<?xml version="1.0" encoding="UTF-8"?>
<pai>
<agency toc="yes">
<name>Election Assistance Commission</name>
<abbrev>

EAC
</abbrev>


<routineUses id="routine" toc="yes">
<xhtmlContent>
<p><b>NOTICE OF SYSTEMS OF RECORDS; PRELIMINARY STATEMENT GOVERNMENT-WIDE SYSTEMS OF RECORDS:</b>

</p><p>In addition to the internal systems of records described below, the U.S. Election Assistance
Commission (EAC) also maintains certain records covered by existing government-wide systems of records.
Government-wide systems of records are established by federal agencies that are responsible for government-
wide functions. Examples of agencies with government-wide functions are the Office of Personnel Management,
the Office of Government Ethics, and the Department of Labor. Government-wide systems of records are
described in notices published by the establishing agencies. While the establishing agency creates and
administers the system, the actual records are physically maintained by agencies throughout the government.
Requests for EAC records covered by a government-wide system of records should be directed to EAC pursuant
to
EAC's Privacy Act regulations at 11 CFR part 9410. In accordance with Office of Management and Budget (OMB)
Circular No. A-130, EAC is not creating or publishing notices for the government-wide functions described in
the following systems of records notices:

</p><p>(1) DOL/GOVT-1: Office of Worker's Compensation Programs, Federal Employees' Compensation Act File,
67
FR 16815 (April 8, 2002);

</p><p>(2) DOT/ALL-8: Employee Transportation Facilitation, 65 FR 19475 (April 11, 2000);

</p><p>(3) EEOC/GOVT-1: Equal Employment Opportunity in the Federal Government Complaint and Appeal Records,
67 FR 49338 (July 30, 2002);

</p><p>(4) EPA-GOVT-2: Federal Docket Management System (FDMS), 70 FR 15086 (March 24, 2005);

</p><p>(5) GSA/GOVT-2: Employment Under Commercial Activities Contracts, 48 FR 6176 (February 10, 1983);

</p><p>(6) GSA/GOVT-3: Travel Charge Card Program, 69 FR 4517 (January 30, 2004);

</p><p>(7) GSA/GOVT-4: Contracted Travel Services Program, 71 FR 48764 (August 2, 2006);

</p><p>(8) GSA/GOVT-5: Access Certificates for Electronic Services, 64 FR 29032 (May 8, 1999);

</p><p>(9) GSA/GOVT-6: GSA SmartPay Purchase Charge Card Program, 71 FR 64707 (November 3, 2006);

</p><p>(10) GSA/GOVT-7: Personal Identity Verification Identity Management System (PIV IDMS), 71 FR 56983
(September 28, 2006);

</p><p>(11) GSA/GOVT-8: Excluded Parties List System (EPLS), 71 FR 70515 (December 5, 2006);

</p><p>(12) MSPB/GOVT-1: Appeals and Case Records, 67 FR 70254 (November 21, 2002);

</p><p>(13) OGE/GOVT-1: Executive Branch Public Financial Disclosure Reports and Other Name-Retrieved Ethics
Program Records, 68 FR 3097 (January 22, 2003), 68 FR 24722 (May 8, 2003);

</p><p>(14) OGE/GOVT-2: Executive Branch Confidential Financial Disclosure Reports, 68 FR 3097 (January 22,
2003), 68 FR 24722 (May 8, 2003);

</p><p>(15) OPM/GOVT-1: General Personnel Records, 71 FR 35356 (June 19, 2006);

</p><p>(16) OPM/GOVT-2: Employee Performance File System Records, 65 FR 24732 (April 27, 2000);

</p><p>(17) OPM/GOVT-3: Records of Adverse Actions, Performance Based Reduction in Grade and Removal
Actions,
and Terminations of Probationers, 65 FR 24732 (April 27, 2000);

</p><p>(18) OPM/GOVT-5: Recruiting, Examining, and Placement Records, 71 FR 35351 (June 19, 2006);









</p><p>(19) OPM/GOVT-9: File on Position Classification Appeals, Job Grading Appeals, and Retained Grade or
Pay Appeals, and Fair Labor Standards Act (FLSA) Claims and Complaints, 71 FR 35358 (June 19, 2006);

</p><p>(20) OPM/GOVT-10: Employee Medical File System Records, 75 FR 35099 (June 21, 2010); and

</p><p>(21) OSC/GOVT-1: OSC Complaint Litigation and Political Activity Files, 64 FR 63359 (November 19,
1999).

