[Federal Register: January 2, 2008 (Volume 73, Number 1)]
[Notices]
[Page 335-361]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr02ja08-99]
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Part IV
Federal Election Commission
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Privacy Act of 1974; Systems of Records; Notice
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FEDERAL ELECTION COMMISSION
[Notice 2007-28]
Privacy Act of 1974; Systems of Records
AGENCY: Federal Election Commission.
ACTION: Notice of New and Revised Systems of Records.
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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5
U.S.C. 552a, the Federal Election Commission (``the FEC'' or ``the
Commission'' or ``the agency'') is publishing for comment new and
revised systems of records that are maintained by the Commission. These
systems have been proposed or revised as a result of a reevaluation of
the manner in which the Commission maintains records. The Commission is
deleting an obsolete system of records entitled FEC 4, Mailing Lists,
and a duplicative system of records entitled FEC 5, Personnel Records.
The four new proposed systems of records that have been added are
entitled: FEC 13, Travel Records of Employees; FEC 14, Alternative
Dispute Resolution Program; FEC 15, Freedom of Information Act System;
and FEC 16, HSPD-12: Identity Management, Personnel Security, Physical
and Logical Access Files. With the exception of FEC 12, all other
systems have been revised to incorporate administrative changes that
have taken place since the last complete publication of FEC systems of
records on December 15, 1997.
DATES: Comments on the establishment of the new systems of records, as
well as the revisions to existing records systems, must be received no
later than February 1, 2008. The new systems of records and revisions
will be effective February 11, 2008 unless the Commission receives
comments that would result in a contrary determination.
ADDRESSES: Comments should be addressed in writing to Lawrence L.
Calvert, Acting Co-Chief Privacy Officer, Federal Election Commission,
999 E Street, NW., Washington, DC 20463, by close of business on
February 1, 2008. Comments may also be sent via electronic mail to
Privacy@fec.gov.
SUPPLEMENTARY INFORMATION: The Privacy Act regulates the collection,
maintenance, use and dissemination of information about individuals by
Federal agencies. Its basic rule generally prohibits the disclosure of
any individual's ``record,'' if contained in a ``system of records'' to
a third party without the individual's consent. See 5 U.S.C. 552a(b). A
``system of records'' is any group of records in which records can be
retrieved by the individual's name, or by a unique identifier assigned
to the individual. See 5 U.S.C. 552a(a)(5).
There are a number of exceptions to the basic rule of nondisclosure
without consent. Among them is an exception that permits nonconsensual
disclosure for a ``routine use''--that is, a use compatible with the
purposes for which the record was collected. 5 U.S.C. 552a(b)(3).
Individuals are also, again with exceptions, guaranteed access to their
records, and the right to request amendment of their records if they
believe the records are inaccurate. See generally 5 U.S.C. 552a(d).
To facilitate these provisions, each agency must periodically
review its systems of records and publish a notice in the Federal
Register containing certain specified information about them. The FEC
has undertaken and completed such a review. As a result of this review,
the Commission determined that its Privacy Act notices required
extensive modifications to more accurately describe the records systems
currently maintained by the Commission. Rather than making numerous,
piecemeal revisions, the Commission decided to draft and republish
updated notices for all of its Privacy Act systems of records. By doing
so, the Commission hopes to make these notices as clear and accessible
to the public as possible.
The public is advised that the ``routine uses'' described herein
are not the exclusive list of circumstances in which the Commission may
share Privacy Act protected information with a third party without the
consent of the individual to whom the records pertain. The ``routine
use'' exception, 5 U.S.C. 552a(b)(3), is only one of twelve specific
exceptions to the rule of nondisclosure contained within the Privacy
Act itself--one of the most important of which is information for which
disclosure is required pursuant to the Freedom of Information Act, 5
U.S.C. 552. See 5 U.S.C. 552a(b)(2). Another exception to the rule of
nondisclosure is disclosure to either House of Congress, or a committee
of the Congress when the inquiry concerns a matter within the
committee's jurisdiction. See 5 U.S.C. 552a(b)(9). The proposed changes
to the FEC's routine uses do not limit or alter these other exceptions.
Conversely, the inclusion of a ``routine use'' in this notice does not
necessarily mean that information will always be disclosed under all
circumstances described as a ``routine use.'' For instance, records in
FEC 3, Compliance Actions, may not be disclosed even pursuant to a
routine use if disclosure is prohibited by 2 U.S.C. 437g(a)(12)
(covering enforcement matters still open) or 2 U.S.C. 437g(a)(4)
(covering information derived from conciliation attempts in any
matter). Similarly, records in FEC 12, Inspector General Investigative
Files, may not be disclosed if a matter is pending.
The proposed changes to the system entitled FEC 1, Advisory
Opinions Process include: Revising the ``System name,'' adding data
elements ``Security classification,'' ``Purpose(s),'' ``Disclosure to
consumer reporting agencies,'' and ``Exemptions claimed for the
system'' to comply with Office of Management and Budget (OMB) and
Federal Register requirements; expanding the ``Categories of
individuals covered by the system'' and ``Record source categories;''
adding routine uses Nos. 3 through 13; updating ``Storage,''
``Retrievability,'' ``Safeguards,'' ``Retention and disposal,'' and
``System manager(s) and address;'' clarifying ``Notification
procedure,'' ``Record access procedures,'' and ``Contesting record
procedures;'' and technical revisions.
The proposed changes to the system entitled FEC 2, Audits and
Investigations include: Adding data elements ``Security
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting
agencies,'' and ``Exemptions claimed for the system'' to comply with
OMB and Federal Register requirements; expanding the ``Categories of
individuals covered by the system'' and ``Record source categories;''
clarifying the ``Categories of records in the system;'' adding routine
uses Nos. 3 through 9; updating ``Storage,'' ``Retrievability,''
``Safeguards,'' and ``Retention and disposal;'' clarifying
``Notification procedure;'' ``Record access procedures,'' and
``Contesting record procedures;'' and technical revisions.
The proposed changes to the system entitled FEC 3, Compliance
Actions include: Adding data elements ``Security classification,''
``Purpose(s),'' and ``Disclosure to consumer reporting agencies;''
expanding the ``Categories of individuals covered by the system'' and
``Categories of records in the system;'' adding routine uses Nos. 3
through 15; updating ``Storage,'' ``Retrievability,'' ``Safeguards,''
``Retention and disposal,'' and ``System manager(s) and address;''
clarifying ``Notification procedure,'' ``Record access procedures,''
and ``Contesting record procedures;'' and technical revisions.
The FEC is deleting the system entitled FEC 4, Mailing Lists,
because the system of records is no longer searchable by name or other
unique
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identifier, and thus, does not require a System of Records Notice. The
FEC is also deleting FEC 5, Personnel Records, because the system is
covered by Office of Personnel Management government-wide systems of
records (OPM/GOVT-1, 2, 3, 5 and 10).
The proposed changes to the system entitled FEC 6, Candidate
Reports and Designations include: Adding data elements ``Security
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting
agencies,'' and ``Exemptions claimed for the system'' to comply with
OMB and Federal Register requirements; expanding ``Categories of
individuals covered by the system;'' clarifying ``Categories of records
in the system;'' deleting routine uses; updating ``System location,''
``Storage,'' ``Retrievability,'' ``Safeguards,'' ``Retention and
disposal,'' and ``System manager(s) and address;'' clarifying
``Notification procedure,'' ``Record access procedures,'' ``Contesting
record procedures;'' and ``Record source categories;'' and technical
revisions.
The proposed changes to the system entitled FEC 7, Certification
for Primary Matching Funds and General Elections Campaign Funds
include: Adding data elements ``Security classification,''
``Purpose(s),'' ``Disclosure to consumer reporting agencies,'' and
``Exemptions claimed for the system;'' updating ``System location;''
expanding ``Categories of individuals covered by the system;''
clarifying ``Categories of records in the system,'' adding routine uses
Nos. 3 through 10; updating ``Storage,'' ``Retrievability,''
``Safeguards,'' ``Retention and disposal,'' and ``System manager(s) and
address;'' clarifying ``Notification procedure,'' ``Record access
procedures,'' and ``Contesting record procedures;'' and technical
revisions.
