§ 4.8

Availability of public information.

(a) All of the public records of the Commission are available for inspection at the principal office of the Commission, and copies of some of those records are available at the field offices and the textile and fur field stations, on each business day from 8:30 a.m. to 5 p.m. As indicated in § 4.9, certain of those records are published periodically in official reports under the title "Federal Trade Commission Decisions"; copies of others may be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402, at regularly established fees, and copies of others may be obtained without charge upon request to the Secretary of the Commission. Copies of all other identifiable public records of the Commission may be obtained pursuant to the provisions of paragraph (b) of this section.

(b) Reasonable facilities for copying and for producing copies are provided at each of the offices of the Commission. Subject to appropriate limitations and the availability of facilities, any person may copy without charge any of the public records available for inspection at each of those offices, or copies of any such records will be provided by the Commission to any person upon request in person and payment of the prescribed fees, or copies of any identifiable public records of the Commission will be provided by the Commission to any person upon written request. All written requests for copies of identifiable public records should be addressed to the Secretary of the Commission, should specify as clearly and accurately as reasonably possible the records desired, and should include the prescribed fees. In any instance the Commission, the Secretary of the Commission, or the official in charge of each office may restrict the use of the Commission's facilities to providing only one copy of any public record, or may refuse to permit the use of those facilities for copying or producing copies of records which are published or are publicly available at places other than the offices of the Commission, or may supply to any person only one copy of any record when copies thereof may be obtained from the Commission without charge.

(c) Except to the extent that copies are provided by the Commission without charge, copies of its public documentary records will be provided by the Commission to any person pursuant to the

provisions of paragraph (b) of this section at the following fees (and, when appropriate, a reasonable search fee):

Mechanical reproduction:

Pages up to 9" x 12"-30 cents each. Pages 12" x 18" (two 9" x 12" units) – 40 cents each.

Pages 18" x 24" (four 9" x 12" units)60 cents each.

Photographic film and prints:

Approximately 8" x 101⁄2" (single weight paper)-$1.90 each (including negative). Extra prints-50 cents each. Certifications:

$2 additional for each certification. Copies of other public records provided by the Commission will be at such fees as the Commission may determine in each instance fairly represent the costs involved. Copies of its public records will be provided by the Commission to other governmental agencies at no charge for small quantities, or with appropriate adjustments or charges when warranted by the circumstances.

(a) The records of the Commission are available for public inspection and copying except to the extent that they are exempted from public availability by the provisions of § 4.10. Records which are routinely available for public inspection and copying pursuant to the provisions of § 4.8, generally referred to in the rules in this chapter as the public records of the Commission, are listed insofar as practicable in a current index maintained at the principal office of the Commission. They include those referred to in the other paragraphs of this section, which also indicate where copies of the specified records may be obtained.

(b) Annually, subsequent to the end of the fiscal year, the Commission makes a report to Congress summarizing its work during the year. Such reports are available for inspection at each of the offices of the Commission and copies thereof may be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.

(c) The Commission currently publishes in the FEDERAL REGISTER for the guidance of the public, descriptions of its organization and statements of its rules, procedures, policies, and administrative interpretations. In some instances, with the approval of the Director of the Federal Register, material and information which is otherwise readily available to

the public with respect to such descriptions and statements is incorporated in the FEDERAL REGISTER by reference. Included in the material published by the Commission in the FEDERAL REGISTER, copies of which may be obtained without charge upon request to the Secretary of the Commission, are:

(1) Descriptions of its organization, including the places at which, the officers from whom, and the methods whereby, the public may secure information, make submittals or requests, and obtain decisions;

(2) Statements of its general procedures and policies, its nonadjudicative procedures, its rules of practice for adjudicative proceedings, and its miscellaneous rules, including descriptions of the nature and requirements of all formal and informal procedures available;

(3) Cease and desist orders and orders of divestiture, industry guides, texts or digests of selected advisory opinions, and other administrative interpretations;

(4) Notices of proposed rulemaking proceedings and rules and orders issued in such proceedings; and

(5) Every amendment, revision, or repeal of any of the foregoing.

(d) The Commission publishes periodically in official reports under the title "Federal Trade Commission Decisions": the initial decisions of hearing examiners in adjudicative proceedings; the decisions of the Commission in adjudicative proceedings, including statements of the reasons or basis for its action and any concurring and dissenting opinions; significant orders and opinions on interlocutory matters in adjudicative proceedings; the decisions of the Commission in proceedings disposed of by the entry of consent orders to cease and desist; and texts or digests of selected advisory opinions.

(e) Included in the public records of the Commission which are routinely available for inspection and copying pursuant to the provisions of § 4.8, in addition to those referred to elsewhere in this section, are:

(1) A current index of opinions, orders, statements of policy and interpretations, staff manuals and instructions that affect any member of the public, and other public records of the Commission;

(2) A current record of the final votes of each member of the Commission in every agency proceeding;

(3) The petitions, applications, pleadings, briefs, and other records filed by the Commission with the courts in connection with adjudicative, injunctive, and condemnation proceedings, and opinions and orders of the courts and the Commission in disposition thereof;

(4) The pleadings, motions, certifications and orders, and the transcripts of hearings, including public conferences, testimony, oral arguments, and other material made a part thereof, and exhibits and all documents received in evidence or made a part of the record in adjudicative proceedings (except testimony and exhibits placed in camera);

(5) Petitions filed with the Secretary of the Commission for the promulgation or issuance, amendment, or repeal of industry guides and of rules or regulations within the scope of § 1.11 of this chapter, including petitions for exemptions;