</p><p><b>STATEMENT OF GENERAL ROUTINE USES:</b></p>

<p>In addition to the disclosures permitted pursuant to 5 U.S.C. 552a(b), EAC hereby gives notice of the
following general routine uses. These general routine uses are incorporated by reference into each system of
records described in this notice. Routine uses described in a specific system of records in this notice are
in addition to the list of the following general routine uses; unless the routine use described in a
specific
system of records in this notice expressly supersedes the following general routine uses.

</p><p>(1) In the event that a record in a system indicates any violation or potential violation of the law,
whether civil, criminal, or regulatory in nature, and whether arising by statute, or by regulation, rule, or
order issued pursuant thereto, the relevant record may be referred by authorized EAC personnel as a routine
use to the appropriate agency, whether Federal state, local, or foreign, charged with the responsibility for
investigating or prosecuting such violation, or charged with enforcing or implementing the statute, rule,
regulation, or order issued pursuant thereto. Such referral shall also include and be deemed to authorize
any
and all appropriate and necessary uses of such record in a court of law or before an administrative board or
hearing.

</p><p>(2) A record covered by a system may be disclosed by authorized EAC personnel as a routine use to
designated officers and employees of other agencies and Departments of the federal government having an
interest in the individual for employment purposes, including, but not limited to, the hiring or retention
of
any employee, the issuance of a security clearance, 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 on the matter involved.

</p><p>(3) Disclosure of information by authorized EAC personnel to the Department of Justice, or in a
proceeding before a court, adjudicative body, or other administrative body before which EAC is authorized or
required to appear, when:

</p><p>(a) EAC, or any component thereof; or

</p><p>(b) Any employee of EAC in his or her official capacity; or

</p><p>(c) Any employee of EAC in his or her individual capacity where the Department of Justice or EAC has
agreed to represent the employee; or

</p><p>(d) The United States, when EAC determines litigation is likely to affect EAC or any of its
components, is a party to litigation or has an interest in such litigation, and EAC determines that the use
of such records by the Department of Justice or EAC is relevant and necessary to the litigation; provided,
however, that in each case EAC determines that the disclosure is compatible with the purpose for which the
records were collected;

</p><p>(4) Any record in any system of records may be disclosed by authorized EAC personnel as a routine use
to the National Archives and Records Administration in the course of records management inspections
conducted
under the authority of 44 U.S.C. 2904 and 2096.

</p><p>(5) Information from any system of records may be released by authorized EAC personnel to internal or
external auditors in the conduct of an audit of EAC operations or accounts, but only to the extent that the
information is relevant to and necessary for the conduct of the audit.

</p><p>(6) Information from any system of records may be released by authorized EAC personnel to General
Services Administration (GSA) staff so that GSA may carry out various small agency support services. These
services include, but are not limited to, payroll processing, debt collection, timekeeping, benefits
administration, processing and paying invoices, and obligating funds.

</p><p>Information from any system of records may be released by authorized EAC personnel to the Office of
the Inspector General (OIG), to the extent necessary to comply with an authorized OIG oversight function.

</p><p><i>STORAGE:</i></p>

<p>These records are maintained in hard copy files in locked file cabinets when not in immediate use; in
electronic format on servers, data disks, and encrypted thumb drives with controlled access.

</p>
<p><b>Notification Procedures:</b></p>
<p>Any individual may request the Commission to inform him or her whether a particular record system named
by
the individual contains a record pertaining to him or her. The request may be made in person or in writing
at
the location of the record system and to the person specified in the notice describing that record system.
Requests concerning whether a government-wide system or records maintained by EAC contains information
pertaining to the requester may be made in-person or by sending the request to the Executive Director, U.S.
Election Assistance Commission, 1201 New York Avenue, NW., Suite 300, Washington, DC 20005. In the case
where
an individual believes EAC maintains records pertaining to him or her but cannot determine which record
system contains those records, the individual may request assistance in-person or by sending the request to
the Executive Director, U.S. Election Assistance Commission, 1201 New York Avenue, NW., Suite 300,
Washington, DC 20005.

</p><p><b>Record Access Procedures:</b></p>
<p>Individuals wishing to access their records should contact EAC as specified in the Notification
Procedure,
above; and in EAC's Privacy Act regulations at 11 CFR 9410. Individuals must furnish all of the information
specified at 11 CFR 9410.3-11 CFR part 9410.5 for their records to be located and identified. Requesters
must
also provide proof of their identity prior to receiving access to a record, pursuant to 11 CFR 9410.4.

</p>
<p><b>Contesting Record Procedures:</b></p>
<p>Individuals wishing to request amendment or correction of their records in a system of records maintained
by EAC should contact the appropriate system manager, as described above. Individuals must furnish all of
the information specified in the Notification Procedure, and comply with EAC's Privacy Act regulations at 11
CFR
part 9410 to ensure that their records can be identified and located.</p>
</xhtmlContent></routineUses>

<section id="eac1" toc="yes">
<systemNumber>1</systemNumber>
<subsection type="systemName">Employee Pay and Leave Record Files.

