UNITED STATES OF AMERICA

BEFORE THE FEDERAL TRADE COMMISSION

COMMISSIONERS: Chair Lina M. Khan
Commissioner Rebecca Kelly Slaughter
Commissioner Alvaro M. Bedoya
Commissioner Melissa Holyoak
Commissioner Andrew Ferguson

FTC Matter No. #P246202

ORDER TO FILE A SPECIAL REPORT
Pursuant to a resolution of the Federal Trade Commission (“FTC” or “the Commission”) dated
July 19, 2024, entitled “Resolution Directing the Use of Compulsory Process Regarding Surveillance
Pricing Involving Intermediary Companies” a copy of which is enclosed, [COMPANY] is ordered to file
with the Commission, no later than 45 days after date of service, a Special Report containing the
information and Documents specified herein.
The Commission is seeking information concerning surveillance pricing involving intermediary
companies. The Special Report will assist the Commission in conducting a study of how these companies
develop and deploy surveillance pricing products and services for consumers.
The Special Report is required to be subscribed and sworn by an official of [COMPANY] who
has prepared or supervised the preparation of the report from books, records, correspondence, and other
data and material in your possession. Your written report should restate each item of this Order with
which the corresponding answer is identified. If any question cannot be answered fully, give the
information that is available and explain in what respects and why the answer is incomplete. The Special
Report and all accompanying documentary responses must be Bates-stamped.
[COMPANY] is required to respond to this Order using information in [COMPANY]'s
possession, custody, or control, including information maintained in a central data repository to which
[COMPANY] has access. [COMPANY] should not forward this Order to separately incorporated
subsidiaries or affiliates. [COMPANY] should not seek any responsive information and data from
separately incorporated subsidiaries or affiliates or from individuals (other than in their capacity as
[COMPANY]s employee or as [COMPANY]'s agent). However, [COMPANY] should provide
information relating to separately incorporated subsidiaries or affiliates if [COMPANY] already has
possession, custody, or control of such information. No later than 14 days from the date of service,
[COMPANY] should contact Commission staff and indicate whether all of the information required to
respond to this Order is in [COMPANY]'s possession, custody, or control. If certain information is not in
[COMPANY]'s possession, custody, or control, no later than 14 days from the date of service,
[COMPANY] also must: (1) Identify, both orally and in writing, each question or sub-question that
[COMPANY] is not able to fully answer because information is not in [COMPANY]'s possession,
custody, or control, and (2) for each, provide the full names and addresses of all entities or individuals
who have possession, custody, or control of such missing information.
Confidential or privileged commercial or financial information will be reported by the
Commission on an aggregate or anonymous basis, consistent with Sections 6(f) and 21(d) of the FTC Act.
Individual submissions responsive to this Order that are marked “confidential” will not be disclosed

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without first giving the Company ten (10) days’ notice of the Commission’s intention to do so, except as
provided in Sections 6(f) and 21 of the FTC Act.

Specifications
1. List each User Segmentation Solution or Targeted Pricing Solution produced, developed or in
development, licensed in, from, or out, to a third party, sold or provided by the Company in the
United States, and, for each:
a. describe in detail the Solution, including its intended uses, technical approach and design
(e.g., type of algorithmic model used), features, and data inputs;
b. submit materially different copies of all Promotional Material; and
c. submit documents sufficient to show the Company’s plans, business strategies, research
and development efforts, product or service roadmaps, and competitive positioning.

2. For each User Segmentation Solution or Targeted Pricing Solution:

a. describe and list in detail all internal and external data sources used by the Solution;
b. for each data source identified in subpart (a), describe in detail the data collection method
for the data source, including any platform used to collect data, how the platform obtains
or collects data, how long the data is retained for, and whether the data are collected by
the Company, a Data Broker, a Business Customer, or other third party;
c. for each externally collected data source identified in subpart (a), provide the name and
contact information of the external party, explain how much the Company pays for the
data, and submit materially different copies of each data sharing agreement between the
Company and the external party;
d. describe in detail and submit documents sufficient to show any due diligence or oversight
the Company performs in the selection or monitoring of internal and external data sources
to ascertain or verify whether the data source has provided notice to consumers and
obtained consumers’ consent for the disclosure of their personal data to the Company
and/or the use of their personal data in a User Segmentation Solution or Targeted Pricing
Solution;
e. submit a complete data map, including all data fields utilized by any training model,
algorithm, or other component;
f. for each data field identified in subpart (e), explain:
i. which entity provides the data, including but not limited to the Company, the
Business Customer, the Individual Consumer, or another party or data source,
ii. whether the data field is required and how the Solution handles missing data,
iii. whether the data is altered from its original source, the method used to alter the
data (e.g. censored, anonymized, aggregated, top-coded), and why the data is
altered,
iv. whether the data are proprietary to the provider,
v. any efforts taken to comply with data sharing agreements, and
vi. retention period for the data field.
g. describe in detail, and submit technical documentation sufficient to show how
segmentation or pricing is determined for Individual Consumers, including but not
limited to design documentation, input parameters, system diagrams, segmentation
categories for classifiers or models, procedures for testing and validating the models, and
APIs;