The proposed changes to the system entitled FEC 8, Payroll Records
include: Adding data elements ``Security classification,'' ``Categories
of individuals covered by the system,'' ``Purpose(s),'' ``Disclosure to
consumer reporting agencies;'' and ``Exemptions claimed for the
system'' to comply with OMB and Federal Register requirements; updating
``System location;'' expanding ``Categories of records in the system;''
re-numbering and adding routine uses Nos. 1 through 33; updating
``Storage;'' ``Retrievability,'' ``Safeguards,'' and ``System
manager(s) and address;'' clarifying ``Notification procedure,''
``Record access procedures'' and ``Contesting record procedures;'' and
technical revisions.
The proposed changes to the system entitled FEC 9, Litigation
Actions include: Adding data elements ``Security classification,''
``Purpose(s),'' ``Disclosure to consumer reporting agencies,'' and
``Exemptions claimed for the system'' to comply with Federal Register
requirements; expanding the ``Categories of individuals covered by the
system'' and ``Categories of records in the system;'' adding routine
uses Nos. 3-13; updating ``Storage,'' ``Retrievability,''
``Safeguards,'' ``Retention and disposal,'' and ``System manager(s) and
address;'' clarifying the ``Notification procedure,'' ``Record access
procedures,'' and ``Contesting record procedures;'' and technical
revisions.
The proposed changes to the system entitled FEC 10, Letter File.
Public Communications include: Adding data elements ``Security
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting
agencies,'' ``Safeguards,'' and ``Exemptions claimed for the system''
to comply with OMB and Federal Register requirements; updating ``System
location;'' expanding the ``Categories of individuals covered by the
system;'' clarifying the ``Categories of records in the system,''
adding routine uses Nos. 3 through 12; updating ``Retrievability,''
``Retention and disposal,'' and ``System manager(s) and address;''
clarifying ``Notification procedure;'' ``Record access procedures,''
``Contesting record procedures,'' and ``Record source categories;'' and
technical revisions.
The proposed changes to the system entitled FEC 11, Contributor
Name Index System include: Adding data elements ``Security
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting
agencies,'' and ``Exemptions claimed for the system'' to comply with
OMB and Federal Register requirements; updating ``System location;''
expanding ``Categories of individuals covered by the system;''
clarifying ``Categories of records in the system;'' deleting routine
uses; updating ``Storage,'' ``Retrievability,'' ``Safeguards,''
``Retention and disposal,'' and ``System manager(s) and address;''
clarifying ``Notification procedure,'' ``Record access procedures,''
and ``Contesting record procedures,'' expanding ``Record source
categories;'' and technical revisions.
The Commission recently published a proposed notice of revised
system of records covering the system entitled FEC 12, Inspector
General Investigative Files. 72 FR 3141 (January 24, 2007). Thus,
changes to FEC 12 include only technical revisions.
The FEC proposes to establish the system of records entitled FEC
13, Travel Records of Employees. FEC 13 would cover travel records of
FEC employees.
The FEC proposes to establish the system of records entitled FEC
14, Alternative Dispute Resolution Program. FEC 14 would cover
documents generated by the FEC's Alternative Dispute Resolution (ADR)
program. The ADR program was established to provide parties in
enforcement actions with an alternative method for resolving complaints
filed against them or for addressing issues identified in the course of
an FEC audit. The resolution process is designed to promote compliance
with the Federal Election Campaign Act, as amended and Commission
regulations and to reduce the cost of processing complaints by
encouraging settlements outside the FEC's normal enforcement track.
The FEC proposes to establish the System of Records entitled FEC
15, FEC Freedom of Information Act System. The Freedom of Information
Act (FOIA), 5 U.S.C. 552, generally provides any person with the right
to obtain access to agency records unless the information is protected
from disclosure by any of the nine exemptions or special law
enforcement exclusions. FEC 15 would cover records of FEC compliance
with the Freedom of Information Act (FOIA), such as FOIA requests,
responses, and appeals.
The FEC proposes to establish FEC 16, HSPD-12: Identity Management,
Personal Security, Physical and Logical Access Files. Homeland Security
Presidential Directive 12 (HSPD-12) requires federal agencies to use a
common identification credential for both logical and physical access
to federally controlled facilities and information systems. The FEC
plans to enter into a shared services support agreement with an
approved shared service provider to automate the process of issuing
credentials to all agency employees, contractors, volunteers, and other
individuals who require routine, long-term access to agency facilities,
systems, and networks. Credentials are issued based on sound criteria
to verify an individual's identity, that are strongly resistant to
fraud, tampering, counterfeiting, and terrorist exploitation, and that
provide for rapid, electronic authentication of personal identity by a
provider whose reliability has been established through an official
accreditation process.
As required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as
amended, and OMB Circular A-130, the FEC has submitted a report
describing the new and altered systems of records covered by this
notice to the Office of
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Management and Budget and to Congress.
Dated: December 19, 2007.
Robert D. Lenhard,
Chairman, Federal Election Commission.
Table Of Contents
FEC 1 Advisory Opinions Process.
FEC 2 Audits and Investigations.
FEC 3 Compliance Actions.
FEC 6 Candidate Reports and Designations.
FEC 7 Certification for Primary Matching Funds and General Election
Campaign Funds.
FEC 8 Payroll Records.
FEC 9 Litigation Actions.
FEC 10 Letter File. Public Communications.
FEC 11 Contributor Name Index System.
FEC 12 Inspector General Investigative Files.
FEC 13 Travel Records of Employees.
FEC 14 Alternative Dispute Resolution Program.
FEC 15 FEC Freedom of Information Act System.
FEC 16 HSPD-12: Identity Management, Personnel Security, Physical
and Logical Access Files.
FEC 1
System name:
Advisory Opinions Process.
Security classification:
Sensitive but unclassified; some records are public.
System location:
Federal Election Commission, Office of General Counsel, Policy
Division, 999 E Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have submitted correspondence to the FEC requesting
an advisory opinion under the Federal Election Campaign Act and FEC
regulations; individuals who have submitted comments regarding advisory
opinion drafts; current and former FEC staff assigned to handle
requests.
Categories of records in the system:
The records in this system include paper and electronic
correspondence, staff notes, Commissioners' comments, and advisory
opinion drafts. May include the name, address, telephone number, e-mail
address, employment information, political activity, and financial
records of the correspondents.
Authority for maintenance of the system:
2 U.S.C. 437d(a)(7) and 437f.
Purpose(s):
The Federal Election Campaign Act of 1971, as amended, requires
that the FEC render advisory opinions to persons with regard to
subjects arising under the Act. See 2 U.S.C. 437f. The FEC gathers or
creates the records in this system in the course of accepting and
responding to requests for such advisory opinions. Commissioners and
staff use this system to respond to requests for advisory opinions, and
the documents are maintained for use as a reference in subsequent
requests for advisory opinions. Advisory opinions issued before 2001
are available to the public online at Commission's Public Records
Office. Advisory opinions, requests, draft opinions, amendments
considered by the Commission in public session, public comments, and
similar documents issued after 2001 are available to the public at e
Public Records Office.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To the news media or the general public, factual information the
disclosure of which would be in the public interest and which would not
constitute an unwarranted invasion of personal privacy.
4. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
6. 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
(e.g., a constituent request). 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.
7. 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.
8. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
9. To an authorized appeal grievance examiner, formal complaints
examiner, equal employment opportunity investigator, arbitrator or
other person
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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.
10. 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.
11. To officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
12. 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.
13. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records; microfilm; electronic format on agency computer
networks.
Retrievability:
Microfilm and paper records are indexed and retrievable by name of
requester, date of opinion, request number, subject, citation, or
phrase, and, as applicable, by microfilm roll and frame number.
Records maintained in electronic form on agency computer networks
may be retrieved by agency personnel using Case Management System
software, the Office of General Counsel (OGC) Internal Index, or the
Commission's Web site and are retrievable by name of requestor, request
number, date of opinion, subject, citation, phrase, and name of current
or former staff who handled the request.
