[Federal Register Volume 62, Number 240 (Monday, December 15, 1997)]
[Notices]
[Pages 65694-65704]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-32592]
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FEDERAL ELECTION COMMISSION
[Notice 1997-19]
Privacy Act; Republication and Notice of New Routine Uses for
Disclosure
AGENCY: Federal Election Commission.
ACTION: Republication and Amendment of System of Records to include new
routine uses for disclosure and other administrative changes.
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SUMMARY: In accordance with the Privacy Act (5 U.S.C. 552a(e)(11)), the
Federal Election Commission is issuing notice of our intent to amend
the Systems of Records entitled Personnel Records (FEC 5) and Payroll
Records (FEC 8) to include additional routine uses. In addition, other
systems have been revised as a result of a reevaluation of the manner
in which records are maintained by the Commission. We invite public
comment on this publication.
DATES: The Commission will announce an effective date once the comment
period expires.
ADDRESSES: Interested individuals may comment on this publication by
writing to: Ms. Tina VanBrakle, Privacy Act Officer, 999 E Street,
N.W., Washington, D.C. 20463, by close of business on January 5, 1998.
All comments received will be available for public inspection at that
address.
SUPPLEMENTARY INFORMATION: The primary purpose for this republication
is to add new routine uses to two Systems of Records maintained by the
FEC. Other minor administrative changes have also been made.
I. Discussion of Proposed Additions to Routine Use.
Pursuant to Pub. L. 104-193, the Personnel Responsibility and Work
Opportunity Reconciliation Act of 1996, the Federal Election Commission
will disclose data from its Personnel Records (FEC 5) and Payroll (FEC
8) Systems of Records to the Office of Child Support Enforcement,
Administration for Children and Families, Department of Health and
Human Services for use in its Federal Parent Locator System (FPLS) and
Federal Tax Offset System, DHHS/OCSE No. 09-90-0074. Information on
this system was last published at 61 FR 38754, July 25, 1996.
FPLS is a computerized network through which States may request
location information from Federal and State agencies to find non-
custodial parents and/or their employers for purposes of establishing
paternity and securing support.
Effective October 1, 1997, the FPLS was enlarged to include the
National Directory of New Hires, a database containing information on
employees commencing employment, quarterly wage data on private and
public sector employees, and information on unemployment compensation
benefits. Effective October 1, 1998, the FPLS will be expanded to
include a Federal Case Registry. The Federal Case Registry will contain
abstracts on all participants involved in child support enforcement
cases. When the Federal Case Registry is instituted, its files will be
matched on an ongoing basis against the files in the National Directory
of New Hires to determine if an employee is a participant in a child
support case anywhere in the country. If the FPLS identifies a person
as being a participant in a State child support case, that State will
be notified of the participant's current employer. State requests to
the FPLS for location information will also continue to be processed
after October 1, 1998.
The data to be disclosed by the Federal Election Commission to the
FPLS include: employee name, social security number, address, employer
name, employer address and federal employer identification number.
In addition, names and social security numbers submitted by the
Federal Election Commission to the FPLS will be disclosed by the Office
of Child Support Enforcement to the Social Security Administration for
verification to ensure that the social security number provided is
correct.
The data disclosed by the Federal Election Commission to the FPLS
will also be disclosed by the Office of Child Support Enforcement to
the Secretary of the Treasury for use in verifying claims for the
advance payment of the earned income tax credit or to verify a claim of
employment on a tax return.
II. Compatibility of Proposed Routine Uses.
Use of the data collected is consistent with the Personal
Responsibility and Work Opportunity Reconciliation Act (PRWORA) of 1996
which mandates the establishment of new resources at the federal level
to assist state child support enforcement agencies in establishing
paternity; establishing, setting the amount of, or modifying child
support obligations; and enforcing child support obligations.
We are proposing these routine uses in accordance with the Privacy
Act (5 U.S.C. 552a(b)(3)). The Privacy Act permits the disclosure of
information about individuals without their consent for a routine use
where the information will be used for a purpose which is compatible
with the purpose for which the information was originally collected.
The Office of Management and Budget has indicated that a ``compatible''
use is a use which is necessary and proper. See OMB Guidelines, 51 FR
18982, 18985 (1986). Since the proposed uses of the data are required
by Pub. L. 104-193, they are clearly necessary and proper uses, and
therefore ``compatible'' uses which meet Privacy Act requirements.
III. Effect of the Proposed Changes on Individuals.
We will disclose information under these proposed routine uses only
as required by Pub. L. 104-193 and as permitted by the Privacy Act.
