SYSTEM NAME AND NUMBER:

Matter Management System–FTC (FTC-I-5).

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):

Director, Records and Filings Office, 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:

This system, currently known within the FTC as Matter Management System 2 (MMS2),

is used to record and track the status or occurrence of planned or actual actions and events that 

may arise in investigations, rulemakings, or other Commission matters, and to generate status or 

history reports on these actions, events, and matters for use by Commission management and 

staff, in combination, as needed, with matter-related data from other systems (e.g., FTC-II-13, 

Staff Time and Attendance Reporting (STAR) System–FTC). Specific purposes of this system 

(FTC-I-5) include: to maintain records of employee work and Commission law enforcement 
activities; to make workload and budget determinations and personnel-related evaluations; to 

assist in investigative and adjudicative proceedings, enforcement actions, civil penalty 

proceedings, consideration of compliance reports, issuance of cease and desist orders, advisory 

opinions, and other Commission matters and proceedings; to refer information compiled in 

system records to experts and consultants when considered appropriate by Commission staff; and 

to use those records to properly manage Commission resources.

This system includes a subsystem of records (formerly known as the Office of the

Secretary Control and Reporting System or OSCAR) to record and keep track of the status of 

matters pending for a vote or other review or action before the full Commission (i.e., the five 

Federal Trade Commissioners). The specific purposes of those records include: to process and 

control assignments made to individual Commissioners; to coordinate the consideration of and 

votes on appropriate issues; to assist Commissioners and staff in investigative, adjudicative and 

rulemaking proceedings, enforcement actions, civil penalty proceedings, consideration of 

compliance reports, issuance of complaints, negotiation of consent orders, issuance of cease and 

desist orders, advisory opinions, and other matters before the Commission; and to retain records 

of the matters before the Commission, the Commission’s deliberations and decisions concerning 

those matters, and related documents.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Past and present Commission employees, and other participants or parties in Commission 

investigations, rulemaking, advisory, and law enforcement matters or proceedings. (Businesses, 

sole proprietorships, or corporations are not covered by this system.)

CATEGORIES OF RECORDS IN THE SYSTEM:
For records about past or present Commission employees: name; employee identification

number; organization name and code; employee work activities; and specific responsibilities and

assignments on individual matters. For others: records related to investigatory, rulemaking,

advisory opinion and other matters or proceedings, including name and associated matter

number; matter status; alleged or potential law violation; and goods or services associated with

the proceeding. The records also include brief descriptions or summaries of planned or actual

actions or events during an FTC investigation, rulemaking, court case, or other FTC matter or

proceeding. The system also includes records of assignments, votes, circulations, or other

activities or actions of the FTC’s Commissioners on agency proceedings and matters.

RECORD SOURCE CATEGORIES:

Individual on whom the record is maintained and Commission staff associated with the

matter.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING

CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

Records in this system:

(1) May be made available or referred to federal, state, local or international government

authorities for investigation, possible criminal prosecution, civil action, regulatory order or other

law enforcement purpose; and

(2) 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 73 FR 33592, 

36333-36334 (June 12, 2008).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS: 

System records are primarily maintained and accessed electronically. The system can

generate electronic or printed status or history reports.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS: 

Indexed by Commissioner, staff, or other individual name, employee identification 

number, matter number, respondent’s or correspondent’s name, company name, industry 

investigation title, and FTC matter number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:

Records are retained and disposed of in accordance with Schedule 2 of FTC Records 

Retention Schedule N1-122-09-1, which was 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. Access to nonpublic 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 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:

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: 

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