reconsideration.
-
- E. The office that originally
disseminates the information at issue shall not have responsibility for
both the initial response and resolution of a disagreement. In addition,
if other agencies have an interest in the resolution of any
administrative appeal, the agency shall make reasonable efforts to
consult with those other agencies about their possible interest,
although the FTC shall be solely responsible for determining whether to
grant the request for correction.
-
- F. Where information or data relates to
or arises in a matter in which there is opportunity for public comment
(e.g., rulemaking), the public comment process may constitute the
administrative mechanism available to persons seeking to obtain
correction of information disseminated or proposed to be disseminated
therein. In such cases, appropriate staff may respond to the initial
request for correction and the Commission, unless otherwise provided,
shall be responsible for resolving requests, if any, for reconsideration
of the initial staff response.
-
- G. In all cases, the correction process
shall serve to address the genuine and valid needs of the agency and its
constituents without disrupting agency processes. The agency may reject
claims made in bad faith or without justification, and shall undertake
only the degree of correction that the agency concludes is appropriate
for the nature and timeliness of the information involved. The agency
shall explain such practices in its annual fiscal-year reports to OMB (see
para. XII. below).
-
- H. The FTC shall specifically describe
and implement the administrative mechanism outlined above by means of
its Web site and through other appropriate means.
XII. Compliance, Reporting, and
Effective Date
- A. The FTC's Chief Information Officer,
or other designated agency official, shall be responsible for agency
compliance with these guidelines.
-
- B. The FTC shall respond to complaints
in a manner appropriate to the nature and extent of the complaint, as
described above in paragraph XI. of these guidelines above. Examples of
appropriate responses include personal contacts via letter or telephone,
form letters, press releases or mass mailings that correct a widely
disseminated error or address a frequently raised complaint.
-
- C. The FTC shall submit (and, where
required, post on its Web site, publish in the Federal Register,
or otherwise make available) all reports, or notice thereof, required by
section 515 and the OMB Guidelines. Such reports shall include an annual
fiscal-year report submitted to the Director of OMB on the number and
nature of complaints, if any, received by the agency regarding agency
compliance with the OMB Guidelines and how the agency resolved such
complaints. This annual report is to be submitted no later than January
1 following the end of the relevant fiscal year, with the first report
due January 1, 2004.
-
- D. Effective Date. Pursuant to
section 515 and paragraph III.4. of the OMB Guidelines, these agency
guidelines shall become effective October 1, 2002.
-
-
- 1. To the extent these guidelines
prescribe procedures for the pre-dissemination quality review of FTC
information, such procedures shall apply only to information that the
agency first disseminates on or after that date.
-
-
-
- 2. To the extent these guidelines
prescribe an agency administrative mechanism for affected persons to
seek and obtain correction of information disseminated by the agency,
that mechanism shall apply only to information that the agency
disseminates on or after that date, regardless of when the agency
first disseminated the information.
ATTACHMENT B
SECTION 515
ADMINISTRATIVE MECHANISM
DRAFT--
MAY 1, 2002
ENSURING AND
MAXIMIZING THE QUALITY OF INFORMATION
DISSEMINATED BY THE FEDERAL TRADE COMMISSION
The Federal Trade Commission (FTC) strives
to ensure that the information it disseminates to the public is of the
highest quality, objectivity, utility and integrity. To this end, the
Office of Management and Budget (OMB) and the FTC have issued guidelines
for ensuring and maximizing the quality of information disseminated by the
agency, in accordance with section 515 of Treasury and General Government
Appropriations Act for Fiscal Year 2001, Pub. L. No. 106-554 ("section
515"). You may view these guidelines through the following Web links:
- OMB (published 67 FR 8452, Feb. 22,
2002)
- FTC ([to be] issued in final form
October 1, 2002)
How to Seek Correction of FTC
Information Dissemination Products
If you are seeking to obtain correction of
information disseminated by the FTC because you believe the information
does not comply with the information quality guidelines issued by OMB or
the FTC, please submit your request, with the subject "Section 515
Request," by e-mail to:
515@ftc.gov
If you send us an e-mail, you should know
that e-mail is not necessarily secure against interception before it
reaches the Commission's e-mail system. Therefore, if your communication
includes sensitive information, you may prefer instead to deliver or mail
your section 515 request to the following address:
-
Federal Trade Commission
Attn.: Section 515
600 Pennsylvania Avenue N.W.
Washington, DC 20580
Whichever method you use, your request
should specifically identify the information you believe does not comply
with the OMB or FTC information quality guidelines, explain why you
believe the information should be corrected, and, if possible, provide
specific recommendations for how the information should be corrected.
To learn how we may use the information you
provide, please read our Privacy Policy at
www.ftc.gov/ftc/privacy.htm.
Please note that, to submit a correction
request through this process, you must be an "affected person" (i.e.,
someone who may benefit from or be harmed by the disseminated information)
and your request must relate to "information" that is "disseminated" by
the FTC within the meaning of the OMB and FTC guidelines.
While such "information" can include, for
example, information posted on the agency's Web site, it does not
include hyperlinks to information that others disseminate. It also does
not include opinions, no matter where published, if the agency's
presentation makes it clear that what is being offered is someone's
opinion rather than fact or the agency's own views.