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Located in hard copy files at 1201 New York Avenue, NW.,
Suite 300, Washington, DC 20005; in electronic format on secured servers, data disks, and encrypted thumb
drives with controlled access. EAC enters pay and leave information onto a General Services Administration
(GSA)-maintained system. <i>See</i> GSA's Privacy Act systems of records notices for GSA's system
location and associated information.</p>

</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>EAC employees and personal services contractors.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Records regarding time and attendance and pay.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Budget and Accounting Procedures Act of
1950,
as amended. 31 U.S.C. 3511, <i>et seq.</i></p>

<p>Purpose:</p><p>To provide a system whereby EAC can track employees' payroll and leave information.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information from these records is routinely
provided to (1) the General Services Administration for accounting, payroll, and debt collection purposes;
(2) the
U.S. Department of the Treasury for payroll, (3) the Internal Revenue Service for tax deductions and
withholding, and (4) participating insurance companies holding policies with respect to EAC employees.
<i>See</i> also General Routine Uses contained in the Preliminary Statement. Users include Human Resources
personnel within EAC for the purpose of administering the agency's time and attendance process; designated
EAC staff for the purpose of entering time and attendance information into the GSA-maintained system; and
EAC
managers and supervisors for the purpose of certifying time and attendance data for their respective
employees.</p>

</xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Records are maintained in file
folders in locked file cabinets in Human Resources staff offices. Copies of individual time and attendance
records may be maintained by designated agency timekeepers and are stored in locked file cabinets.
Electronic
records are maintained in a secure password protected environment and maintained with safeguards meeting the
security requirements of the Federal Information Security Management Act (FISMA) of 2002.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by last name.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>EAC staff maintain hard copy files in locked file cabinets in
controlled access offices located in the Human Resources Division. Human Resources staff who telecommute may
possess hard copy files (or copies of such files) at alternative worksites and are provided instructions
concerning how to maintain such information in a secure manner. EAC staff maintain electronic files in a
controlled access environment. System managers determine user permission levels based on staff duties and
responsibilities. Only those staff authorized to perform tasks associated with information contained in this
system of records have permission to access and maintain these files. Network users are also notified when
they log in to EAC systems that improper use of EAC electronic systems may violate applicable law and
subject
employees to disciplinary action. EAC staff who access electronic files remotely may only do so by
connecting
to EAC's servers via a secure remote password-protected connection.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained in accordance
with the applicable National Archives and Records Administration Records Schedule.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Human Resources Director, U.S. Election Assistance
Commission, 1201 New York Avenue, NW., Suite 300, Washington, DC 20005.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent>

<p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>EAC employees and personal services contractors.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.
</p></xhtmlContent></subsection>
</section>
<section id="eac2" toc="yes">
<systemNumber>2</systemNumber>

<subsection type="systemName">Freedom of Information Act (FOIA) and Privacy Act (PA) Request Files.

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Located in hard copy files at 1201 New York Avenue, NW.,
Suite 300, Washington, DC 20005; in electronic format on secured servers, data disks, and encrypted thumb
drives with controlled access.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Persons who have submitted Privacy Act requests,
Freedom of Information Act requests, or correspondence concerning such requests.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence, formal requests, research, legal
memoranda, written decisions, and appeals of agency decisions for FOIA and PA requests.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Privacy Act of 1974, 5 U.S.C. 552a; the
Freedom of Information Act, 5 U.S.C. 552.

