SYSTEM NAME AND NUMBER:

Ethics Program Records–FTC (FTC-II-7). 

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:

Ethics in Government Act of 1978, 5 U.S.C. app.; Ethics Reform Act of 1989, Pub. L. 

101-194; 5 CFR parts 735 & 2634, and other applicable ethics-related laws, rules, and Executive 

Orders. 

PURPOSE(S) OF THE SYSTEM:

 To meet Federal requirements regarding the filing of employment and financial interest 

statements; and to assist senior Commission employees and members of the General Counsel’s 

Office to review statements of employment and financial interests to ascertain whether a conflict 

of interest or apparent conflict of interest exists and, if so, to ensure that appropriate action is 

taken to remove the conflict; to ensure that travel reimbursements are accepted only from 
qualified non-Federal sources; to comply with other ethics program requirements under Federal 

law, policy and regulation. 

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: 

Commission officials and employees required by FTC regulations to file statements of 

employment and financial interests, to enter into ethics agreements, or to obtain clearance or 

approval for travel reimbursements or outside employment. This system corresponds to the 

systems described and covered by the Government-wide system of record notices (SORNs) 

issued by the Office of Government Ethics (OGE) for agency ethics program records. See 

OGE/GOVT-1 (Executive Branch Personnel Public Financial disclosure Reports and Other 

Name-Retrieved Ethics Program Records); OGE/GOVT-2 (Executive Branch Confidential 

Financial Disclosure Reports). Visit OGE’s Web site, www.oge.gov, for more information. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Statements of employment and financial interests (containing name, organization, 

statement of personal and family holdings and other interests in business enterprises and real 

property, listings of creditors and outside employment, opinions of counsel, and other 

information related to conflict of interest disclosures and determinations); ethics agreements; and 

other disclosure forms. This system also includes FTC employee requests for and documentation 

of ethics clearance or approval of travel reimbursements or outside employment, as well as other 

name-retrieved ethics records on FTC employees. 

RECORD SOURCE CATEGORIES:

The subject individual or a designated person, such as a trustee, attorney, accountant, 

banker, or relative; federal officials who review the statements to make conflict of interest 

determinations; and persons alleging conflict of interests or violations of other ethics laws and 
persons contacted during any investigation of the allegations. 

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 for any of the routine uses set forth in 

OGE/GOVT-1 and OGE/GOVT-2, as applicable. In addition, records in this system may be 

disclosed to a source when necessary to obtain information relevant to a conflict of interest 

investigation or determination. 

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: 

Electronic and paper records. 

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

By name of Commission official or employee. 

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS: 

In accordance with GRS-2.8, the National Archives and Records Administration General 

Records Schedule for ethics program records, these records are generally retained for a period of 

six years after filing, or for such other period of time as is provided for in that schedule for 

certain specified types of ethics records. In cases where records are filed by, or with respect to, a 

nominee for an appointment requiring confirmation by the Senate when the nominee is not 

appointed and Presidential and Vice-Presidential candidates who are not elected, the records are 
generally destroyed one year after the date the individual ceased being under Senate 

consideration for appointment or is no longer a candidate for office. However, if any records are 

needed in an ongoing investigation, they will be retained until no longer needed in the 

investigation. Destruction is by shredding, use of burn bags, or electronic deletion.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS: 

Access is restricted to agency personnel and contractors whose responsibilities require 

access. Paper records are maintained in lockable file cabinets and offices. Access to electronic 

records is controlled by “user ID” and password combination and other access and 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 and 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 and at 73 FR 33592, 

33634 (June 12, 2008). 

EXEMPTIONS PROMULGATED FOR THE SYSTEM:

None. 

HISTORY:

87 FR 964-974 (January 7, 2022) 

80 FR 9460-9465 (February 23, 2015) 

75 FR 52749–52751 (August 27, 2010) 

74 FR 17863-17866 (April 17, 2009) 

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