Likewise, you may not use these procedures
to request correction of the following matters, which are not
"dissemination" of information under the applicable guidelines:
- Distribution limited to government
employees or agency contractors or grantees
- Intra- or inter-agency use or sharing of
government information
- Responses to requests for agency records
under the Freedom of Information Act, the Privacy Act, the Federal
Advisory Committee Act or other similar law
- Any other correspondence with
individuals or persons, including, but not limited to, written
agreements with particular entities or parties, responses to specific
requests for advisory opinions or other advice, etc.
- Press releases
- Archival records (e.g., library
materials)
- Public filings, including, but not
limited to, submissions in rulemakings or other FTC proceedings or
matters, requests, petitions, applications, supporting materials, etc.;
- Subpoenas, including, but not limited
to, civil investigative demands and other administrative subpoenas or
compulsory process, subpoenas or discovery orders issued in adjudicative
proceedings or court litigation, etc.
- Information products relating to or
arising from adjudicatory processes, including, but not limited to,
evidence submitted, analyses prepared, findings and determinations made,
and rulings or opinions issued in any administrative or judicial
litigation or other adjudicatory matter
- Legally required disclosures, notices,
or other information disseminated by persons or entities other than the
FTC, where the text of such disclosures, notices, or information is not
explicitly prescribed or specified by the FTC itself (e.g., statutorily
mandated text of warning labels on cigarette packages, disclosure
language developed and used by regulated entities in order to satisfy
legal standards established under FTC regulations, orders, or
agreements)
- Studies, statements, or other issuances
or publications by FTC employees, officials, contractors, consultants,
or others who may be or have been paid, employed, or retained by the
FTC, where the issuance or publication is not represented as being an
official position of the agency or used by the agency in support of its
official position.
How We Will Handle Your Section 515
Request
Processing your initial request.
Once the agency has received your request and it is forwarded to the
office responsible for the information dissemination product for which the
correction is being sought, the agency will provide an initial response to
your request within 60 days, excluding weekends and Federal holidays. If
the agency is unable to provide its initial response within the 60-day
period, the agency will notify you of the estimated date for its initial
response. Such delays may be required, for example, if you modify your
original request, if we need to clarify your request, or if we need to
consult with other offices or agencies that may have an interest in the
matter, although the FTC shall be solely responsible for determining how
to respond to your request.
Initial agency response. The
agency's initial response will either grant or deny your request, in whole
or part, and make appropriate corrections, if any. If your request relates
to a matter in which there is an opportunity for public comment or
participation with respect to the information, such as a rulemaking or
public workshop, you may be required to seek correction of the information
through the public comment or participation process and your request will
be referred to the responsible agency staff for consideration and
incorporation into the record of the relevant proceeding. Where
appropriate, in lieu of an individualized response to your request, the
agency may issue or provide you a form letter, press release, or mass
mailing that corrects a widely disseminated error or that addresses a
frequently raised complaint. In all cases, the correction process shall
serve to address the genuine and valid needs of the agency and its
constituents without disrupting agency processes. The agency may reject
claims made in bad faith or without justification, and shall undertake
only the degree of correction that the agency concludes is appropriate for
the nature and timeliness of the information involved.
Seeking reconsideration of the initial
response. If you disagree with the agency's initial response, you will
have 30 days, excluding weekends and Federal holidays, to appeal (i.e.,
file for reconsideration within the agency). The office that originally
disseminates the information shall not have responsibility for both the
initial response and resolution of your request for reconsideration. The
agency will provide a response to your request for reconsideration within
60 days, excluding weekends and Federal holidays, unless it notifies you
of a later date and explains the reason(s) for the delay. (As noted
earlier, agency rulemaking proceedings may be used to address requests to
correct information disseminated in that context. In such cases, the
Commission's review of the rulemaking record will normally serve as
official "reconsideration" of whether the requested corrections should be
made, where the staff declines to make the requested corrections in its
recommendations to the Commission. The Commission's determination (i.e.,
the final rule) and its reasoning are part of the public record, and the
above-stated deadlines shall not apply.)
Availability of Section 515 Reports
No later than each January 1, beginning in
2004, the agency is required to submit an annual fiscal-year report to the
OMB Director on the number and nature of section 515 correction requests
received by the agency and how the agency resolved those requests. Copies
of these reports will be made publicly available through this Web page.
1. See 67 Fed.
Reg. 8452 (Feb. 22, 2002) (final OMB Guidelines republished in their
entirety); see also 66 Fed. Reg. 34,489 (June 28, 2001) (proposed
OMB Guidelines); 66 Fed. Reg. 49,718 (Sept. 28, 2001) (initial publication
of final OMB Guidelines and request for public comment); 67 Fed. Reg. 369
(Jan. 3, 2002) (final OMB Guidelines following public comment); 67 Fed.
Reg. 5365 (Feb. 5, 2002) (correction). Section 515 and the OMB Guidelines
direct agencies to: (1) issue, no later than one year after the date of
issuance of the OMB Guidelines, their own information quality guidelines
ensuring and maximizing the quality, objectivity, utility, and integrity
of information, including statistical information, disseminated by the
agency; (2) establish administrative mechanisms allowing affected persons
to seek and obtain correction of information maintained and disseminated
by the agency that does not comply with the OMB Guidelines; and (3) report
to the Director of OMB the number and nature of complaints received by the
agency regarding agency compliance with the OMB Guidelines and how such
complaints were resolved. |