</p><p>Purpose:</p><p>To maintain files of FOIA/PA requests for annual reports and tracking.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Information from these records is routinely
provided
to FOIA requesters and Privacy Act requesters; individuals named in the FOIA request; EAC staff assigned to
help process, consider, and respond to such requests, including any appeals. Information may also be
provided
to the United States Attorney General or other federal officials to fulfill EAC's annual reporting
requirements; or to Congressional members, Committees, or staff in response to a Congressional request.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Hard copy records are maintained in
file folders in locked cabinets in FOIA Officer, Privacy Act Officer, and Office of General Counsel staff
offices. Materials responsive to a FOIA or Privacy Act request are also maintained by each individual
respondent in locked file cabinets. Electronic records are maintained in a secure password protected
environment and maintained with safeguards meeting the security requirements of the Federal Information
Security Management Act (FISMA) of 2002.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>EAC staff maintain hard copy files in locked file cabinets in
controlled access offices by FOIA Officers, the Privacy Act Officer, the Office of the General Counsel
offices. EAC staff maintain electronic files in a controlled access environment. System managers determine
user permission levels based on staff duties and responsibilities. Only those staff authorized to perform
tasks associated with information contained in this system of records have permission to access and maintain
these files. Network users are also notified when they log in to EAC systems that improper use of EAC
electronic systems may violate applicable law and subject employees to disciplinary action. EAC staff who
access electronic files remotely may only do so by connecting to EAC's servers via a secure remote password-
protected connection.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by number and year.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained in accordance
with the applicable National Archives and Records Administration Records Schedule.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>For FOIA: Chief FOIA Officer, U.S. Election Assistance
Commission, 1201 New York Avenue, NW., Suite 300, Washington, DC 20005. For Privacy Act: Privacy Act
Officer,
U.S. Election Assistance Commission, 1201 New York Avenue, NW., Suite 300, Washington, DC 20005.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from
documents submitted by individuals, and in some cases, organizations, requesting information related to FOIA
or the Privacy Act. Sources also include EAC employees in some instances.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection>
</section>

<section id="eac3" toc="yes">
<systemNumber>3</systemNumber>

<subsection type="systemName">Financial Management Files.

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Located in hard copy files at 1201 New York Avenue, NW.,
Suite 300, Washington, DC 20005; in electronic format on secured servers, data disks, and encrypted thumb
drives with controlled access. EAC transmits payment, obligation, and financial information to the General
Services Administration (GSA) in hard copy and electronically for processing. <i>See</i> GSA's Privacy
Act systems of records notices for GSA's system location and associated information.</p>

</xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals with whom EAC conducts financial
transactions that are not otherwise covered by a government-wide system of records. This system of records
does not cover individuals serving as personal services contractors. <i>See</i> Government-wide systems
of records notices and notice EAC-1 for records concerning individuals who are personal services
contractors.
</p>
</xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence, banking and financial information,
invoices, legal memoranda, and other records associated with EAC's financial management functions.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Budget and Accounting Procedures Act of
1950,
as amended. 31 U.S.C. 3511, <i>et seq.</i></p>
<p>Purpose:</p>
<p>Information in this system is used to facilitate day-to-day financial management operations and for
purposes of review, analysis, and planning by financial management personnel. Data in this system may also
be
used to prepare financial statements and other reports concerning obligations and payments from EAC
appropriated funds.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data may be disclosed to the U.S. Department of
Justice, the Department of the Treasury, the General Services Administration, or the Government
Accountability Office (GAO) in connection with payment and debt collection activities. Information may also
be disclosed to Office of the Inspector General personnel and independent outside auditors in conjunction
with reviewing EAC financial management controls and statements. Users include financial management
personnel
for purposes of administrating EAC funds; and other EAC personnel with responsibilities for overseeing
financial management and internal control functions.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Records are maintained in file
folders in locked file cabinets in Procurement and financial management staff offices. Electronic records
are
maintained in a secure password protected environment and maintained with safeguards meeting the security
requirements of the Federal Information Security Management Act (FISMA) of 2002.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>EAC staff maintain hard copy files in locked file cabinets in
controlled access offices by financial management staff. EAC staff maintain electronic files in a controlled
access environment. System managers determine user permission levels based on staff duties and
responsibilities. Only those staff authorized to perform tasks associated with information contained in this
system of records have permission to access and maintain these files. Network users are also notified when
they login to EAC systems that improper use of EAC electronic systems may violate applicable law and subject
employees to disciplinary action. EAC staff who access electronic files remotely may only do so by
connecting
to EAC's servers via a secure remote password-protected connection.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name and by Tax Identification
Number.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained in accordance
with the applicable National Archives and Records Administration Records Schedule.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, U.S. Election Assistance Commission,
1201 New York Avenue, NW., Suite 300, Washington, DC 20005. After receipt, the Executive Director will
direct
records requests to the appropriate financial management staff with responsibility for the specific records
that are the subject of the request.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from
documents submitted by individuals covered by the system as well as documents issued by EAC financial
management staff.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.</p></xhtmlContent></subsection>
</section>
<section id="eac4" toc="yes">
<systemNumber>4</systemNumber>

<subsection type="systemName">Election Assistance Commission Federal Financial Assistance and HAVA Grantee
Files.