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 h. describe in detail any changes to the Solution over time. For any Solutions that involve
training a model, include the training frequency; and
i. submit materially different copies of each privacy notice, disclosure, consent form, terms
of use, end user license agreement, or other document related to the collection or use of
any consumer data utilized by the Solution.

3. For each User Segmentation Solution or Targeted Pricing Solution:

a. provide the Company’s annual aggregate sales to all Business Customers, in units and
dollars;
b. list all of the Company’s Business Customers and prospective Business Customers
separately on an annual basis and the timespan of their contracts, agreements, or product
licenses;
c. provide the name (legal name and, if applicable, operating name) and address for each of
the 10 Businesses Customers who purchased or licensed the greatest units and dollar
amounts of the Solution from the Company in the United States, indicate the units and
dollar amounts purchased, stated separately on an annual basis, and submit all contracts
and service agreements between the Company and each such Business Customer;
d. for each Business Customer identified in subpart (c) describe what contractual limitations
the Company places on the use of its Solution and how the Company enforces
compliance of contractual arrangements with the Business Customer, including but not
limited to technical controls, data practices, or audit mechanisms;
e. for each Business Customer identified in subpart (c) describe the Company’s
understanding of how the Business Customer uses the Company’s Solution;
f. describe instances in which Business Customers in the same industry obtain and use the
same User Segmentation Solution, Targeted Pricing Solution, or data sources; and
g. describe and submit documents sufficient to show any representations you make to
Business Customers regarding the data used in any User Segmentation Solution or
Targeted Pricing Solution, including:
i. whether such data was obtained in compliance with appliable privacy and data
protection laws,
ii. whether consumers were provided notice and gave consent for the use of their
data by you or in a User Segmentation Solution or Targeted Pricing Solution, or
iii. the accuracy or reliability of any User Segmentation Solution or Targeted Pricing
Solution.

4. Submit all analyses, reports, studies, communications, Promotional Materials and surveys that
evaluate or analyze the actual, evaluated, or projected effects of any User Segmentation Solution
or Targeted Pricing Solution on any Business Customer’s Solutions pricing, sales volume, or
revenue and any segmented or targeted Individual Consumers.

Definitions
D1. The terms “and” and “or” have both conjunctive and disjunctive meanings.
D2. The terms “you,” “your,” and “the Company” mean [COMPANY]; its domestic and foreign
parents, predecessors, divisions, subsidiaries, affiliates, partnerships, and joint ventures; and all
directors,
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officers, employees, agents, and representatives of the foregoing. The terms “parent,” “subsidiary,”
“affiliate,” and “joint venture” refer to any person in which there is partial (25 percent or more) or total
ownership or control between the Company and any other person.
D3. The terms “each,” “any,” and “all” mean “each and every.”
D4. The term “relating to” means in whole or in part constituting, containing, concerning, discussing,
describing, analyzing, identifying, or stating.
D5. “Business Customer” means an individual or entity that purchases or uses the Company’s
products or services.
D6. The term “Data Broker” refers to companies that collect personal information about Individual
Consumers from a variety of public and non-public sources and resell the information to other companies.
D7. “Targeted Pricing Solution” means any product or service—including but not limited to any data
set or algorithmic tool—that is used, has been used, or has been marketed for use alone or in combination
with other products or services to charge or set prices, or determine quantity and availability for
Individual Consumers based on location, purchase history, return history, customer service history,
browsing behavior, demographic information, or any other variables.
D8. “User Segmentation Solution” means any product or service—including but not limited to any
data set or algorithmic tool—that is used, has been used, or has been marketed for use alone or in
combination with other products or services to categorize or build profiles associated with Individual
Consumers based on location, purchase history, browsing behavior, demographic information, or any
other variables.
D9. “Individual Consumer” includes individual people, businesses, devices, user accounts, billing
accounts, households, and families.
D10. “Promotional Material” means any written or verbal statement, illustration, or depiction that
promotes the sale of a good or service or is designed to increase consumer interest in a brand, good, or
service. Promotional material media includes, but is not limited to: packaging and labeling; advertising or
promotional materials; print; television; radio; and Internet, social media, and other digital content.
D11. The term “Pricing” describes any method of conveying the monetary value or modifications to the
monetary value, including but not limited to posted prices, markups, coupons, discounts, special offers,
promotions, bonuses, and personalized deals provided in the context of online or in-person transactions or
via mobile applications.
Instructions
For the purposes of this Order, the following Instructions apply:
1. Unless otherwise specified, all requests seek information and documents covering the period from
July 19, 2021 to the date of this Order.
2. Unless otherwise specified, this Order requires the production of all responsive documents, data,
and other information in your possession, custody, or control on the date that this Order was
issued.
3. In order to comply in a manner consistent with the Commission’s Rules of Practice, 16 C.F.R. §
2.7(k), the Company shall schedule a teleconference, within 14 days after receiving this Order,

