[Federal Register: January 24, 2007 (Volume 72, Number 15)]
[Notices]
[Page 3141-3143]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr24ja07-67]
=======================================================================
-----------------------------------------------------------------------
FEDERAL ELECTION COMMISSION
[Notice 2007-1]
Privacy Act of 1974; Systems of Records
AGENCY: Federal Election Commission.
ACTION: Proposed Notice of Revised System of Records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5
U.S.C. 552a, the Federal Election Commission (``the Commission'' or
``the FEC'') is publishing for comment a revised system of records that
is maintained by the Commission. The system entitled Inspector General
Investigative Records (FEC 12) has been revised to: include additional
routine uses (3 through 17); expand the list of ``Categories of records
in the system;'' include additional data elements required for systems
of records notices, including ``Security Classification,'' ``Purpose,''
``Disclosure to consumer reporting agencies,'' and ``Exemptions claimed
for the system;'' and incorporate administrative and technical changes
that have taken place since the last publication of FEC systems of
records on December 15, 1997. 62 FR 65694. The minor changes include:
clarifying the ``System location;'' adding new language to explain but
not increase the ``Categories of individuals covered by the system;''
clarifying the language for ``Storage;'' adding new language under
``Retrievability;'' expanding the ``Safeguards;'' adding language to
``Retention and disposal;'' making a technical change to the ``System
manager(s);'' clarifying the ``Notification,'' ``Record access,'' and
``Contesting record'' procedures; and updating the ``Record source
categories.'' The revised system of records should provide improved
protection for the privacy rights of individuals.
DATES: Comments on the proposed revisions to the existing records
system, must be received no later than February 23, 2007. The revisions
will be effective March 5, 2007 unless the Commission receives comments
that would result in a contrary determination.
ADDRESSES: Comments should be addressed in writing to Thomasenia P.
Duncan, Privacy Act Officer, Federal Election Commission, 999 E Street,
NW., Washington, DC 20463, and must be received by close of business on
February 23, 2007. Comments also may be sent via electronic mail to
Privacy@fec.gov.
SUPPLEMENTARY INFORMATION: The primary purpose for this publication is
to revise a system of records maintained by the FEC. The FEC has
undertaken a review of its Privacy Act system of records, and as a
result of this review, the FEC proposes to amend the system entitled
Inspector General Investigative Files (FEC 12) to: include additional
routine uses (3 through 17); expand the list of ``Categories of records
in the system;'' include additional data elements required in a system
of records, including ``Security classification,'' ``Purpose,''
``Disclosure to consumer reporting agencies,'' and ``Exemptions claimed
for the system;'' and incorporate administrative and technical changes
that have taken place since the last publication. The minor changes
include: clarifying the ``System location;'' adding new language to
explain but not increase the ``Categories of individuals covered by the
system;'' clarifying the language for ``Storage;'' adding new language
under ``Retrievability;'' expanding the ``Safeguards;'' adding language
to ``Retention and disposal;'' making a technical change to the
``System manager(s);'' clarifying the ``Notification,'' ``Record
access,'' and ``Contesting record'' procedures; and updating the
``Record source categories.''
As required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as
amended, and OMB Circular A-130, Appendix I, the FEC has submitted a
report describing the altered system of records covered by this notice
to the Office of Management and Budget and to Congress.
Dated: January 11, 2007.
Robert D. Lenhard,
Chairman, Federal Election Commission.
Table of Contents
FEC 12 Inspector General Investigative Files.
FEC 12
System name:
Inspector General Investigative Files.
Security classification:
Records in this system are sensitive but unclassified.
System location:
Federal Election Commission, Office of the Inspector General (OIG),
999 E Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who are the subjects of complaints relating to the
programs and operations of the Commission. Subjects include, but are
not limited to, current and former FEC employees; current and former
employees of contractors and subcontractors in their personal capacity,
where applicable; and other persons whose actions affect the FEC, its
programs or operations.
Categories of records in the system:
Complaints, referrals from other agencies, correspondence,
investigative notes, interviews, statements from witnesses, transcripts
taken during investigation, affidavits, copies of all subpoenas issued
and responses thereto, interrogatories and responses thereto, reports,
internal staff memoranda, staff working papers and other documents and
records or copies obtained or relating to complaints and
investigations. May include the name, address, telephone number, e-mail
address, employment information, and financial records of the subjects.
Authority for maintenance of the system:
Inspector General Act Amendments of 1988, Pub. L. 100-504, amending
the Inspector General Act of 1978, Pub. L. 95-452, 5 U.S.C. app. 3.