The Commission's published advisory opinions are available for
public review in the Commission's Public Records Office and on the
FEC's Internet web page and are indexed by request number and are full-
text searchable. All advisory opinions and many requests and draft
opinions are also available on microfilm. Members of the public may
retrieve any advisory opinion online. For opinions issued after 2001,
members of the public may view in the Public Records Office, the
requests, draft opinions, and amendments considered by the Commission
in public session, public comments, and similar documents. These
documents are also available on the Commission's Web site.
Safeguards:
Records in this system of records are under the custody of
designated employees of the Commission. Access to the records is
limited to employees requiring access to the information contained
therein to further the agency's mission. Electronic records that are
not available on the Commission's Web site 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 and that they are only
accessed by those with a need to know and dictated by their official
duties.
Retention and disposal:
Paper copies are retained for at least four years from date of
receipt and subject to disposal thereafter. Electronic and microfilm
copies are available indefinitely.
System manager(s) and address:
Associate General Counsel for Policy, Office of General Counsel,
Federal Election Commission, 999 E Street, NW., Washington, DC 20463,
(202/694-1650).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Associate General Counsel for Policy,
Office of General Counsel, Federal Election Commission, 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
Associate General Counsel for Policy, Office of General Counsel,
Federal Election Commission 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 Associate General Counsel for Policy, Office of General Counsel,
Federal Election Commission 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:
Information is provided by individual requesters of advisory
opinions, persons submitting comments to the FEC with regard to the
request, and FEC staff.
Exemptions claimed for the system:
None.
FEC 2
System name:
Audits and Investigations.
Security classification:
Sensitive but unclassified; some records are public.
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System location:
Federal Election Commission, Audit Division, 999 E Street, NW.,
Washington, DC 20463.
Categories of individuals covered by the system:
Candidates required to file statements and reports under the
Federal Election Campaign Act; treasurers or other representatives of
political committees.
Categories of records in the system:
Documents related to audits and investigations. The records
contained in this system may include the name, address, telephone
number, and financial data of the subjects of audits and
investigations.
Authority for maintenance of the system:
2 U.S.C. 437d(a)(9), 437g(a)(2), (5) and 438(a)(8), (9); 26 U.S.C.
9007, 9038.
Purpose(s):
The information contained in the records maintained in this system
is used to verify compliance with the Federal Election Campaign Act and
to verify compliance with, and eligibility for, funds pursuant to the
Presidential Campaign Matching Fund Act and the Presidential Primary
Matching Payment Account Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the records may be
disclosed as follows:
1. To disclose them 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To the general public but only to the extent the information is
contained in, or relates to, a proposed Final Audit Report considered
by the Commission in public session or is contained in an approved
Final Audit Report.
4. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
6. To any source from which information is requested in the course
of an investigation, 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.
7. 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.
8. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
9. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records; CD-Rom storage; and electronic format on agency
networks.
Retrievability:
Indexed by name of auditee. The public may retrieve approved Final
Audit Reports from a page on the Commission's Web site.
Safeguards:
Paper records are retained in locked safes in limited access
locations. Access is limited to FEC staff on a restricted basis and to
appropriate law enforcement agencies as directed by the Commission.
Auditors in the field keep their audit documents under personal
supervision or in locked cases. CD-ROMs are kept in locked file
cabinets. 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 and that they are only accessed by those with a need
to know and dictated by their official duties.
[[Page 341]]
Retention and disposal:
Records are maintained and disposed of in accordance with FEC
records control schedules.
System manager(s) and address:
Assistant Staff Director for Audit, Federal Election Commission,
999 E Street, NW., Washington, DC 20463, (202/694-1200).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Assistant Staff Director for Audit,
Federal Election Commission, 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
Assistant Staff Director for Audit, Federal Election Commission 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 Assistant Staff Director for Audit, Federal Election Commission 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:
Information is provided by the candidate's authorized campaign
committee, political committees, and political action committees.
Information also may be obtained by subpoena from vendors and other
individuals.
Exemptions claimed for the system:
With respect to open audits, this system is exempt pursuant to the
provisions of 5 U.S.C 552a(k)(2). See 11 CFR 1.14. When the audit is
closed, copies of final reports are available on the public record.
FEC 3
System name:
Compliance Actions.
Security classification:
Sensitive but unclassified; some material is public.
System location:
Federal Election Commission, Office of General Counsel, Complaints
Examinations & Legal Administration Division, 999 E Street, NW.,
Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have filed complaints under the Federal Election
Campaign Act (2 U.S.C. 431 et seq.) (complainants); individuals who are
the subjects of complaints (respondents), including treasurers of
respondent political committees, and counsel; candidates filing late or
inaccurate reports, or no reports; witnesses and other individuals
providing information with respect to a compliance matter; and current
and former FEC personnel, including RAD analysts, auditors, attorneys
and investigators.
Categories of records in the system:
Complaints, sua-sponte submissions, referrals, and responses
thereto; documents generated in the course of internally-generated
investigations of reports on file at the Commission; documents
generated and received in the course of investigations of complaints
and referrals, including General Counsel's Reports, briefs, deposition
and transcripts, interrogatories and responses thereto, hearing
records, Subpoenas and orders, documents received from other government
agencies, other documentary evidence, documents in the course of
conciliation, and memoranda and notes created by agency personnel with
respect to investigations. May include the name, address, Social
Security Number, telephone number, e-mail address, employment
information, education, political activity records, tax records, travel
records, and financial records of the subjects of compliance actions or
other individuals covered by the system.
Authority for maintenance of the system:
2 U.S.C. 437g(a)(1), (2), (4) and (5); 438(a)(7) and 438(b); 26
U.S.C. 9006 and 9038.
Purpose(s):
The Federal Election Campaign Act of 1971, as amended, requires
that the FEC enforce the provisions of the Act. The FEC gathers or
creates the records in this system in the course of investigating and
acting as civil prosecutor for alleged violations of the Act. While any
compliance action is active, these records are maintained as the
agency's working or investigative file for the Matter Under Review
(MUR). Based upon information contained in the file, recommendations
are made to the Commission as to the disposition of a case, and the
Commission acts upon those recommendations. The Associate General
Counsel assigns compliance actions to an attorney and/or to appropriate
staff for investigation. Administrative action pursuant to 2 U.S.C.
437g and civil litigation are handled by the General Counsel's Office.
Upon the closing of the compliance matter, certain documents are placed
on the public record.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review,
[[Page 342]]
use of such records is relevant and necessary to the litigation,
provided, however, that the agency determines that disclosure of the
records is compatible with the purpose for which the records were
collected.
3. To the Attorney General of the United States to refer evidence
of knowing and willful violations of the law.
4. Upon the closing of the compliance matter, to place certain
documents on the public record of the agency, pursuant to guidance
promulgated by the Commission. Before the documents are released to the
public, Commission personnel review and redact information that is not
disclosable under the Freedom of Information Act, such as personal
information (i.e., home addresses, home telephone numbers, and bank
account numbers).
5. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law for purposes of
reporting the information to those authorities pursuant to 2 U.S.C.
437d(a)(9) or as otherwise necessary to facilitate parallel
investigations or to assist the other agency with the investigation or
prosecution of a matter within its jurisdiction.
6. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
7. To any source from which information is requested in the course
of an investigation, 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.
8. 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.
9. 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.
10. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
11. 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.
12. 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.
13. To officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
14. 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.
15. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
Pursuant to 5 U.S.C. 552a(b)(12), records can be disclosed to
consumer reporting agencies as they are defined in the Fair Credit
Reporting Act.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in electronic form on agency computer
networks, on
Retrievability:
Microfilm and paper records are indexed and retrievable by name of
complainant or respondent, by compliance action number, or by microfilm
roll and frame number, as appropriate.
Electronic records are maintained on agency computer networks and
may be retrieved using software systems that support the agency's
compliance mission. The Case Management System (CMS), Concordance, and
Docs open databases are available only to agency personnel. When a
compliance matter has been closed, certain records are placed on the
agency's public record, and may be retrieved by the public through the
agency's Web site using the Enforcement Query System.