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 with the Commission representative identified in Instruction 9 of this Order to confer regarding
your response.
4. Do not produce any Sensitive Personally Identifiable Information (“Sensitive PII”) or Sensitive
Health Information (“SHI”) prior to discussing the information with a Commission
representative. If any document responsive to a particular Specification contains unresponsive
Sensitive PII or SHI, redact the unresponsive Sensitive PII or SHI prior to producing the
document.
The term “Sensitive Personally Identifiable Information” means an individual’s Social Security
Number alone; or an individual’s name, address, or phone number in combination with one or
more of the following:
• date of birth
• driver’s license number or other state identification number, or a foreign country
equivalent
• passport number
• financial account number
• credit or debit card number
The term “Sensitive Health Information” includes medical records and other individually
identifiable health information, whether on paper, in electronic form, or communicated orally.
Sensitive Health Information relates to the past, present, or future physical or mental health or
condition of an individual, the provision of health care to an individual, or the past, present, or
future payment for the provision of health care to an individual.
5. Form of Production: You must submit documents as instructed below absent written
modification.
a. Documents stored in electronic or hard copy formats in the ordinary course of business
shall be submitted in the following electronic format provided that such copies are true,
correct, and complete copies of the original documents:
i. Submit Microsoft Excel, Access, and PowerPoint files in native format with
extracted text and metadata.
ii. Submit emails in TIFF (Group IV) format with extracted text and the following
metadata and information:

Metadata/Document Information Description

Alternative Custodian List of custodians where the document has been removed as
a duplicate.

Bates Begin Beginning Bates number of the email.

Bates End Bates number of the last page of the email.

Beg Attach First Bates number of attachment range.

End Attach Ending Bates number of attachment range.

Custodian Name of the person from whom the email was obtained.

Email BCC Names of person(s) blind copied on the email.

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Email CC Names of person(s) copied on the email.

Email Date Received Date the email was received. [MM/DD/YYYY]

Email Date Sent Date the email was sent. [MM/DD/YYYY]

Email From Names of the person who authored the email.

Email Message ID Microsoft Outlook Message ID or similar value in other

message systems.

Email Subject Subject line of the email.

Email Time Received Time email was received. [HH:MM:SS AM/PM]

Email To Recipients(s) of the email.

Email Time Sent Time email was sent. [HH:MM:SS AM/PM]

Page count Number of pages in record.

File size Size of document in KB.

File Extension File extension type (e.g., docx, xlsx).

Folder File path/folder location of email.

Hash Identifying value used for deduplication – typically SHA1 or

MD5.

Text Link Relative path to submitted text file.

Example: \TEXT\001\FTC0003090.txt

iii. Submit email attachments other than those described in subpart (a)(i) in TIFF
(Group IV) format. For all email attachments, provide extracted text and the
following metadata and information as applicable:
Metadata/Document Information Description
Alternative Custodian List of custodians where the document has been removed as
a duplicate.

Bates Begin Beginning Bates number of the document.

Bates End Last Bates number of the document.

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Beg Attach First Bates number of attachment range.

End Attach Ending Bates number of attachment range.

Custodian Name of person from whom the file was obtained.