Accordingly, the Proposed Notice of New and/or Revised Systems of
Records, dated October 27, 1994, has been revised and reprinted in its
entirety as follows:
Dated: December 9, 1997.
John Warren McGarry,
Chairman.
Table of Contents
FEC 1 Requests for Advisory Opinions.
FEC 2 Audits and Investigations.
FEC 3 Compliance Actions.
FEC 4 Mailings Lists.
FEC 5 Personnel Records.
FEC 6 Candidate Reports and Designations.
[[Page 65695]]
FEC 7 Certification for Primary Matching Funds and General
Elections 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 1
SYSTEMS NAME:
Requests for advisory opinions.
SYSTEMS LOCATION:
Federal Election Commission. Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have submitted a letter to the FEC that qualifies
as an advisory opinion request under FEC regulations.
CATEGORIES OF RECORDS IN THE SYSTEM:
Letters requesting advisory opinions and responses thereto from the
FEC.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 437d(a)(7) and 437f.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Documents maintained for historical purposes and for use as
precedent in subsequent requests for advisory opinions. Commissioners
and staff use this system to respond to requests for opinions. These
documents are available to the public for information and so that
interested parties may submit comments to the Commission.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OR RECORDS IN THE SYSTEM:
STORAGE:
Paper records and/or microfilm, on-line disk storage, and
electronic data processing system.
RETRIEVABILITY:
Indexed and retrievable by name of requester, date of opinion,
request number, and, as applicable, by microfilm roll and frame number.
SAFEGUARDS:
Originals are kept in locked filing cabinets in limited access
areas under personal surveillance during working hours and in locked
rooms at other times. Copies are freely available.
RETENTION AND DISPOSAL:
Retained for at least four years from date of receipt and subject
to disposal thereafter. Current disposal process generally results in
retention of records until seven years after receipt.
SYSTEM MANAGER AND ADDRESS:
The General Counsel, Federal Election Commission, Washington, D.C.
20463, (202/219-3690).
NOTIFICAITON PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Individual requester, persons submitting comments and the Federal
Election Commission.
FEC 2
SYSTEM NAME:
Audits and investigations.
SYSTEM LOCATION:
Federal Election Commission. Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Candidates required to file statements and reports under the
Federal Election Campaign Act.
CATEGORIES OF RECORDS IN THE SYSTEM:
Audit and investigation data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 437d(a)(10), 437g(a)(2), (5) and 438(a)(8), (9); 26 U.S.C.
9007, 9038.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
The General Counsel, Assistant Staff Directors, Commissioners, and
their staffs may use audit and investigation data for informal
hearings, administrative compliance, civil litigation, voluntary
compliance or to refer matters to appropriate law enforcement
authorities.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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
[[Page 65696]]
the records that is compatible with the purpose for which the records
were collected.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
Indexed by name.
SAFEGUARDS:
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.
RETENTION AND DISPOSAL:
Indefinite.
SYSTEMS MANAGER AND ADDRESS:
Assistant Staff Director for Audit, Federal Election Commission,
Washington, D.C. 20463 (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
With respect to open audits, the foregoing system is exempt
pursuant to the provisions of 5 U.S.C. 552a(k)(2). See 11 CFR 1.14.
FEC 3
SYSTEM NAME:
Compliance actions.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have filed complaints (complainants) and persons
complained about (respondents), candidates filing late reports, or no
reports, and cases internally generated through review and audit of
reports and statements filed by candidates.
CATEGORIES OF RECORDS IN THE SYSTEM:
Complaints, referrals, and responses thereto; internal
investigations of reports on file at the Commission, depositions,
interrogatories and responses thereto.
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.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
While any case is active, these documents are maintained as the
agency's working or investigative file. 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
recommendation. Compliance actions are assigned by the Associate
General Counsel to an attorney and/or to appropriate staff for
investigation. Administrative action and civil litigation are handled
by the General Counsel's office. Evidence of knowing and willful
violations of the law may be referred to the Attorney General.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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 employees 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records. Closed compliance cases are duplicated, stored on
microfilm and are available to the public, minus information deemed to
be exempted under the Freedom of Information Act.
RETRIEVABILITY:
This system is indexed and retrievable by name of complainant or
respondent by compliance action number or by mocrofilm roll and frame
number, as appropriate.
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.
RETENTION AND DISPOSAL:
Indefinite.