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Located in hard copy files at 1201 New York Avenue, NW.,
Suite 300, Washington, DC 20005; in electronic format on secured servers, data disks, and encrypted thumb
drives with controlled access.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals with whom EAC does business for
purposes of providing Federal financial assistance and awarding grants.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Grantee, federal financial assistance, and peer
reviewer applications, financial and banking information, correspondence, and legal memoranda.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>The Budget and Accounting Procedures Act of
1950,
as amended. 31 U.S.C. 3511, <i>et seq.</i></p>

<p>Purpose:</p><p>The information in this system is used to issue grant solicitations, analyze grant
applications, make award decisions, and manage and oversee grantees. Information in this system is also used
to perform all administrative functions related to EAC's other Federal financial assistance programs.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Data in this system is used to administer all
aspects of EAC's federal financial assistance and grant-making programs; and to conduct statistical research
or analyze trends associated with these activities. Data may also be used to assist with Congressional
oversight of Federal funds administered by EAC. Data may be shared with the Department of Health and Human
Services (HHS) to enable HHS to service EAC grant recipients. Data may be disclosed to the Department of
Justice, the U.S. Department of the Treasury, or the Government Accountability Office (GAO) in connection
with payment and debt collection activities. Information may also be disclosed to GAO in connection with
grant administration and audit activities within GAO's jurisdiction; and to the National Institute of
Standards and Technology (NIST) in conjunction with joint EAC/NIST grant activities. Access to records in
the
system is limited to authorized personnel whose official duties require such access. Permission level
assignments allow users access only to those functions for which they are authorized.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Records are maintained in file
folders in locked file cabinets in financial management, grants, testing and certification, and research
policies and programs staff offices. Electronic records are maintained in a secure password protected
environment and maintained with safeguards meeting the security requirements of the Federal Information
Security Management Act (FISMA) of 2002.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>EAC staff maintain hard copy files in locked file cabinets in
controlled access offices by Grants; Research, Policy, and Programs; Testing and Certification; and
financial
management staff. Electronic data is stored on magnetic media in a computer system with controlled access
that requires passwords and identity authentication for users. EAC staff maintain electronic files in a
controlled access environment. System managers determine user permission levels based on staff duties and
responsibilities. Only those staff authorized to perform tasks associated with information contained in this
system of records have permission to access and maintain these files. Network users are also notified when
they login to EAC systems that improper use of EAC electronic systems may violate applicable law and subject
employees to disciplinary action. EAC staff who access electronic files remotely may only do so by
connecting
to EAC's servers via a secure remote password-protected connection.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are retrieved by name and by Tax Identification
Number.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained in accordance
with the applicable National Archives and Records Administration Records Schedule.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, U.S. Election Assistance Commission,
1201 New York Avenue, NW., Suite 300, Washington, DC 20005. After receipt, the Executive Director will
direct
records requests to the appropriate division staff with responsibility for the specific Federal financial
management or grants records that are the subject of the request.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.
</p>
</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from
documents submitted by individuals covered by the system as well as documents issued by EAC financial
management staff.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.



</p></xhtmlContent></subsection>
</section>
<section id="eac5" toc="yes">
<systemNumber>5</systemNumber>


<subsection type="systemName">Agency Correspondence and Public Comments.

</subsection>
<subsection type="systemLocation"><xhtmlContent><p>Located in hard copy files at 1201 New York Avenue, NW.,
Suite 300, Washington, DC 20005; in electronic format on secured servers, data disks, and encrypted thumb
drives with controlled access.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfIndividuals"><xhtmlContent><p>Individuals who correspond with EAC and its
employees in their official capacity; or who submit public comments to EAC in response to a solicitation.

</p></xhtmlContent></subsection>
<subsection type="categoriesOfRecords"><xhtmlContent><p>Correspondence to and from EAC and its employees in
their official capacity. Records in this system of records may include comments specifically solicited by
EAC; or comments sent to EAC absent a specific solicitation.

</p></xhtmlContent></subsection>
<subsection type="authorityForMaintenance"><xhtmlContent><p>5 U.S.C. 301.

</p><p>Purpose:</p><p>To maintain and track incoming and outgoing correspondence between individuals and EAC
and its employees in their official capacity.

</p></xhtmlContent></subsection>
<subsection type="routineUsesOfRecords"><xhtmlContent><p>Disclosure may be made to a Congressional office
from the record of an individual in response to an inquiry from the Congressional office made at the request
of that individual. Records may also be disclosed to temporary employees, contingent employees, personal
services contractors, and other individuals performing duties for EAC but not having agency employee status;
when such individuals need access to the records to perform the agency functions assigned to them. Any
record
in this system may be used by EAC staff in connection with their official duties or to any person who is
utilized by the Commission to perform clerical or administrative functions relating to official EAC
business.

</p></xhtmlContent></subsection>
<subsection type="policiesAndPractices"><xhtmlContent><p>Storage:</p><p>Records are maintained in file
folders in locked file cabinets in staff offices. Electronic records are maintained in a secure password
protected environment and maintained with safeguards meeting the security requirements of the Federal
Information Security Management Act (FISMA) of 2002.