Date Created Date the file was created. [MM/DD/YYY]

Date Modified Date the file was last changed and saved. [MM/DD/YYYY]

Page count Number of pages in record.

File size Size of document in KB.

File Extension File extension type (e.g., docx, xlsx).

Filename with extension Name of the original native file with file extension.

Hash Identifying value used for deduplication – typically SHA1 or

MD5.

Native Link Relative file path to submitted native or near native files.
Example: \NATIVES\001\FTC0003090.xls

Parent ID Document ID or beginning Bates number of the parent

email.

Text Link Relative path to submitted text file.

Example: \TEXT\001\FTC0003090.txt

Time Created Time file was created. [HH:MM:SS AM/PM]

Time Modified Time file was saved. [HH:MM:SS AM/PM]

iv. Submit all other electronic documents, other than those described in subpart
(a)(i), in TIFF (Group IV) format accompanied by extracted text and the
following metadata and information:
Metadata/Document Information Description
Alternative Custodian List of custodians where the document has been removed as
a duplicate.

Bates Begin Beginning Bates number of the document.

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Bates End Last Bates number of the document.

Beg Attach First Bates number of attachment range.

End Attach Ending Bates number of attachment range.

Custodian Name of the original custodian of the file.

Date Created Date the file was created. [MM/DD/YYY]

Date Modified Date the file was last changed and saved.
[MM/DD/YYYY HH:MM:SS AM/PM]

Page count Number of pages in record.

File size Size of document in KB.

File Extension File extension type (e.g., docx, xlsx).

Filename with extension Name of the original native file with file extension.

Hash Identifying value used for deduplication – typically SHA1 or

MD5.

Originating Path File path of the file as it resided in its original environment.

Production Link Relative path to submitted native or near native files.

Example: \NATIVES\001\FTC0003090.xls

Text Link Relative path to submitted text file.

Example: \TEXT\001\FTC-0003090.txt

Time Created Time file was created. [HH:MM:SS AM/PM]

Time Modified Time file was saved. [HH:MM:SS AM/PM]

v. Submit documents stored in hard copy in TIFF (Group IV) format accomplished
by OCR with the following information:
Metadata/Document Information Description
Bates Begin Beginning Bates number of the document.

Bates End Bates number of the last page of the document.

Custodian Name of person from whom the file was obtained.

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 vi. Submit redacted documents in TIFF (Group IV) format accompanied by OCR
with the metadata and information required by relevant document type in
subparts (a)(i) through (a)(v) above. For example, if the redacted file was
originally an attachment to an email, provide the metadata and information
specified in subpart (a)(iii) above. Additionally, please provide a basis for each
privilege claim as detailed in Instruction 5.
b. Submit data compilations in electronic format, specifically Microsoft Excel spreadsheets
or delimited text formats, with all underlying data un-redacted and all underlying
formulas and algorithms intact. Submit data separately from document productions.
c. Produce electronic file and TIFF submissions as follows:
i. For productions over 10 gigabytes, use hard disk drives, formatted in Microsoft
Windows-compatible, uncompressed data in USB 2.0 or 3.0 external enclosure.
ii. For productions under 10 gigabytes, CD-ROM (CD-R, CD-RW) optical disks
and DVD-ROM (DVD+R, DVD+RW) optical disks for Windows-compatible
personal computers, and USB 2.0 Flash Drives are acceptable storage formats.
iii. All documents produced in electronic format shall be scanned for and free of
viruses prior to submission. The Commission will return any infected media for
replacement, which may affect the timing of your compliance with this Order.
iv. Encryption of productions using NIST FIPS-Compliant cryptographic hardware
or software modules, with passwords sent under separate cover, is strongly
encouraged.
d. Each production shall be submitted with a transmittal letter that includes the FTC matter
number; production volume name; encryption method/software used; list of custodians
and document identification number range for each; total number of documents; and a list
of load file fields in the order in which they are organized in the load file.
6. Before using software or technology (including search terms, predictive coding, de-duplication,
email threading or similar technologies) to identify or eliminate documents, data, or information
potentially responsive to this Order you must submit a written description of such software or
technology and any related processes and workflows. In addition:
a. if you use Technology Assisted Review to identify documents and information
responsive to this Order or to exclude documents and information from further review
describe your collection and review methodology, including: (a) how any software is
used to identify responsive documents or exclude nonresponsive documents; (b) the
process to identify and validate any seed set documents, if applicable; (c) the process to
determine and validate accuracy of the automatic determinations of responsiveness and
non-responsiveness; and (d) the collection and review process for foreign language
documents, whether reviewed manually or by some technology-assisted method;
b. if you use search terms to identify documents and information responsive to this Order or
to exclude documents and information from further review: for each custodian, search
location, or document population provide (a) a list of proposed terms; (b) a tally of all the
terms that appear in the collection and the number of documents containing each term; (c)
a list of stop words and operators for the platform being used; and (d) a glossary of
industry and company acronyms and terminology;
c. provide prevalence, recall, precision, validation, and confidence-level statistics;