[[Page 65697]]
SYSTEM MANAGER AND ADDRESS:
The General Counsel, Federal Election Commission, Washington, D.C.
20463, (202/219-3690).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Complainants, respondents, third parties who have been requested or
subpoenaed, to produce relevant information, and the Federal Election
Commission.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
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 4
SYSTEM NAME:
Mailing Lists.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
(a) Individuals and institutions who have requested a subscription
to the Record.
(b) Individuals who have requested FEC publications.
(c) State and local election officials interested in keeping
informed of developments.
(d) Reporters who request releases; media added by the Press
Office.
CATEGORIES OF RECORDS IN THE SYSTEM:
(a) Lists of names, addresses, principal areas of interest.
(b) List of names, addresses, and subjects of interest to the
requester.
(c) List of names, addresses, duties and jurisdictions.
(d) Computer listings.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2. U.S.C. 438(a) for all categories.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
(a) Distribution of monthly newsletter, the Record, to subscribers.
(b) To forward new publications and other informational materials
to persons who have expressed an interest in the subject matter.
(c) To distribute publications and other materials of interest to
those who administer the election law of the states.
(d) To mail press releases.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Computerized for all categories.
RETRIEVABILITY:
(a) Name or identification numbers.
(b) Name.
(c) Name, title, jurisdiction or region of the country.
(d) Name of individual or name of media.
SAFEGUARDS:
Access code with password for all categories.
RETENTION AND DISPOSAL:
(a) Purged every two years or upon request of subscriber.
(b) Purged every two years.
(c) Indefinite.
(d) Indefinite.
SYSTEM MANAGER AND ADDRESS:
The Assistant Staff Director for Information, Federal Election
Commission, Washington, D.C. 20463, (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
(a) Individuals and organizations who request a subscription to the
Record.
(b) Individuals to whom the Information Division has mailed
publications.
(c) Officials requiring up-to-date information on elections
administration.
(d) Oral and written requests to be placed on list; media
directories.
FEC 5
SYSTEM NAME:
Personnel records.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Applicants for employment, current employees (including unpaid
interns), and former employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
(a) SF-171's/resumes.
(b) SF-7 Record Cards (current and former employees).
(c) Official Personnel Folder (OPF).
(d) Employee Performance Folders (EPF).
(e) Individual Employee Master Files.
(f) Discipline/Adverse Action Files.
[[Page 65698]]
(g) Outside Employment Files.
(h) Employee Medical File.
(i) Grievance Files.
(j) Appeal Files.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 437c and 5 CFR 293.
ROUTINE USES OF RECORDS IN THE SYSTEMS, INCLUDING CATEGORIES OF USERS
AND THE PURPOSES OF SUCH USES:
(a) SF-171's/OF-16's/Resumes--used by the Personnel staff and all
levels of management to evaluate qualifications and make personnel
selections.
(b) SF-7 Record Cards--used by Personnel staff to verify salary,
grade and service of current and former employees for use by
prospective employers, credit bureaus, etc.
(c) OPF--used by Personnel staff to process and record personnel
actions, and by Personnel staff and line managers to evaluate skills,
ability and qualifications for selection, promotion, and other
personnel actions.
(d) EPF--used by Personnel staff to record performance-related
information such as performance appraisals, and by line managers as
basis for personnel actions.
(e) Individual Employee Master File--computer-stored record of all
personnel actions and other pertinent employee data; used by Personnel
staff to process and record personnel actions and by the authorized
Data Systems staff and Payroll and Accounting staff to update and
revise files, programs and produce required statistical reports.
(f) Discipline and Adverse Actions--used by Personnel staff and
line managers in considering decisions on such actions, and for
appeals, grievances and hearings.
(g) Outside Employment Files--used by Personnel and legal staff to
consider requests for outside employment and to verify approval/
disapproval.
(h) Employee Medical Files--used by Personnel staff and line
managers to record employee medical information pertinent to their
performance/attendance/conduct, and in reviewing the impact of medical
conditions on their employment.
(i) Grievance Files--used by Personnel staff to record the
disposition of employee grievances.
(j) Appeals Files--used by Personnel staff to record the
disposition of employee appeals.
In addition to the above, in the event that a system of records
maintained by this agency to carry out its functions indicated 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, the relevant records in the system of records may be
referred, as a routine use, to the appropriate agency, whether Federal,
State, local or foreign, charged with the responsibility of
investigation or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
A record from the system of records may be disclosed as ``routine
use'' to a Federal, State or local agency maintaining civil, criminal
or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain
information relevant to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract or the issuance of a license, grant or other
benefit.