</p></xhtmlContent></subsection>
<subsection type="safeguards"><xhtmlContent><p>EAC staff maintain hard copy files in locked file cabinets in
controlled access offices by division, depending on the type and subject matter of the correspondence. EAC
staff maintain electronic files in a controlled access environment. System managers determine user
permission
levels based on staff duties and responsibilities. Only those staff authorized to perform tasks associated
with information contained in this system of records have permission to access and maintain these files.
Network users are also notified when they log in to EAC systems that improper use of EAC electronic systems
may violate applicable law and subject employees to disciplinary action. EAC staff who access electronic
files remotely may only do so by connecting to EAC's servers via a secure remote password-protected
connection.

</p></xhtmlContent></subsection>
<subsection type="retrievability"><xhtmlContent><p>Records are generally retrieved by name, but may be
retrieved by date of correspondence, subject matter, or tracking number, depending on which EAC division
maintains the record.

</p></xhtmlContent></subsection>
<subsection type="retentionAndDisposal"><xhtmlContent><p>Records in this system are maintained in accordance
with the applicable National Archives and Records Administration Records Schedule.

</p></xhtmlContent></subsection>
<subsection type="systemManager"><xhtmlContent><p>Executive Director, U.S. Election Assistance Commission,
1201 New York Avenue, NW., Suite 300, Washington, DC 20005. After receipt, the Executive Director will
direct
records requests to the appropriate division staff with responsibility for the specific federal financial
management or grants records that are the subject of the request.

</p></xhtmlContent></subsection>
<subsection type="notificationProcedure"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordAccessProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="contestingRecordProcedures"><xhtmlContent><p><i>See</i> Preliminary Statement.</p>

</xhtmlContent></subsection>
<subsection type="recordSourceCategories"><xhtmlContent><p>Information in this system is obtained from
documents submitted by individuals covered by the system. Information in this system may also come from
documents created by EAC staff.

</p></xhtmlContent></subsection>
<subsection type="exemptionsClaimed"><xhtmlContent><p>None.

</p></xhtmlContent></subsection></section>




<regulations id="reg" toc="yes">
<regulationsTitle number="11">
<heading>Federal Elections</heading>
<regulationsChapter number="II">
<heading>Election Assistance Commission</heading>
<regulationsPart number="9410">
<heading>IMPLEMENTATION OF THE PRIVACY ACT OF 1974</heading>
<xhtmlContent>
<p>Sec.
</p><p>9410.1 Purpose and scope.
</p><p>9410.2 Definitions.
</p><p>9410.3 Procedures for requests pertaining to individual records in a record system.
</p><p>9410.4 Times, places, and requirements for identification of individuals making requests.
</p><p>9410.5 Disclosure of requested information to individuals.
</p><p>9410.6 Request for correction or amendment to record.
</p><p>9410.7 Commission review of request for correction or amendment of record.
</p><p>9410.8 Appeal of initial adverse determination on amendment or correction.
</p><p>9410.9 Disclosure of record to person other than the individual to whom it pertains.
</p><p>9410.10 Fees.
</p><p>9410.11 Penalties.
</p><p><b>Authority:</b> 5 U.S.C. 552a.</p>
<p><b>Source:</b> 73 FR 54257, Sept. 18, 2008, unless otherwise noted.
</p>

<p><b>&#167;9410.1
 Purpose and scope.
</b></p><p>(a) This part sets forth rules that inform the public as to what information is maintained by the
U.S. Election Assistance Commission about identifiable individuals and that inform those identifiable
individuals how they may gain access to and correct or amend information about them.
</p><p>(b) The regulations in this part carry out the requirements of the Privacy Act of 1974 (Pub. L.
93-579) and in particular 5 U.S.C. 552a as added by that Act.
</p><p>(c) The regulations in this part apply only to records disclosed or requested under the Privacy Act
of 1974 and not to requests for information made under 5 U.S.C. 552, the Freedom of Information Act, or
requests for reports and statements filed with the Election Assistance Commission which are public records
and available for inspection and copying.