Purpose(s):
These records are used to document the conduct and outcome of
inquiries, complaints, and investigations concerning allegations of
fraud, waste, and abuse that affect the FEC. The information is used to
report the results of investigations to FEC management, contractors,
prosecutors, law enforcement agencies, Congress, and others for an
action deemed appropriate. These records are used also to retain
sufficient information to fulfill reporting requirements and to
maintain records related to the OIG's activities.
[[Page 3142]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in these records may be
disclosed as follows:
1. To the Department of Justice when:
a. The agency, or any component thereof; or
b. Any employee of the agency in his or her official capacity; or
c. Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
d. The United States, where the agency determines that litigation
is likely to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
reports by the Department of Justice is deemed by the Inspector
General, after careful review, to be relevant and necessary to the
litigation, provided, however, that in each case the Inspector General
determines that disclosure of the records to the Department of Justice
is a use of the information contained in the records that is compatible
with the purpose for which the records were collected.
2. To disclose them in a proceeding before a court or adjudicative
body before which the agency is authorized to appear when:
a. The agency, or any component thereof; or
b. Any employee of the agency in his or her official capacity; or
c. Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
d. The United States, where the agency determines that litigation
is likely to affect the agency, or any of its components, is a party to
litigation or has an interest in such litigation, and the Inspector
General determines that, after careful review, the use of such records
is relevant and necessary to the litigation, provided, however, that
the Inspector General determines that disclosure of the records is
compatible with the purpose for which the records were collected.
3. To the appropriate Federal, foreign, State, local, tribal, or
other public authority responsible for enforcing, investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, rule, regulation, or order issued pursuant thereto, when
information indicates a violation or potential violation of law,
whether civil, criminal or regulatory in nature, and whether arising by
general statute or particular program statute, or by regulation, rule,
or order issued pursuant thereto, if the information disclosed is
relevant to any enforcement, regulatory, investigative or prosecutorial
responsibility of the receiving entity.
4. To any source or potential source from which information is
requested in the course of an investigation concerning the retention of
an employee or other personnel action (other than hiring), or the
retention of a security clearance, contract, grant, license, or other
benefit, to the extent necessary to identify the individual, inform the
source of the nature and purpose of the investigation, and to identify
the type of information requested.
5. To a Federal, State, local, foreign, tribal or other public
authority of the fact that this system of records contains information
relevant to the retention of an employee, the retention of a security
clearance, the letting of a contract, or the issuance or retention of a
license, grant, or other benefit. The other agency or licensing
organization may then make a request supported by written consent of
the individual for the entire record if it so chooses. No disclosure
will be made unless the information has been determined to be
sufficiently reliable to support a referral to another office within
the agency or to another Federal agency for criminal, civil,
administrative, personnel, or regulatory action.
6. To the White House in response to an inquiry made at the written
request of the individual about whom the record is maintained.
Disclosure will not be made until the White House has furnished
appropriate documentation of the individual's request, such as a copy
of the individual's written request.
7. To a congressional office from the record of an individual in
response to an inquiry from the congressional office made at the
written request of the individual about whom the record is maintained.
Disclosure will not be made until the congressional office has
furnished appropriate documentation of the individual's request, such
as a copy of the individual's written request.
8. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2903 and 2904.
9. To agency or OIG contractors (including employees of
contractors), grantees, experts, or volunteers who have been engaged to
assist the agency or OIG in the performance of a contract, service,
grant, cooperative agreement, or other activity related to this system
of records and who need to have access to the records in order to
perform the activity for the agency or OIG. Recipients shall be
required to comply with the requirements of the Privacy Act of 1974, as
amended, 5 U.S.C. 552a.
10. To an authorized appeal grievance examiner, formal complaints
examiner, equal employment opportunity investigator, arbitrator or
other person properly engaged in investigation or settlement of an
administrative grievance, complaint, claim, or appeal filed by an
employee or former employee, but only to the extent that information is
relevant and necessary to the proceeding. Agencies that may obtain
information under this routine use include, but are not limited to, the
Office of Personnel Management, Office of Special Counsel, Merit
Systems Protection Board, Federal Labor Relations Authority, Equal
Employment Opportunity Commission, and Office of Government Ethics.
11. To the Office of Personnel Management for matters concerned
with oversight activities (necessary for the Office of Personnel
Management to carry out its legally-authorized Government-wide
personnel management programs and functions) and in their role as an
investigation agency.