A record from this system of records may be disclosed 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.
A record from this system of records may be disclosed to an
authorized complaints examiner, equal employment opportunity
investigator, administrative law judge, arbitrator or other duly
authorized official engaged in investigation or settlement of a
grievance, complaint or appeal filed by an employee. A record from this
system of records may be disclosed to the U.S. Office of Personnel
Management in accordance with the agency's responsibility for
evaluation and oversight of Federal personnel management.
A record from this system of records may be disclosed to officers
and employees of a Federal agency for purposes of audit.
A record from this system of records may also be disclosed to the:
(1) Office of Child Support Enforcement, Administration for Children
and Families, Department of Health and Human Services Federal Parent
Locator System (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; (2) 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; and (3) 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.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, use of
such records is relevant and necessary to the litigation, provided,
however, that the agency determines that disclosure of the records is
[[Page 65699]]
compatible with the purpose for which the records were collected.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
(a) Hard copy record kept in Personnel Office.
(b) Hard copy record kept in Personnel Office.
(c) Hard copy record kept in Personnel Office.
(d) Hard copy record kept in Personnel Office.
(e) Computer disk packs within central processing unit.
(f) Hard copy record kept in Personnel Office.
(g) Hard copy record kept in Personnel Office.
(h) Hard copy record kept in Personnel Office.
(i) Hard copy record kept in Personnel Office.
(j) Hard copy record kept in Personnel Office.
RETRIEVABILITY:
(a) Retrieval by hand of alphabetical files.
(b) Retrieval by hand of alphabetical files.
(c) Retrieval by hand of alphabetical files.
(d) Retrieval by hand of alphabetical files.
(e) On line access using SSN.
(f) Retrieval by hand of alphabetical files.
(g) Retrieval by hand of alphabetical files.
(h) Retrieval by hand of alphabetical files.
(i) Retrieval by hand of alphabetical files.
(j) Retrieval by hand of alphabetical files.
SAFEGUARDS:
(a) Locked file cabinet in locked office.
(b) Locked Office.
(c) Locked file cabinet in locked office.
(d) Locked file cabinet in locked office.
(e) Overall password for group number, individual password for each
program; knowledge of password limited to appropriate personnel.
(f) Locked file cabinet in locked office.
(g) Locked file cabinet in locked office.
(h) Locked file cabinet in locked office.
(i) Locked file cabinet in locked office.
(j) Locked file cabinet in locked office.
RETENTION AND DISPOSAL:
(a) 1 year; shredded.
(b) Indefinite.
(c) Indefinite; transferred with employee to succeeding agency or
retired to Federal Records Center upon retirement or termination/
resignation from Federal service or death.
(d) Indefinite; shredded within 30 days of employee departure
unless part of ongoing adjudicatory action.
(e) Indefinite.
(f) Indefinite.
(g) 2 years; shredded.
(h) Indefinite; transferred with employee to succeeding agency or
retired to Federal Records Center upon retirement or termination/
resignation from Federal service or death.
(i) Indefinite.
(j) Indefinite.
SYSTEM MANAGER AND ADDRESS:
The Director of Personnel, Federal Election Commission, Washington,
D.C. 20463, (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Personnel applications, resumes, employment forms, records of
personnel action.
FEC 6
SYSTEM NAME:
Candidate reports and designations.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Candidates for Federal office required to file reports of
contributions and expenditures and designations of campaign
depositories and authorized 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.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 432(e), 434, and 437b(a)(1).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
This system may be used by any person for information purposes.
However, any information copied from such reports shall not be sold or
utilized by any person for the purposes of soliciting contributions or
for any commercial purpose.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
[[Page 65700]]
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and/or microfilm and on-line disk storage electronic
data processing system.
RETRIEVABILITY:
Retrievable by candidate's name, or by State in which candidate
seeks election; candidate identification number or last name for
computer storage.
SAFEGUARDS:
Locked filing cabinets.
RETENTION AND DISPOSAL:
Reports are preserved for a 10-year period except that reports
relating solely to candidates for the House of Representatives are
preserved for 5 years from the date of receipt. Microfilm is preserved
indefinitely.
SYSTEM MANAGER AND ADDRESS:
The Assistant Staff Director for Disclosure, Federal Election
Commission, Washington, D.C. 20463, (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Reports filed with the FEC.
FEC 7
SYSTEM NAME:
Certification for primary matching funds and general election
campaign funds.