</p><p><b>&#167;9410.2
 Definitions.
</b></p><p>As used in this part, the term--
</p><p><i>Commission</i> means the U.S. Election Assistance Commission, established by the Help America Vote
Act of 2002, 42 U.S.C. 15301 <i>et seq.</i></p>
<p><i>Commissioner</i> means an individual appointed to the Commission by the President and confirmed by the
Senate under section 203 of the Help America Vote Act of 2002, 42 U.S.C. 15323.
</p><p><i>Individual</i> means a citizen of the United States or an alien lawfully admitted for permanent
residence.
</p><p><i>Maintain</i> includes maintain, collect, use, or disseminate.
</p><p><i>Record</i> means any item, collection, or grouping of information about an individual that is
maintained by the Commission including, but not limited to, his or her education, financial transactions,
medical history, and criminal or employment history and that contains his or her name or the identifying
number, symbol, or other identifying information particularly assigned to the individual, such as finger or
voice print or a photograph.
</p><p><i>Systems of records</i> means a group of any records under the control of the Commission from which
information is retrieved by the name of the individual or by some identifying number, symbol, or other
identifying information particularly assigned to the individual.


</p><p><b>&#167;9410.3
 Procedures for requests pertaining to individual records in a record system.
</b></p><p>(a) Any individual may request the Commission to inform him or her whether a particular record
system named by the individual contains a record pertaining to him or her. The request may be made in person
or in writing at the location of the record system and to the person specified in the notice describing that
record system.
</p><p>(b) An individual, who believes that the Commission maintains records pertaining to him or her but
cannot determine which record system contains those records, may request assistance by mail or in person
from the Executive Director, U.S. Election Assistance Commission, 1225 New York Avenue, Suite 1100,
Washington, DC 20005 during the hours of 9 a.m. to 5:30 p.m.
</p><p>(c) Requests under paragraphs (a) or (b) of this section shall be acknowledged by the Commission
within 15 working days from the date of receipt of the request. If the Commission is unable to locate the
information requested under paragraphs (a) or (b) of this section, it shall so notify the individual within
15 working days after receipt of the request. The notification may request additional information to assist
the Commission in locating the record, or it may advise the individual that no record or document exists
about that individual.


</p><p><b>&#167;9410.4
 Times, places, and requirements for identification of individuals making requests.
</b></p><p>(a) After being informed by the Commission that a record system contains a record pertaining to
him or her, an individual may request that the Commission disclose that record in the manner described in
this section. Each request for the disclosure of a record or a copy of a record it shall be made in person
or by written correspondence to the U.S. Election Assistance Commission, 1225 New York Avenue, Suite 1100,
Washington, DC 20005 and to the person identified in the notice describing the systems of records. Requests
can also be made by specifically authorized agents or by parents or guardians of individuals.
</p><p>(b) Each individual requesting the disclosure of a record or copy of a record shall furnish the
following information with his or her request:
</p><p>(1) The name of the record system containing the record;
</p><p>(2) Proof as described in paragraph (c) of this section that he or she is the individual to whom the
requested record relates; and
</p><p>(3) Any other information required by the notice describing the record system.
</p><p>(c) Proof of identity as required by paragraph (b)(2) of this section shall be provided as described
in paragraphs (c)(1) and (c)(2) of this section. Requests made by an agent, parent, or guardian shall be in
accordance with the procedures described in  &#167; 9410.9.
</p><p>(1) Requests made in writing shall include a statement affirming the individual's identity, signed by
the individual and either notarized or witnessed by two persons (including witnesses' addresses). If the
individual appears before a notary, he or she shall submit adequate proof of identification in the form of a
driver's license, birth certificate, passport, or other identification acceptable to the notary. If the
statement is witnessed, it shall include a sentence above the witnesses' signatures that they personally
know the individual or that the individual has submitted proof of his or her identification to their
satisfaction. In cases involving records of extreme sensitivity, the Commission may determine that the
identification is not adequate and may request the individual to submit additional proof of identification.
</p><p>(2) If the request is made in person, the requester shall submit proof of identification similar to
that described in paragraph (c)(1) of this section, acceptable to the Commission.


</p><p><b>&#167;9410.5
 Disclosure of requested information to individuals.
</b></p><p>(a) Upon submission of proof of identification as required by  &#167; 9410.4, the Commission
shall allow the individual to see and/or obtain a copy of the requested record or shall send a copy of the
record to the individual by registered mail. If the individual requests to see the record, the Commission
may make the record available either at the location where the record is maintained or at a place more
suitable to the requestor, if possible. The record shall be made available as soon as possible, but in no
event later than 15 working days after proof of identification. The individual may have a person or persons
of his or her own choosing accompany him or her when the record is disclosed.
</p><p>(b) The Commission must furnish each record requested by an individual under this part in a form
intelligible to that individual.
</p><p>(c) If the Commission denies access to a record to an individual, he or she shall be advised of the
reason for the denial and advised of the right to judicial review.
</p><p>(d) Upon request, an individual will be provided access to the accounting of disclosures from his or
her record under the same procedures as provided above and in  &#167; 9410.4.