Safeguards:
Records in this system of records are under the custody of
designated employees of the Commission. Access to the records is
limited to employees requiring access to the information contained
therein to further the agency's compliance mission. Paper and
[[Page 343]]
microfilm records in this system are kept in locked filing cabinets in
limited access areas under personal surveillance during working hours,
and in locked filing cabinets in locked rooms at other times. 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 and that they are only accessed by those with a need
to know and dictated by their official duties. Prior to making
documents publicly available through the Electronic Query System, the
Office of General Counsel thoroughly reviews each record to remove
information deemed to be exempt under the Freedom of Information Act.
Retention and disposal:
Records are maintained and disposed of in accordance with FEC
records control schedules.
System manager(s) and address:
Special Counsel for Complaints Examinations & Legal Administration,
Office of General Counsel, Federal Election Commission, 999 E Street,
NW., Washington, DC 20463, (202/694-1650).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Special Counsel for Complaints
Examinations & Legal Administration, Office of General Counsel, Federal
Election Commission, 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 Special
Counsel for Complaints Examinations & Legal Administration, Office of
General Counsel, Federal Election Commission 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 Special Counsel for Complaints Examinations & Legal Administration,
Office of General Counsel, Federal Election Commission 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:
Information is obtained from a variety of sources, including but
not limited to complainants, respondents, third parties who have been
requested, or subpoenaed, to produce relevant information, referrals,
other Federal, State, or local authorities, financial institutions, and
the Federal Election Commission. Information is also obtained from
individuals covered by the system.
Exemptions claimed for the system:
With respect to open investigations, the system is exempt pursuant
to 5 U.S.C. 552a(k)(2). See 11 CFR part 1.14.
FEC 6
System name:
Candidate Reports and Designations.
Security classification:
Public.
System location:
Federal Election Commission, Public Disclosure Division, 999 E
Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Candidates for Federal office required to file reports of
contributions and expenditures; sources of receipts and recipients of
disbursements, including contributors and vendors; and treasurers of
Candidate Committees.
Categories of records in the system:
Reports and Statements of candidates; reports by delegates and
other persons making contributions or independent expenditures; and
designations on behalf of a Federal candidate but not through a
political committee, candidate, or authorized committee or agent of a
candidate. May include the name, address, telephone number, e-mail
address, employment information, political affiliation and financial
records of the candidate or treasurer. May include the name, address,
occupation, name of employer, and amounts of contribution of any person
who contributes more than $200 in a calendar year to a Federal
political committee (or $200 in an election cycle, in the case of
contributors to the authorized committee of candidates for Federal
office).
Authority for maintenance of the system:
2 U.S.C. 432(e), 434, 437b(a)(1), and 438(a)(4).
Purpose(s):
The information contained in the records maintained in this system
is used to inform the public of the amounts raised and spent by
authorized committees of candidates for Federal office and other
Federal political committees as well as the sources from which the
amounts are raised and the recipients of the amounts spent; also, to
verify compliance with the Federal Election Campaign Act. The
Commission is required to make this information public pursuant to 2
U.S.C. 438(a)(4).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None involving nonpublic information. All records in this system
are public pursuant to 2 U.S.C. 438(a)(4).
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records, microfilm, electronic format on agency computer
networks, and on the Internet at the FEC's web page.
Retrievability:
Paper and microfilm records are retrievable by candidate name,
candidate identification (ID) number, committee name, committee ID
number, or by the State in which candidate seeks election; electronic
records are retrievable by candidate name, candidate ID number,
committee name, committee ID number, or by the State or district in
which the candidate seeks election.
All electronic searches may be conducted by any member of the
public using the Commission's Web site.
Safeguards:
Original copies of records in this system are located in locked
filing cabinets or are maintained on password protected agency computer
networks. All electronic records are protected from unauthorized access
through appropriate administrative, physical, and technical safeguards.
[[Page 344]]
Retention and disposal:
Reports are preserved for a 10-year period except that reports
relating solely to candidates for the House of Representative are
preserved for 5 years from the date of receipt. Microfilm and
electronic records are maintained and disposed of in accordance with
FEC records control schedules.
System manager(s) and address:
Assistant Staff Director for Disclosure, Federal Election
Commission, 999 E Street, NW., Washington, DC 20463, (202/694-1120).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Assistant Staff Director for Disclosure,
Federal Election Commission, 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
Assistant Staff Director for Disclosure, Federal Election Commission 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 Assistant Staff Director for Disclosure, Federal Election
Commission 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:
Candidate committee disclosure reports and designations filed with
the FEC.
Exemptions claimed for the system:
None.
FEC 7
System name:
Certification for primary matching funds and general election
campaign funds.
Security classification:
Sensitive but unclassified; some records are public.
System location:
Federal Election Commission, Audit Division, 999 E Street, NW.,
Washington, DC 20463.
Categories of records in the system:
Candidates for nomination or election to the Office of President of
the United States and contributors whose contributions are matched
under the Matching Payment Act.
Categories of records in the system:
Certification forms and supporting data requesting matching funds
or election funds including the candidate agreement. May include the
name, address, telephone number, e-mail address, employment
information, political activity or affiliations and financial records
of the candidates. May include the names, addresses, occupations, names
of employers, and dates and amounts of contributions of contributors.
Authority for maintenance of the system:
26 U.S.C. 9003, 9006; 26 U.S.C. 9033, 9036, 9037.
Purpose(s):
To assist the Commission in facilitating the primary matching funds
and general election campaign funds programs for Presidential primary
candidates and nominees. Presidential candidates who seek matching
funds must submit information about matchable contributions to the FEC
for review. These files are available to the public and are placed on
the FEC's Internet site. Before receiving matching funds, candidates
must also provide a letter of agreement (candidate agreement) stating
they accept the conditions for receiving matching grants.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To the news media or the general public, factual information the
disclosure of which would be in the public interest and which would not
constitute an unwarranted invasion of personal privacy. However, under
2 U.S.C. 438a(4), any information copied from financial disclosure
reports shall not be sold or utilized by any person for the purposes of
soliciting contributions or for any commercial purpose.
4. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
[[Page 345]]
activities that disrupt the operation of Commission facilities.
6. 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
(e.g., a constituent request). 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.
7. 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.
8. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
9. To the Department of Treasury in connection with issuing
matching funds to qualified recipients.
10. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
Pursuant to 5 U.S.C. 552a(b)(12), records can be disclosed to
consumer reporting agencies as they are defined in the Fair Credit
Reporting Act.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records; CD-Rom storage; electronic format on agency computer
networks.
Retrievability:
Indexed and retrievable by name of candidate, committee ID, and
candidate ID. Matching funds submissions are retrievable by members of
the public on a page on the agency's public Web site.
Safeguards:
Paper records and CD-ROMs are kept in locked file cabinets in
limited access areas under personal surveillance during working hours
and in locked rooms at other times. 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 and that
they are only accessed by those with a need to know and dictated by
their official duties.
Retention and disposal:
Records are maintained and disposed of in accordance with FEC
records control schedules.
System manager(s) and address:
Assistant Staff Director for Audit, Federal Election Commission,
999 E Street, NW., Washington, DC 20463, (202/694-3440).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Assistant Staff Director for Audit,
Federal Election Commission, 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
Assistant Staff Director for Audit, Federal Election Commission 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 Assistant Staff Director for Audit, Federal Election Commission 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:
Certification reports and candidate agreements filed with the
Commission.
Exemptions claimed for the system:
None.
FEC 8
System name:
Payroll records.
Security classification:
Sensitive but unclassified.
System location:
Federal Election Commission, Finance Division, 999 E Street, NW.,
Washington, DC 20463 and on a computer system located in the Department
of Agriculture's National Finance Center, New Orleans, Louisiana.
Categories of individuals covered by the system:
All FEC employees.
Categories of records in the system:
Varied payroll records, including, among other documents, time and
attendance cards; payment vouchers; comprehensive listing of employees;
health and other benefit records; requests for deductions; tax forms;
W-2 forms; headcount data; overtime requests; leave data; and
retirement records. May include names, addresses, telephone numbers,
marital status, date of birth, e-mail addresses, employment and
education history, health and financial information.