SYSTEMS LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Candidates for nomination or election to the Office of President of
the United States.
CATEGORIES OF RECORDS IN THE SYSTEM:
Certification forms and supporting data requesting matching funds
or election funds.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
26 U.S.C. 9003, 9006; 26 U.S.C. 9033, 9036, 9037.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Certification of eligibility for funds by presidential candidates.
These files are available for public inspection.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records.
RETRIEVABILITY:
Indexed by name of candidate.
SAFEGUARDS:
Locked filing cabinets.
RETENTION AND DISPOSAL:
Indefinite.
SYSTEMS MANAGER AND ADDRESS:
Assistant Staff Director for Audit, Federal Election Commission,
Washington, D.C. 20463 (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORDS ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Certification reports filed with the Commission.
FEC 8
STSTEM NAME:
Payroll records.
SYSTEM LOCATION:
Federal Election Commission, Washington, DC 20463.
CATEGORIES OF RECORDS IN THE SYSTEM:
Varied payroll records, including, among other documents, time and
attendance cards; payment vouchers; comprehensive listing of employees;
health benefit records; requests for deductions; tax forms; W-2 forms;
overtime requests; leave data; and retirement records. Records are used
by Commission employees to maintain adequate payroll information for
Commission employees, and otherwise by Commission employees who have a
need for the record in the performance of their duties.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
31 U.S.C., generally. Also, 2 U.S.C. 437c(f).
ROUTINE USES FOR RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In the event that a system of records maintained by this agency to
carry out its functions indicated a violation or potential violation of
law, whether civil,
[[Page 65701]]
criminal or regulatory in nature, and whether arising by general
statute or particular program statute, or by regulation, rule or order
issued pursuant thereto, the relevant records in the system of records
may be referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcement
or implementation of the statute or rule, regulation or order issued
pursuant thereto.
A record from this system of records may be disclosed as a
``routine use'' to a Federal, State, or local agency maintaining civil,
criminal or other relevant enforcement information, such as current
licenses, if necessary to obtain information relevant to an agency
decision concerning the hiring or retention of an employee, the
issuance of a security clearance, the letting of a contract or the
issuance of a license, grant or other benefit. A record from this
system of records may be disclosed to a Federal agency, in response to
its request, in connection with the hiring 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.
A record from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner, equal
employment opportunity investigator, arbitrator or other duly
authorized official engaged in investigation or settlement of a
grievance, complaint, or appeal filed by an employee. A record from
this system of records may be disclosed to the Office of Personnel
Management in accordance with the agency's responsibility for
evaluation and oversight of Federal personnel management.
A record from this system of records may be disclosed to officers
and employees of a Federal agency for purposes of audit.
The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with the
review of private relief legislation as set forth in OMB Circular No.
A-19 at any stage of the legislative coordination and clearance
processes as set forth in that circular.
Records also are disclosed to GAO for audits; to the Internal
Revenue Service for investigation; and to private attorneys, pursuant
to a power of attorney.
A copy of an employee's Department of Treasury form W-2, wage and
tax statement, also is disclosed to the State and city, or other local
jurisdiction which is authorized to tax the employee's compensation.
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 Assistant Director for
Administration; Federal Election Commission, Washington, D.C. 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.
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 the city in response to a
written request from an appropriate city official to the Assistant
Staff Director for Administration.
In the absence of a withholding agreement, the Social Security
number will be furnished only to a taxing jurisdiction which 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.
Records are also disclosed to the: (1) Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services Federal Parent Locator System (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; (2) 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;
and (3) 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.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Computer disk packs within central processing unit.
RETRIEVABILITY:
On line access program utilizing employee social security number.
[[Page 65702]]
SAFEGUARDS:
Overall password for group number; individual password for each
program; knowledge of password limited to appropriate personnel.
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 AND ADDRESS:
The Assistant Staff Director for Administration, Federal Election
Commission, Washington, D.C. 20463, (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
The subject individual; the Federal Election Commission.
FEC 9
SYSTEM NAME:
Litigation Actions.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have brought judicial action against the Commission
and individuals 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.
CATEGORIES OF RECORDS IN THE SYSTEM:
All papers incident to a law suit, including discovery materials,
motions, briefs and orders.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 437g(a)(6), 437g(a)(8), 437g(a)(11), and 437h.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS, AND THE PURPOSES OF SUCH USES:
Maintained for historical purposes and for consultation as
precedent in subsequent judicial or administrative actions. Civil
litigation is handled by the General Counsel's office. Access is
limited to FEC staff on a restricted basis.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper records and microfilm.
