SYSTEM NAME AND NUMBER:

Clearance Application and Response Files–FTC (FTC-I-4). 

SECURITY CLASSIFICATION:

Unclassified. 

SYSTEM LOCATION:

Federal Trade Commission, 600 Pennsylvania Avenue, NW, Washington, DC 20580. For 

other locations where records may be maintained or accessed, see Appendix III (Locations of 

FTC Buildings and Regional Offices), available on the FTC’s website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 80 FR 9460, 

9465 (Feb. 23, 2015). 

SYSTEM MANAGER(S):

Designated Agency Ethics Official, Office of General Counsel, Federal Trade 

Commission, 600 Pennsylvania Avenue, NW, Washington, DC 20580, email: SORNs@ftc.gov. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Federal Trade Commission Act, 15 U.S.C. 41 et seq. 

PURPOSE(S) OF THE SYSTEM:

 To evaluate applications; to make determinations in response to those applications; to 

maintain records of consideration given to applications requesting authorization to appear in 

Commission proceedings; to ensure no conflict of interest between former members or 

employees of the Commission and active proceedings; to make records of such applications and 

the agency’s responses available within the FTC for historical, legal research, investigational, 

and similar purposes (see FTC-VII-6, Document Management and Retrieval System–FTC); and 

also to make appropriate portions of such records available to the public (see FTC-I-6, Public 
Records–FTC). 

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

Former members or employees of the Commission who request authorization to appear or 

participate in a proceeding or investigation, formal or informal, which was pending in any 

manner in the Commission during that individual’s tenure at the Commission. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Name, address, and current employment status of the requesting individual, as well as the

nature of any connection with the proceeding or investigation for which clearance is sought; 

letters responding to those requests indicating the determination of the Commission and outlining 

reasons for any denial or restriction; internal Commission memoranda evaluating the request and 

discussing the status of any relevant pending matters.

RECORD SOURCE CATEGORIES:

 Individual on whom the record is maintained and Commission staff who prepare the 

memoranda and response to request. 

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING 

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

Records in this system may be disclosed on the FTC’s public record under the FTC’s 

Rules of Practice. See FTC-I-6, Public Records–FTC. 

For other ways that the Privacy Act permits the FTC to use or disclose system records 

outside the agency, see Appendix I (Authorized Disclosures and Routine Uses Applicable to 

All FTC Privacy Act Systems of Records), available on the FTC’s website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 83 FR 55541, 

55542-55543 (Nov. 6, 2018). 
POLICIES AND PRACTICES FOR STORAGE OF RECORDS: 

The FTC generally maintains these records in electronic or paper format. 

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

Indexed by name of the applicant and by the name of the investigation or proceeding. 

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: 

Records are retained and disposed of under applicable schedules and procedures 

approved by the National Archives and Records Administration. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: 

For records other than those made public, access is restricted to agency personnel or 

contractors whose responsibilities require access. Paper records are maintained in lockable rooms 

or file cabinets. Access to electronic records is controlled by “user ID” and password 

combination and/or other appropriate electronic access or network controls (e.g., firewalls). FTC 

buildings are guarded and monitored by security personnel, cameras, ID checks, and other 

physical security measures. 

RECORD ACCESS PROCEDURES:

See § 4.13 of the FTC’s Rules of Practice, 16 CFR 4.13. For additional guidance, see also 

Appendix II (How to Make A Privacy Act Request), available on the FTC’s website at 

https://www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems and at 73 FR 33592, 

33634 (June 12, 2008). 

CONTESTING RECORD PROCEDURES:

See § 4.13 of the FTC’s Rules of Practice, 16 CFR 4.13. For additional guidance, see also 

Appendix II (How to Make A Privacy Act Request), available on the FTC’s website at 

https:/www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems at 73 FR 33592, 
33634 (June 12, 2008). 

NOTIFICATION PROCEDURES:

See § 4.13 of the FTC’s Rules of Practice, 16 CFR 4.13. For additional guidance, see also 

Appendix II (How to Make A Privacy Act Request), available on the FTC’s website at 

https:/www.ftc.gov/about-ftc/foia/foia-reading-rooms/privacy-act-systems at 73 FR 33592, 

33634 (June 12, 2008). 

EXEMPTIONS PROMULGATED FOR THE SYSTEM:

Copies of records contained in this system that have been placed on the FTC public 

record are available upon request or from the FTC’s Web site, where applicable. See FTC-I-6, 

Public Records–FTC. However, pursuant to 5 U.S.C. 552a(k)(2), records in this system, which 

reflect records that are contained in other systems of records that are designated as exempt, are 

exempt from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5 

U.S.C. 552a. See § 4.13(m) of the FTC Rules of Practice, 16 CFR 4.13(m). 

HISTORY:

87 FR 964-974 (January 7, 2022) 

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