Authority for maintenance of the system:
31 U.S.C., generally. Also, 2 U.S.C. 437c(f).
Purpose(s):
Records in this system are used by the Commission to maintain
adequate payroll information on Commission employees, to measure
employee performance, record time and attendance, and file reports with
appropriate authorities.
[[Page 346]]
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
4. To a Federal agency, in response to its request, in connection
with the hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract, or the issuance of a license, grant or other
benefit by the requesting agency, to the extent that the information is
relevant and necessary to the requesting agency's decision in the
matter.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
6. 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
(e.g., a constituent request). 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.
7. 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.
8. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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.
Recipients shall be required to comply with the requirements of the
Privacy Act of 1974, as amended, 5 U.S.C. 552a.
9. 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.
10. To the Office of Personnel Management in accordance with the
agency's responsibility for evaluation and oversight of Federal
personnel management.
11. To officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
12. 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.
13. 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.
14. To the Office of Child Support Enforcement Administration for
Children and Families, Department of Health and Human Services Federal
Parent Locator Service (FPLS) and Federal Tax Offset System for use in
locating individuals and identifying their income sources to establish
paternity, establish and modify orders of support and for enforcement
action.
15. To the Office of Child Support Enforcement for release to the
Social Security Administration for verifying Social Security Numbers in
connection with the operation of the FPLS by the Office of Child
Support Enforcement.
16. To the Office of Child Support Enforcement for release to the
Department of Treasury for purposes of administering the Earned Income
Tax Credit Program (Section 32, Internal Revenue Code of 1986) and
verifying a claim with respect to employment in a tax return.
17. To officers and employees of a Federal agency for purposes of
an audit.
18. To the General Accounting Office for audits; to the Internal
Revenue Service for investigation; and to individual representatives,
pursuant to a power of attorney.
19. To audit firms or other contractors conducting audits or
studies of FEC's financial or computer systems or processes in
accordance with the Accountability of Tax Dollars Act of
[[Page 347]]
2002, other laws, or special studies requested by management.
20. To a State and city, or other local jurisdiction that is
authorized to tax the employee's compensation, a copy of an employee's
Department of Treasury form W-2, wage and tax statement. The record
will be provided in accordance with a withholding agreement between the
State, city, or other local jurisdiction and the Department of the
Treasury, pursuant to 5 U.S.C. 5516, 5517, or 5520, or, in the absence
thereof, in response to a written request from an appropriate official
of the taxing jurisdiction to the Accounting Officer, Federal Election
Commission, Washington, DC 20463. The request must include a copy of
the applicable statute or ordinance authorizing the taxation of
compensation and should indicate whether the authority of the
jurisdiction to tax the employee is based on place of residence, place
of employment, or both.
a. Pursuant to a withholding agreement between a city and the
Department of Treasury (5 U.S.C. 5520), copies of executed city tax
withholding certificates shall be furnished to the city in response to
a written request from an appropriate city official to the Accounting
Officer.
b. In the absence of a withholding agreement, the Social Security
Number will be furnished only to a taxing jurisdiction that has
furnished this agency with evidence of its independent authority to
compel disclosure of the Social Security Number, in accordance with
Section 7 of the Privacy Act.
21. To the Department of Agriculture, National Finance Center, to
credit Thrift Savings Plan deductions and loan payments to employee
accounts.
22. To the Department of Treasury to issue checks, make payments,
make electronic funds transfers, and issue U.S. Savings Bonds.
23. To the Department of Labor in connection with a claim filed by
an employee for compensation due to a job connected injury or illness.
24. To the Internal Revenue Service; Social Security
Administration; and State and local tax authorities in connection with
the withholding of employment taxes.
25. To the Combined Federal Campaign in connection with payroll
deductions for charitable contributions.
26. To State Unemployment Offices in connection with a claim filed
by former employees for unemployment benefits.
27. To the Office of Personnel Management and to Health Benefit
carriers in connection with enrollment and payroll deductions.
28. To the Office of Personnel Management in connection with
employee retirement and life insurance deductions.
29. To the Office of Management and Budget and Department of the
Treasury to provide required reports on financial management
responsibilities.
30. To provide information as necessary to other Federal, State,
local or foreign agencies conducting computer matching programs to help
eliminate fraud and abuse and to detect unauthorized overpayments made
to individuals. When disclosures are made as part of computer matching
programs, FEC will comply with the Computer Matching and Privacy
Protection Act of 1988.
31. To the Internal Revenue Service in connection with withholdings
for tax levies.
32. To the General Services Administration, which has been engaged
to assist the agency in processing and administering certain functions
related to this system of records.
33. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records and electronic format on agency computer networks.
Primary computer files stored on server hard-drives with tape backup
for all records located at 999 E Street, NW., Washington, DC and at the
National Finance Center in New Orleans, Louisiana.
Retrievability:
Records are accessible via last name or Social Security Number.
Employees have online access to portions of their own files via their
last name and/or Social Security Number and/or PIN through the National
Finance Center Web site.
Safeguards:
Paper Records are kept in locked file cabinets located in a cipher-
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 and that they are only accessed by those
with a need to know and dictated by their official duties.
Retention and disposal:
Disposition of records shall be in accordance with the HB GSA
Records Maintenance and Disposition System (OAD P 1820.2).
System manager(s) and address:
Accounting Officer, Office of the Chief Financial Officer, Federal
Election Commission, 999 E Street, NW., Washington, DC 20463, (202/694-
1230).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Accounting Officer, Office of the Chief
Financial Officer, Federal Election Commission, 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
Accounting Officer, Office of the Chief Financial Officer, Federal
Election Commission 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 Accounting Officer, Office of the Chief Financial Officer, Federal
Election Commission at the following address:
[[Page 348]]
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:
The subject individual; the Federal Election Commission.
Exemptions claimed for the system:
None.
FEC 9
System name:
Litigation Actions.
Security classification:
Sensitive but unclassified; some material may be made public as
part of court filings or other judicial proceedings.
System location:
Federal Election Commission, Office of General Counsel, Litigation
Division, 999 E Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Individuals, and their counsel, who have brought judicial action
against the Commission and individuals, and their counsel, against whom
the Commission has brought judicial action pursuant to 2 U.S.C. 437g or
437h, 26 U.S.C. 9011 or 9041, 5 U.S.C. 552 or any other statute;
witnesses, and their counsel; individuals or organizations filing
amicus briefs; current and former FEC staff assigned to handle the
matter.
Categories of records in the system:
All documents incident to a lawsuit, including pleadings, discovery
materials, motions, briefs, inter-office communications, memoranda,
orders, and correspondence with opposing counsel, joint counsel or the
Department of Justice. May include the name, address, telephone number,
e-mail address, employment information, political activity or
affiliations and financial records of any individual covered by the
system.
Authority for maintenance of the system:
2 U.S.C. 437g(a)(6), 437g(a)(8), 437g(a)(11), and 437h; Bipartisan
Campaign Reform Act of 2002, Pub. L. 107-155, 116 Stat. 81, sec. 403.
Purpose(s):
The Federal Election Campaign Act of 1971, as amended, authorizes
the FEC to prosecute and defend certain litigation in the Federal
courts. See, e.g., 2 U.S.C. 437g(a). The FEC gathers or creates the
records in this system in the course of prosecuting or defending such
litigation. These records are maintained for historical purposes and
for consultation as precedent in subsequent judicial or administrative
actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To the news media or the general public, factual information the
disclosure of which would be in the public interest and which would not
constitute an unwarranted invasion of personal privacy.
4. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
6. 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.
7. 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.
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 contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the
[[Page 349]]
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 officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
12. 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.
13. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper record; microfilm; electronic form on agency computer
networks or other electronic recording media.
Retrievability:
Microfilm and paper records are indexed by name of party litigant
and, as applicable, by microfilm roll and frame number.
Electronic records may be retrieved using the agency computer
network and shared drawers, Case Management System (CMS), LSI Imaging
system, Docs open, DVDs, and Concordance databases.
Safeguards:
Access to the records is limited to employees with a need to know
the information to conduct civil litigation on behalf of the agency or
to ensure legal consistency in other proceedings.