RETRIEVABILITY:
System indexed by name of party litigant and, as applicable, by
microfilm roll and frame number.
SAFEGUARDS:
This system is kept in locked filing cabinets or in limited access
areas under personal surveillance during working hours, and in locked
rooms at other times.
RETENTION AND DISPOSAL:
Indefinite.
SYSTEM MANAGER AND ADDRESS:
The General Counsel, Federal Election Commission, Washington, D.C.
20463, (202/219-3690).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Individual party litigants and counsel, court personnel and the
Federal Election Commission.
FEC 10
SYSTEM NAME:
Letter file, Public Communications.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have written to the FEC requesting answers to
specific questions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Inquiries by individuals concerning the Federal Election Campaign
Act of 1971, as amended.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 438(a).
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Response to inquiries.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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 individual 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
[[Page 65703]]
(d) The United States, where the agency determines that litigation
is likely to affect the agency or any of its components, is a party to
litigation or has an interest in such litigation, and the use of such
reports by the Department of Justice is deemed by the 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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper files.
RETRIEVABILITY:
Name of individual.
RETENTION AND DISPOSAL:
Retained in-house for one year; shipped afterward to general
storage.
SYSTEM MANAGER AND ADDRESS:
The Assistant Staff Director for Information, Federal Election
Commission, Washington, D.C. 20463, (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Individuals who request information in writing.
FED 11
SYSTEM NAME:
Contributor Name Index System.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 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 Federal candidate or their supporting political
committee.
CATEGORIES OF RECORDS IN THE SYSTEM:
On-line disk storage electronic data processing index of names.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
2 U.S.C. 441a.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Commission staff and the public may use this system to ascertain
whether and to what extent named individuals have made contributions to
Federal candidates and political committees.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed 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.
ROUTINE USE OF AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
On-line disk storage electronic data.
RETRIEVABILITY:
Indexed by last name of contributor.
SAFEGUARDS:
Access to data is firewall protected. Retrieval data is copy of
official data base retained on secure Commission system.
RETENTION AND DISPOSAL:
Indefinite.
SYSTEM MANAGER AND ADDRESS:
The Assistant Staff Director for Data Systems Development Division,
Federal Election Commission, Washington, D.C. 20463, (202/219-3440).
NOTIFICATION PROCEDURES:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
RECORD ACCESS PROCEDURES:
Same as above.
CONTESTING RECORD PROCEDURES:
Same as above.
RECORD SOURCE CATEGORIES:
Individual contributors.
[[Page 65704]]
FEC 12
SYSTEM NAME:
Inspector General Investigative Files.
SYSTEM LOCATION:
Federal Election Commission, Washington, D.C. 20463.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are the subjects of complaints.
CATEGORIES OF RECORDS IN THE SYSTEM:
Complaints, referrals from other agencies, investigative notes,
interviews, reports, interrogatories and responses thereto.
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. 95-402, 5 U.S.C. app.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Material is maintained in the Office of Inspector General's (OIG)
investigative files. Access to files is restricted to OIG Staff and
then on a need to know basis. Criminal violations are referred to the
Justice Department.
ROUTINE USE FOR DISCLOSURE TO THE DEPARTMENT OF JUSTICE FOR USE IN
LITIGATION:
It shall be a routine use of the records in this system of records
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
reports by the Department of Justice is deemed by the Inspector General
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.
ROUTINE USE FOR AGENCY DISCLOSURE IN LITIGATION:
It shall be a routine use of records maintained by this agency 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, on a case-by-case basis, 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.
SYSTEMS EXEMPTED:
System exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2).
See 11 CFR Part 1.14.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Paper and computer records.
RETRIEVABILITY:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
safeguards:
The paper records and computer disks are kept in locked cabinets in
limited access areas under personal surveillance during working hours
and in locked cabinets in locked room at all other times.
retention and disposal:
Indefinite.
system manager and address:
The Inspector General, Federal Election Commission, Washington,
D.C. 20463, (202/219-4267).
notification procedures:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR
43064 (1976).
record access procedures:
Same as above.
contesting record procedures:
Same as above.
record source categories:
Complaints, subjects, third parties who have been requested to
produce relevant information, referring agencies.
systems exempted from certain provisions of the act:
With respect to investigations, the system is exempt pursuant to 5
U.S.C. 552a(k)(2).
[FR Doc. 97-32592 Filed 12-12-97; 8:45 am]
BILLING CODE 6715-01-M