(6) Transcripts of hearings and written statements filed in connection therewith in all industry guides and rulemaking proceedings;

(7) Continuing guaranties filed under the Wool, Fur, Textile, and Flammable Fabrics Acts;

(8) Published reports by the staff or by the Commission on economic surveys and investigations of general interest;

(9) Registration statements and annual reports filed with the Commission by export trade associations, and bulletins, pamphlets, and reports with respect to such associations released by the Commission;

(10) Agreements containing orders to cease and desist after acceptance by the Commission;

(11) Releases from time to time through the Commission's Office of Information supplying additional information concerning the activities of the Commission, copies of which may be obtained without charge upon request to the Office of Information or to the Secretary of the Commission; and

(12) Reprints of the principal laws under which the Commission exercises enforcement or administrative responsibilities, which may be obtained without charge upon request to the Secretary of the Commission.

(f) Reports of compliance which are approved by the Commission as evidencing compliance with its orders to cease and desist pursuant to the provisions of § 3.61 of this chapter, and written as

surances of voluntary compliance which are accepted under § 2.21 of this chapter (excluding matters disposed of under § 1.34 of this chapter) are available at the principal office of the Commission for inspection and copying, unless at the time a report of compliance or an assurance of voluntary compliance was filed the party filing it requested that it be classified as confidential, showing justification therefor, and the Commission, with due regard to statutory restrictions, its rules, and the public interest, granted the request. § 4.10

Confidential information.

(a) The records of the Commission which are exempt from availability for public inspection and copying pursuant to the provisions of § 4.8 include:

(1) Records related solely to the internal personnel rules and practices of the Commission;

(2) Trade secrets and names of customers and commercial or financial information obtained from any person which is customarily privileged or which is expressly received by the Commission in confidence, including the identities of holders of registered identification numbers issued by the Commission pursuant to § 1.32 of this chapter, and reports of compliance and assurances of voluntary compliance classified as confidential pursuant to § 4.9 (f);

(3) Official minutes of Commission meetings;

(4) Interagency or intra agency memorandums or letters which would not be available by law to a private party in litigation with the Commission;

(5) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;

(6) Investigatory files compiled for law enforcement purposes except to the extent available by law to a private party, and testimony, exhibits, and other material placed in camera in adjudicative proceedings pursuant to § 3.45 of this chapter; and

(7) Such other files and records of the Commission as may be exempted from disclosure by statute or by Executive order.

(b) To the extent required to prevent clearly unwarranted invasions of personal privacy, the Commission may delete, with written explanation thereof,

identifying details when it makes any of its records publicly available.

(c) All records, files, documents, memorandums, correspondence, exhibits, and information of whatever nature coming into the possession or within the knowledge of the Commission or any of its officers or employees in the discharge of their official duties which fall within the scope of the exemptions from public availability in paragraph (a) and the deletions in paragraph (b) of this section constitute the confidential records of the Commission. All other records and information of the Commission not clearly identifiable as public records pursuant to the provisions of § 4.9 and not listed in the current index of the public records of the Commission also constitute a part of its confidential records unless and until otherwise directed by the Commission. Except to the extent that the disclosure of information contained in the confidential records of the Commission is specifically authorized by the rules in this chapter or by the Commission, or to the extent that its use may become necessary in connection with adjudicative proceedings, it may be disclosed, divulged, or produced for inspection or copying only under the procedure set forth in § 4.11.

(d) Under section 10 of the Federal Trade Commission Act, any officer or employee of the Commission who shall make public any information obtained by the Commission and contained in its confidential records, without its authority, unless directed by a court, shall be deemed guilty of a misdemeanor, and upon conviction thereof, may be punished by a fine not exceeding five thousand dollars ($5,000), or by imprisonment not exceeding 1 year, or by fine and imprisonment, in the discretion of the court.

[32 F.R. 8456, June 13, 1967; 32 F.R. 8711, June 17, 1967]

writing, under oath, setting forth the interest of the applicant in the subject matter; a description of the specific information, files, documents, or other material, inspection of which is requested; whether copies are desired; and the purpose for which the information or material, or copies, will be used if the application is granted. Upon receipt of such an application the Commission will take action thereon, having due regard to statutory restrictions, its rules, and the public interest.

(c) In the event that information contained in the confidential records of the Commission is desired for inspection, copying, or use by another governmental agency, a request therefor may be made by the administrative head of the agency. Such request shall be in writing and shall describe the information or material desired, its relevancy to the work and function of the agency, and, if the production of documents or records or the taking of copies thereof is asked, the use which is intended to be made of them. The Commission will consider and act upon such requests, having due regard for statutory restrictions, its rules, and the public interest.

(d) Any officer or employee of the Commission who is served with a subpoena requiring the production of any document or record or the disclosure of any information which is designated in § 4.10 as a part of the confidential records of the Commission shall promptly advise the Commission of the service of such subpoena, the nature of the documents or information sought, and all relevant facts and circumstances. The Commission will thereupon enter such order or give such instructions as it shall deem advisable. If the officer or employee so served has not received instructions from the Commission prior to the return date of the subpoena, he shall appear in court and respectfully decline to produce the documents or records or to disclose the information called for, basing his refusal upon this paragraph.

PART 13-PROHIBITED TRADE
PRACTICES

Subpart-Acquiring Confidential
Information Unfairly

§ 13.1 Acquiring confidential informa

tion unfairly.