Microfilm and paper records are kept in locked filing cabinets or
in limited access areas under personal surveillance during working
hours, and in locked rooms at other times.
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 and that they are only accessed by those with a need
to know and dictated by their official duties.
Retention and disposal:
Records are maintained and disposed of in accordance with FEC
records control schedules.
System manager(s) and address:
Associate General Counsel for Litigation, Office of General
Counsel, Federal Election Commission, 999 E Street, NW., Washington, DC
20463, (202/694-1650).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Associate General Counsel for
Litigation, Office of General Counsel, 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
Associate General Counsel for Litigation, Office of General Counsel,
Federal Election Commission 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 Associate General Counsel for Litigation, Office of General
Counsel, Federal Election Commission 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:
Information is obtained from a variety of sources, including but
not limited to individual party litigants and counsel, witnesses, third
parties, other agencies, court personnel and the Federal Election
Commission.
Exemptions claimed for the system:
Records in this system are exempt from individual access under 5
U.S.C. 552a(d)(5).
FEC 10
System name:
Letter File. Public Communications.
Security classification:
Sensitive but unclassified.
System location:
Federal Election Commission, Information Division, 999 E Street,
NW., Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have written to the FEC requesting answers to
specific questions related to the Federal Election Campaign Act, as
amended; current and former FEC staff assigned to handle requests for
information.
Categories of records in the system:
Requests for information and FEC responses thereto. May include
name, address, telephone number, e-mail address of the requestors.
Authority for maintenance of the system:
2 U.S.C. 438(a).
Purpose(s):
Commission staff maintain these records to respond to and manage
[[Page 350]]
inquiries directed to the Commission. The documents are also retained
for use as a reference in subsequent requests for information and to
keep track of the types of inquiries received by the Commission.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
4. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
5. 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
(e.g., a constituent request). 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.
6. 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.
7. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
8. 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.
9. 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.
10. To officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
11. 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.
12. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in electronic form on agency computer
networks and as paper records.
Safeguards:
Records are under the custody of designated employees of the
Commission. Access to the records is limited to employees requiring
access. All electronic records are protected from unauthorized access
through
[[Page 351]]
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 and that they are only accessed by those with a need
to know and dictated by their official duties.
Retrievability:
Records may be retrieved by name of the requester.
Retention and disposal:
Retained in-house for one year; shipped afterward to general
storage in accordance with FEC records control schedules.
System manager(s) and address:
Assistant Staff Director for Information, Federal Election
Commission, 999 E Street, NW., Washington, DC 20463, (202/694-1100).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Assistant Staff Director for
Information, Federal Election Commission, 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
Assistant Staff Director for Information, Federal Election Commission
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 Assistant Staff Director for Information, Federal Election
Commission 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:
Individuals who submit requests for information to the Commission
in writing.
Exemptions claimed for the system:
None.
FEC 11
System name:
Contributor Name Index System.
Security classification:
Public.
System location:
Federal Election Commission, Information Technology Division, 999 E
Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have been listed on campaign finance reports as
having given an aggregate amount in excess of $200 or more in a
calendar year to a candidate for Federal office required to file
reports of contributions and expenditures, sources of receipts and
recipients of disbursements.
Categories of records in the system:
Names of contributors, City, State and zip code, occupation,
employer, and contribution amount.
Authority for maintenance of the system:
2 U.S.C. 434 and 441a.
Purpose(s):
The information contained in this system of records is used to
inform the public of the amounts raised and spent by candidates for
Federal office, as well as the source from which the amounts are raised
and the recipients of the amounts spent; also to verify compliance with
the Federal Election Campaign Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None involving nonpublic information. All records in this system
are public.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic format on agency computer networks on the Internet at
the FEC's web page.
Retrievability:
Indexed by last name of contributor and by name of recipient
committee. Retrieval may be accomplished by any member of the public
using the Commission's Web site.
Safeguards:
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 and that they are only accessed by those with a need
to know and dictated by their official duties.
Retention and disposal:
Records are maintained and disposed of in accordance with FEC
records control schedules.
System manager(s) and address:
Deputy Staff Director/Chief Information Officer, Federal Election
Commission, 999 E Street, NW., Washington, DC 20463, (202/694-1250).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Deputy Staff Director/Chief Information
Officer, Federal Election Commission, 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 Deputy
Staff Director/Chief Information Officer, Federal Election Commission
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 Deputy Staff Director/Chief Information Officer, Federal Election
Commission 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:
Individual contributors, candidate and political committees.
Exemptions claimed for the system:
None.
FEC 12
System name:
Inspector General Investigative Files.
[[Page 352]]
Security classification:
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.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records 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
(e.g., a constituent request). 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
[[Page 353]]
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 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) the
agency suspects or has 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 and that
they 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 (NARA). 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.
[[Page 354]]
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.
FEC 13
System name:
Travel Records of Employees.
Security classification:
Sensitive but unclassified.
System location:
Federal Election Commission, Administration Division, 999 E Street,
NW., Washington, DC 20463.
Categories of individuals covered by the system:
All FEC employees who travel pursuant to authorized official agency
business.
Categories of records in the system:
Travel authorizations; travel advance requests; E-travel profiles,
and travel vouchers, including receipts for hotels, car rentals, meals,
phone calls, mileage reimbursement and other allowable expenses. May
include: Name, address, Social Security Number, telephone number, job
title, grade salary level, security clearance, e-mail address, and
government credit card information.
Authority for maintenance of the system:
Travel Expense Amendments Act of 1975 (Pub. L. 94-22).
Purpose(s):
To facilitate the timely reimbursement to employees for authorized
and official travel for the FEC.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
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 Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
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
(e.g., a constituent request). 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 contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. 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
[[Page 355]]
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 the General Services Administration, which has been engaged
to assist the agency in processing and administering certain functions
related to this system of records.
15. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper and electronic records.
Retrievability:
Indexed by employee name.
Safeguards:
Paper records are locked in file cabinets located in a cipher-
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 and that they are only accessed by those
with a need to know and dictated by their official duties.
Retention and disposal:
Travel records are maintained for seven years and then disposed of
in accordance with FEC records control schedules.
System manager(s) and address:
Accounting Officer, Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463, (202/694-1215).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Accounting Officer, Federal Election
Commission, 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
Accounting Officer, Federal Election Commission 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 Accounting Officer, Federal Election Commission, 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:
The subject individual; the Federal Election Commission.
Exemptions claimed for the system:
None.
FEC 14
System name:
Alternative Dispute Resolution Program.
Security classification:
Sensitive but unclassified; some material may be made public after
cases are closed.
System location:
Federal Election Commission, Alternative Dispute Resolution
Division, 999 E Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have filed complaints under the Federal Election
Campaign Act (2 U.S.C. 431 et seq.) (complainants); individuals who are
the subjects of complaints (respondents), including treasurers of
respondent political committees, and counsel; candidates filing late or
inaccurate reports, or no reports; witnesses and other individuals
providing information with respect to a compliance matter; agency
personnel, including attorneys and investigators.
Categories of records in the system:
Complaints, referrals, and responses thereto; documents generated
in the course of internally-generated investigations of reports on file
at the Commission; documents generated and received in the course of
investigations of complaints and referrals, including depositions,
interrogatories and responses thereto, other documentary evidence, and
memoranda and notes created by agency personnel with respect to
investigations. May include the name, address, telephone number, e-mail
address, employment information, political activity and financial or
tax records of the subjects.
Authority for maintenance of the system:
2 U.S.C. 437g(a)(1), (2), (4) and (5); 438(a)(7) and 438(b); 5
U.S.C. 572; 26 U.S.C. 9006 and 9038.
Purpose(s):
The Alternative Dispute Resolution (ADR) Office maintains active
files on complaints forwarded to it from Commissioners, the Reports
Analysis Division, the Audit Division, or the Office of General
Counsel, including matters stemming from audits for cause. The
Commission determines whether the case is appropriate for the ADR
program. Resolutions reached in negotiations are submitted to the
Commissioners for final approval. If a resolution is not reached in
bilateral
[[Page 356]]
negotiation, the case may proceed to mediation. Upon the closing of the
ADR matter, certain documents are placed on the public record.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. Upon the closing of the ADR matter, to place certain documents
on the public record of the agency, pursuant to guidance promulgated by
the Commission. Personal information is redacted from documents before
they are made public.
4. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
6. 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
(e.g., a constituent request). 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.
7. 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.
8. To contractors (including employees of contractors), grantees,
experts, mediators, or volunteers who have been engaged to assist the
agency 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. Recipients shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
9. 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.
10. 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.
11. To officials of labor organizations when relevant and necessary
to their duties of exclusive representation concerning personnel
policies, practices, and matters affecting work conditions.
12. 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.
13. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in both paper and electronic form and on
microfilm.
Retrievability:
By ADR case number or name of the respondent.
[[Page 357]]
Safeguards:
This system is kept in locked filing cabinets in limited access
areas under personal surveillance during working hours, and in locked
filing cabinets in locked rooms at other times. 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 and that they are only accessed by those with a need to know
and dictated by their official duties.
Retention and disposal:
Records are maintained and disposed of on accordance with FEC
records control schedules.
System manager(s) and address:
Director, Alternative Dispute Resolution Office, Federal Election
Commission, 999 E Street, NW., Washington, DC 20463, (202/219-1670).
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Director, Alternative Dispute Resolution
Office, Federal Election Commission, 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
Director, Alternative Dispute Resolution 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 Director, Alternative Dispute Resolution, Federal Election
Commission 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:
Complainants, respondents or committee treasurers, witnesses, and
the Federal Election Commission.
Exemptions claimed for the system:
With respect to open investigations, the system is exempt pursuant
to 5 U.S.C. 552a(k)(2). See 11 CFR part 1.14.
FEC 15
System name:
FEC Freedom of Information Act System.
Security classification:
Sensitive but unclassified; some material may become public under 5
U.S.C. 552.
System location:
Federal Election Commission, Office of General Counsel, General Law
and Advice Division, 999 E Street, NW., Washington, DC 20463.
Categories of individuals covered by the system:
Persons requesting information from the Commission pursuant to
provisions of the Freedom of Information Act (FOIA), 5 U.S.C. 552, and
persons who are the subjects of FOIA requests.
Categories of records in the system:
Requests, response letters, appeals, appeal determinations and
electronic tracking data.
Authority for maintenance of the system:
5 U.S.C. 552; 5 U.S.C. 301; Executive Order 13392.
Purpose(s):
To enable Commission staff to process FOIA requests and appeals;
and to prepare an annual report to the Department of Justice on the
Commission's FOIA activity.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information contained in the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. To employees of other Federal agencies when a FOIA request must
be referred to such an agency for response.
4. To appropriate Federal, foreign, State, local, tribal, or other
public authorities responsible for enforcing, investigating or
prosecuting civil or criminal violations of law or as necessary to
facilitate parallel investigations or to assist the other agency with
the investigation or prosecution of a matter within its jurisdiction.
5. To Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
6. 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
(e.g., a constituent request). 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.
7. To the National Archives and Records Administration or to the
[[Page 358]]
General Services Administration for records management inspections
conducted under 44 U.S.C. 2903 and 2904.
8. To contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. Recipients shall be required to comply with the requirements of
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
9. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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:
None.
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. Requests
received by e-mail are stored on the FEC's e-mail server.
Retrievability:
Indexed by name of requester.
Safeguards:
Paper records are maintained in locked filing cabinets in limited
access areas under personal surveillance during working hours and in
locked rooms at other times. 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 and that they are only
accessed by those with a need to know and dictated by their official
duties.
Retention and disposal:
FOIA requests are retained in accordance with General Records
Schedule 14, as approved by National Archives and Records
Administration (NARA).
System manager(s) and address:
Chief FOIA Officer, Federal Election Commission, 999 E Street, NW.,
Washington, DC 20463, (202/694-1650)
Notification procedure:
A request for notification of the existence of records may be made
in person or in writing to the Chief FOIA Officer, Federal Election
Commission, 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 Chief
FOIA Officer, Federal Election Commission 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 Chief FOIA Officer, Federal Election Commission 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:
Persons requesting information from the Commission pursuant to the
Freedom of Information Act and employees processing the requests.
Exemptions claimed for the system:
None.
FEC 16
System name:
HSPD-12: Identity Management, Personnel Security, Physical and
Logical Access Files.
Security classification:
Sensitive but unclassified.
System location:
Data covered by this system is maintained at the Federal Election
Commission, 999 E Street, NW., Washington, DC 20463.
Catgories of individuals covered by the system:
(1) Individuals who require regular, ongoing access to agency
facilities, information technology systems and networks, including
applicants for employment or contracts with the FEC, agency employees,
contractors, students, interns, volunteers, affiliates, and individuals
formerly in any of these positions. The system also includes
individuals authorized to perform or use services provided in agency
facilities (e.g., Health Unit).
(2) Individuals who have been issued HSPD-12 compliant credentials
from other Federal agencies who require access to agency facilities.
(3) Visitors and other individuals who require infrequent access to
agency facilities including services provided in agency facilities.
Categories of records in the system:
(1) Copies of Forms SF-85, SF-85P, SF-86, SF-87A and FD 258 as
supplied by individuals covered by the system.
(2) Enrollment records to be maintained in the system on
individuals applying for the Personal Identity Verification (PIV)
program and a PIV credential. May include the following data fields:
full name, former names, birth date, birth place, Social Security
Number, signature, home address, phone numbers, employment history,
residential history, education and degrees earned, applicant ID number,
digital color photograph, names of associates and references and their
contact information, citizenship, names of relatives, birthdates and
places of relatives, citizenship of relatives, names of relatives who
work for the Federal government, criminal history, mental health
history, drug use, financial information, fingerprints, biometric
template (two fingerprints), organization/office of assignment,
employee affiliation, work e-mail address, work telephone number(s),
office address, copies of identity source documents, employee status,
military status, summary report of investigation, results of
suitability decisions, Government agency code, requests for appeal and
PIV issuance location. Additional records include copies of letters of
transmittal between the FEC and the Office of Personnel Management
[[Page 359]]
concerning the individual's background investigation; copies of
certification clearance status and briefing and/or copies of debriefing
certificates signed by the individual, as appropriate and copies of PIV
application forms as supplied by individuals covered by the system.
(3) Records maintained on individuals issued credentials by the
agency. May include the following data fields: hair color; eye color,
height; weight; agency affiliation (i.e., employee, contractor,
volunteer, etc.); telephone number; PIV card issuance and expiration
dates, personal identification number (PIN); Cardholder Unique
Identifier (CHUID); card management keys; results of background
investigation; PIV request form; PIV registrar approval signature; PIV
card serial number; digital certificate(s) serial number; copies of I-9
documents used to verify identification or information derived from
those documents such as document title, document issuing authority,
document number, document expiration date, or document other
information; computer system user name; user access and permission
rights, authentication certificates; and digital signature information.
(4) Individuals enrolled in the PIV managed service will be issued
a PIV card. The PIV card contains the following mandatory visual
personally identifiable information: name, photograph, employee
affiliation, organizational affiliation, PIV card expiration date,
agency card serial number, and color-coding for employee affiliation.
Additional information may include cardholder physical characteristics
(height, weight, and eye and hair color). The card also contains an
integrated circuit chip which is encoded with the following mandatory
data elements which comprise the standard data model for PIV logical
credentials: PIV card PIN, cardholder unique identifier (CHUID), PIV
authentication digital certificate, and two fingerprint biometric
templates. The PIV data model may also include the following logical
credentials: digital certificate for digital signature, digital
certificate for key management, card authentication keys, and card
management system keys. All PIV logical credentials can only be read by
machine.
(5) Records maintained on visitors and other individuals who
require infrequent access to agency facilities. May include the
following data fields: Name, signature, image (photograph), Social
Security Number (or one of the following: driver's license number,
``green card'' number, visa number, or other ID number), images of
relevant ID document(s), U.S. Citizenship (yes or no/logical data
field), date of entry, time of entry, location of entry, time of exit,
location of exit, purpose of entry, agency point of contact, company
name, security access category, and access status.