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 d. provide access to randomized, statistically-significant samples of non-privileged
documents excluded from review or production by use of keyword search terms,
Technology Assisted Review software, or any other means;
e. identify the person(s) able to testify on your behalf about information known or
reasonably available to the organization relating to your use of software or technology in
responding to this Order.
7. All documents responsive to this Order:
a. shall be produced in complete form, un-redacted unless privileged, and in the order in
which they appear in your files;
b. shall be marked on each page with corporate identification and consecutive document
control numbers when produced in TIFF format (e.g., ABC-00000001);
c. if written in a language other than English, shall be translated into English, with the
English translation attached to the foreign language document;
d. shall be produced in color;
e. shall be accompanied by an index that identifies: (i) the name of each Person from whom
responsive documents are submitted; and (ii) the corresponding consecutive document
control number(s) used to identify that Person’s documents. If the index exists as a
computer file(s), provide the index both as a printed hard copy and in machine-readable
form (provided that, Commission representatives determine prior to submission that the
machine-readable form would be in a format that allows the agency to use the computer
files). The Commission representative will provide a sample index upon request; and
f. shall be accompanied by an affidavit of a [COMPANY] officer stating that the copies are
true, correct, and complete copies of the original documents.
8. If any material called for by this Order is withheld based on a claim of protected status, 16 C.F.R.
§ 2.7(a)(4), the claim must be asserted no later than the return date of this Order. In addition,
pursuant to 16 C.F.R. § 2.11(a)(1), submit, together with the claim, a detailed log of the items
withheld. The information in the log shall be of sufficient detail to enable the Commission staff to
assess the validity of the claim for each document, including attachments, without disclosing the
protected information. Unless modified by the Commission representative identified on the last
page of this Order, submit the log in a searchable and sortable electronic format, and, for each
document, including attachments, provide:
a. Document control number(s);
b. The full title (if the withheld material is a document) and the full file name (if the
withheld material is in electronic form);
c. A description of the material withheld (for example, a letter, memorandum, or email),
including any attachments;
d. The date the material was created;
e. The date the material was sent to each recipient (if different from the date the material
was created);
f. The email addresses, if any, or other electronic contact information to the extent used in
the document, from which and to which each document was sent;
g. The names, titles, business addresses, email addresses or other electronic contact
information, and relevant affiliations of all authors;
h. The names, titles, business addresses, email addresses or other electronic contact
information, and relevant affiliations of all recipients of the material;
i. The names, titles, business addresses, email addresses or other electronic contact
information, and relevant affiliations of all persons copied on the material;

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 j. The factual basis supporting the claim that the material is protected; and
k. Any other pertinent information necessary to support the assertion of protected status by
operation of law.
In the log, identify by an asterisk each attorney who is an author, recipient, or person copied on
the material. The titles, business addresses, email addresses, and relevant affiliations of all
authors, recipients, and persons copied on the material may be provided in a legend appended to
the log. However, provide in the log the information required by Instruction 6(f). The lead
attorney or attorney responsible for supervising the review of the material and who made the
determination to assert the claim of protected status must attest, in writing, to the log.

A document, including all attachments, may be withheld or redacted only to the extent necessary
to preserve any claim of protected status. Unless otherwise provided in the instructions
accompanying this Order, and except for information and material subject to a valid claim of
protected status, all responsive information and material shall be produced without redaction.

9. Any questions that you have relating to the scope or meaning of anything in this Order or
suggestions for possible modifications to it should be directed to Patrick Roy via [email protected].
Please notify Patrick Roy by email in advance of each production. Any password(s) necessary to
access the response to the Order shall be emailed to Patrick Roy.

By the direction of the Commission.

________________________________
Lina M. Khan, Chair
DATED: July 19, 2024

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