12. To officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
13. To agencies, offices, or establishments of the executive,
legislative, or judicial branch of the Federal or State government
after receipt of request and where the records or information is
relevant and necessary to a decision on an employee's disciplinary or
other administrative action (excluding a decision on hiring). The
agency will take reasonable steps to ensure that the records are
timely, relevant, accurate, and complete enough to assure fairness to
the employee affected by the disciplinary or administrative action.
14. To debt collection contractors to collect debts owed to the
Government, as authorized under the Debt Collection Act of 1982, 31
U.S.C. 3718, and subject to the Privacy Act safeguards.
15. To officials who have been engaged to assist the Office of
Inspector General in the conduct of inquiries, complaints, and
investigations who need to have access to the records in order to
perform the work. This disclosure category includes members of the
President's Council on Integrity and Efficiency and the Executive
Council on Integrity and Efficiency, and officials
[[Page 3143]]
and administrative staff within their chain of command. Recipients
shall be required to comply with the requirements of the Privacy Act.
16. Information may be disclosed to officials charged with the
responsibility to conduct qualitative assessment reviews of internal
safeguards and management procedures employed in investigative
operations. This disclosure category includes members of the
President's Council on Integrity and Efficiency, Executive Council on
Integrity and Efficiency, and officials and administrative staff within
their investigative chain of command, as well as authorized officials
of the Department of Justice and the Federal Bureau of Investigation.
Recipients shall be required to comply with the requirements of the
Privacy Act.
17. To appropriate agencies, entities, and persons when (1) It is
suspected or confirmed that the security or confidentiality of
information in the system of records has been compromised; (2) the
Commission has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to economic or property
interests, identity theft or fraud, or harm to the security or
integrity of this system or other systems or programs (whether
maintained by the Commission or another agency or entity) that rely
upon the compromised information; and (3) the disclosure is made to
such agencies, entities, and persons who are reasonably necessary to
assist in connection with the Commission's efforts to respond to the
suspected or confirmed compromise and prevent, minimize, or remedy such
harm.
Disclosure to consumer reporting agencies:
We may disclose the record or information from this system,
pursuant to 5 U.S.C. 552a(b)(12), to consumer reporting agencies as
defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f) or the
Federal Claims Collection Act of 1966, as amended, 31 U.S.C.
3701(a)(3), in accordance with section 3711(f) of Title 31.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in both a paper and electronic format.
Retrievability:
The records may be retrieved by the name of the subject of the
complaint/investigation or by a unique control number assigned to each
complaint/investigation.
Safeguards:
The records are maintained in limited access areas within the
building. Access is limited to Office of Inspector General employees
whose official duties require access. The paper records and electronic
information not stored on computers are maintained in lockable cabinets
in a locked room. Information stored on computers is on a restricted
access server located in a locked room. All electronic records are
protected from unauthorized access through appropriate administrative,
physical, and technical safeguards. These safeguards include the
application of appropriate access control mechanisms to ensure the
confidentiality, integrity, and availability of those records are only
accessed by those with a need to know and dictated by their official
duties.
Retention and disposal:
These records will be maintained permanently until disposition
authority is granted by the National Archives and Records
Administration. Upon approval, the records will be retained in
accordance with NARA's schedule and disposed of in a secure manner.
System manager(s) and address:
Inspector General, Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463, (202/694-1015).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the FEC Inspector General, 999 E Street,
NW., Washington, DC 20463. For additional information, refer to the
Commission's access regulations at 11 CFR parts 1.1-1.5, 41 FR 43064
(1976).
Record access procedures:
An individual interested in gaining access to a record pertaining
to him or her may make a request in person or in writing to the FEC
Inspector General at the following address: 999 E Street, NW.,
Washington, DC 20463. For additional information, refer to the
Commission's access regulations at 11 CFR parts 1.1-1.5, 41 FR 43064
(1976).
Contesting record procedures:
Individuals interested in contesting the information contained in
their records or the denial of access to such information should notify
the FEC Inspector General at the following address: 999 E Street, NW.,
Washington, DC, 20463. For additional information, refer to the
Commission's regulations for contesting initial denials for access to
or amendment of records, 11 CFR parts 1.7-1.9, 41 FR 43064 (1976).
Record source categories:
Complaints, subjects, third parties who have been requested to
produce relevant information, referring agencies, and OIG personnel
assigned to handle complaints/investigations.
Exemptions claimed for the system:
System exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2).
See 11 CFR 1.14.
[FR Doc. E7-955 Filed 1-23-07; 8:45 am]
BILLING CODE 6715-01-P