Authority for maintenance of the system:
5 U.S.C. 301; Executive Order 10450; Homeland Security Presidential
Directive 12 (HSPD-12), Policy for a Common Identification Standard for
Federal Employees and Contractors, August 27, 2004; the Federal
Property and Administrative Services Act of 1949, as amended; and
Presidential Memorandum on Upgrading Security at Federal Facilities,
June 28, 1995.
Purpose(s):
The primary purposes of the system are:
(1) To document and support decisions regarding:
(a) Clearance for access to sensitive but unclassified information;
(b) Suitability, eligibility, and fitness for service of applicants
for Federal employment and contract positions, including students,
interns, or volunteers to the extent their duties require access to
Federal facilities and/or information technology systems and their
occupants and users;
(2) To ensure the safety and security of agency facilities and/or
information technology systems, and their occupants and users;
(3) To verify that all persons entering agency facilities and/or
agency information technology systems with or without smart cards are
authorized to enter them;
(4) To provide for interoperability and trust in allowing physical
access to individuals entering Federal facilities; and
(5) To allow logical access to Federal information systems,
networks, and resources on a government-wide basis.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and the 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
records by the Department of Justice is deemed, after careful review,
by the Federal Election Commission to be relevant and necessary to the
litigation, provided, however, that in each case the agency 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 Federal
Election Commission determines that, after careful review, use of such
records is relevant and necessary to the litigation, provided, however,
that the agency determines that disclosure of the records is compatible
with the purpose for which the records were collected.
3. Except as noted on Forms SF-85, SF 85-P and SF-86, to
appropriate Federal, foreign, State, local, tribal, or other public
authorities responsible for enforcing, investigating or prosecuting
civil or criminal violations of law or as necessary to facilitate
parallel investigations or to assist the other agency with the
investigation or prosecution of a matter within its jurisdiction.
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
[[Page 360]]
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 Federal, State, and local law enforcement agencies and
private security contractors, as appropriate, to enable them to protect
the safety of Commission employees and visitors and the security of the
Commission's workplace; and to assist investigations or prosecutions
with respect to activities that affect such safety and security or
activities that disrupt the operation of Commission facilities.
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
(e.g., a constituent request). 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 contractors (including employees of contractors), grantees,
experts, or volunteers who have been engaged to assist the agency 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. 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 an official of another Federal agency to provide information
needed in the performance of official duties related to reconciling or
reconstructing data files, in support of the functions for which
records were collected and maintained.
13. To an approved shared service provider in fulfillment of the
terms of the HSPD-12 shared services agreement. Note: Although the
shared service provider will manage the system that produces the
identity credentials used by the agency, the shared service provider
will not have access to the content of the data provided by the agency
except to the extent that is required to provide for its integrity,
reliability and security.
14. To other Federal agencies providing enrollment services to the
shared service provider when the shared service provider has entered
into agreements with these agencies to provide enrollment services to
their employees, contractors, etc. but not identification credentials,
through third party enrollment brokers serving as links in the secure
chain of custody for the HSPD-12 process.
15. To appropriate agencies, entities, and persons when (1) the
agency suspects or has 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.
16. To designated agency personnel for controlled access to
specific records for the purposes of performing authorized audit or
authorized oversight and administrative functions. All access is
controlled systematically through authentication using PIV credentials
based on access and authorization rules for specific audit and
administrative functions.
Disclosure to consumer reporting agencies:
Pursuant to 5 U.S.C. 552a(b)(12), records can be disclosed to
consumer reporting agencies as they are defined in the Fair Credit
Reporting Act.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on paper and electronically in a secure
location.
Retrievability:
Records are retrievable by name of employee or covered individual,
Cardholder Unique Identification Number, Applicant ID, Social Security
Number, and/or by any other unique individual identifier.
Safeguards:
Access to records covered by the system will be permitted only to
authorized personnel in accordance with requirements found in agency
Privacy Act regulations. Persons given roles in the PIV process must
complete training specific to their roles to ensure they are
knowledgeable about how to protect individually identifiable
information regardless of how and where it is stored. Paper records
will be maintained in locked filing cabinets in limited access areas
within the Office of Human Resources and Labor Relations under personal
surveillance during working hours and in locked rooms at other times.
Access to the records will be limited to those employees who have a
need for them in the performance of their official duties. All agency
electronic records will be 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 and that they are only accessed by those with a need
to know and dictated by their official duties. Should the shared
service provider be another Federal agency, records maintained by that
agency may also be subject to the safeguards outlined in that agency's
systems of records notice.
[[Page 361]]
Retention and disposal:
(1) Paper personnel security records relating to individuals
covered by the system are generally retained and disposed in accordance
with General Records Schedule 18, Item No. 22, approved by the National
Archives and Records Administration (NARA).
(2) In accordance with HSPD-12, PIV cards are deactivated within 18
hours of cardholder separation, loss of card, or expiration. The
information on PIV cards is maintained in accordance with General
Records Schedule 11, Item No. 4. PIV cards are destroyed by cross-cut
shredding no later than 90 days after deactivation.
(3) Building security records relating to persons covered by this
system are retained in accordance with General Records Schedule 18,
Item No. 17. Unless retained for specific ongoing security
investigations:
(a) Records relating to individuals other than employees are
destroyed two years after ID security card expiration date;
(b) Records relating to date and time of entry and exit of
employees are destroyed two years after date of entry and exit; and
(c) All other records relating to employees are destroyed two years
after ID security card expiration date.
System manager(s) and address:
(1) For personnel security: Personnel Security Manager, Federal
Election Commission, 999 E Street, NW., Washington, DC 20463.
(2) For physical security: Administrative Services Manager, Federal
Election Commission, 999 E Street, NW., Washington, DC 20463.
(3) For logical security: Information Systems Security Officer,
Federal Election Commission, 999 E Street, NW., Washington, DC 20463.
Notification procedures:
A request for notification of the existence of personnel security
records may be made in person or in writing and addressed to the FEC
personnel security manager identified in (1), above. A request for
notification of the existence of physical security records may be made
in person or in writing and addressed to the FEC physical security
manager identified in (2), above. A request for notification of the
existence of logical security records may be made in person or in
writing and addressed to the FEC logical security manager identified in
(3), above. 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 personnel security
record pertaining to him or her may make a request in person or in
writing to the FEC personnel security manager identified in (1), above
at the following address: 999 E Street, NW., Washington, DC 20463. An
individual interested in gaining access to a physical security record
pertaining to him or her may make a request in person or in writing to
the FEC physical security manager identified in (2), above at the
following address: 999 E Street, NW., Washington, DC 20463. An
individual interested in gaining access to a logical security record
pertaining to him or her may make a request in person or in writing to
the FEC logical security manager identified in (3), above 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 personnel security records or the denial of access to such
information should notify the FEC personnel security manager identified
in (1), above at the following address: 999 E Street, NW., Washington,
DC 20463. Individuals interested in contesting the information
contained in their physical security records or the denial of access to
such information should notify the FEC physical security manager
identified in (2), above at the following address: 999 E Street, NW.,
Washington, DC 20463. Individuals interested in contesting the
information contained in their logical security records or the denial
of access to such information should notify the FEC logical security
manager identified in (3), above at the following address: 999 E
Street, NW., Washington, DC 20463. For additional information regarding
contesting initial denials for access to or amendments of Privacy Act
records, refer to the Commission's regulations at 11 CFR parts 1.7-1.9,
41 FR 43064 (1976).
Record source categories:
Information is obtained from a variety of sources including the
employee, contractor, or applicant via the use of the SF-85, SF-85P, or
SF-86 and personal interviews; employers' and former employers'
records; other Federal agencies supplying data on covered individuals;
FBI criminal history records and other databases; financial
institutions and credit reports; medical records and health care
providers; and educational institutions. Information is also obtained
from individuals covered by the system, supervisors, and designated
approving officials, as well as other Federal agencies issuing HSPD-12
compliant cards, and HSPD-12 compliant cards carried by individuals
seeking access to Commission and other Federal facilities occupied by
agency employees.
Exemptions claimed for the system:
None.
[FR Doc. E7-25109 Filed 12-31-07; 8:45 am]
BILLING CODE 6715-01-P