</p><p><b>&#167;9410.6
 Request for correction or amendment to record.
</b></p><p>(a) Any individual who has reviewed a record pertaining to him or her that was furnished under
this part may request that the Commission correct or amend all or any part of that record.
</p><p>(b) Each individual requesting a correction or amendment shall send or provide in person the written
request to the Commission through the person who furnished the record.
</p><p>(c) Each request for a correction or amendment of a record shall contain the following information:
</p><p>(1) The name of the individual requesting the correction or amendment;
</p><p>(2) The name of the system of records in which the record sought to be amended is maintained;
</p><p>(3) The location of the system of records from which the individual record was obtained;
</p><p>(4) A copy of the record sought to be amended or corrected or a sufficiently detailed description of
that record;
</p><p>(5) A statement of the material in the record that the individual desires to correct or amend; and
</p><p>(6) A statement of the basis for the requested correction or amendment including any material that
the individual can furnish to substantiate the reasons for the correction or amendment sought.


</p><p><b>&#167;9410.7
 Commission review of request for correction or amendment of record.
</b></p><p>(a) The Commission shall, not later than 10 working days after the receipt of the request for a
correction or amendment of a record under  &#167; 9410.6, acknowledge receipt of the request and inform the
individual whether additional information is required before the correction or amendment can be considered.
</p><p>(b) If no additional information is required, within 10 working days from receipt of the request, the
Commission shall either make the requested correction or amendment or notify the individual of its refusal
to do so, including in the notification the reasons for the refusal and the appeal procedures provided in
&#167; 9410.8.
</p><p>(c) The Commission shall make each requested correction or amendment to a record if that correction
or amendment will negate inaccurate, irrelevant, untimely, or incomplete information in the record.
</p><p>(d) The Commission shall inform prior recipients of a record of any amendment or correction or
notation of dispute of the individual's record if an accounting of the disclosure was made. The individual
may request a list of prior recipients if an accounting of the disclosure was made.


</p><p><b>&#167;9410.8
 Appeal of initial adverse determination on amendment or correction.
</b></p><p>(a) Any individual whose request for a correction or amendment has been denied in whole or in
part may appeal that decision to the Commissioners no later than 180 days after the adverse decision is
rendered.
</p><p>(b) The appeal shall be in writing and shall contain the following information:
</p><p>(1) The name of the individual making the appeal;
</p><p>(2) Identification of the record sought to be amended;
</p><p>(3) The record system in which that record is contained;
</p><p>(4) A short statement describing the amendment sought; and
</p><p>(5) The name and location of the Commission official who initially denied the correction or
amendment.
</p><p>(c) Not later than 30 working days after the date on which the Commission receives the appeal, the
Commissioners shall complete their review of the appeal and make a final decision thereon. However, for good
cause shown, the Commissioners may extend that 30-day period. If the Commissioners extend the period, the
individual requesting the review shall be promptly notified of the extension and the anticipated date of a
decision.
</p><p>(d) After review of an appeal, the Commission shall send a written notice to the requestor containing
the following information:
</p><p>(1) The decision and, if the denial is upheld, the reasons for the decision;
</p><p>(2) The right of the requestor to institute a civil action in a Federal District Court for judicial
review of the decision; and
</p><p>(3) The right of the requestor to file with the Commission a concise statement setting forth the
reasons for his or her disagreement with the Commission's denial of the correction or amendment. The
Commission shall make this statement available to any person to whom the record is later disclosed, together
with a brief statement, if appropriate, of the Commission's reasons for denying the requested correction or
amendment. The Commission shall also send a copy of the statement to prior recipients of the individual's
record if an accounting of the disclosures was made.


</p><p><b>&#167;9410.9
 Disclosure of record to person other than the individual to whom it pertains.
</b></p><p>(a) Any individual who desires to have a record covered by this part disclosed to or mailed to
another person may designate such person and authorize the person to act as his or her agent for that
specific purpose. The authorization shall be in writing, signed by the individual, and notarized or
witnessed as provided in  &#167; 9410.4(c).
</p><p>(b) The parent of any minor individual or the legal guardian of any individual who has been declared
by a court of competent jurisdiction to be incompetent due to physical or mental incapacity or age may act
on behalf of that individual in any matter covered by this part. A parent or guardian who desires to act on
behalf of such an individual shall present suitable evidence of parentage or guardianship, by birth
certificate, certified copy of a court order, or similar documents, and proof of the individual's identity
in a form that complies with  &#167; 9410.4(c).
</p><p>(c) An individual to whom a record is to be disclosed in person under this part may have a person or
persons of his or her own choosing accompany him or her when the record is disclosed.


</p><p><b>&#167;9410.10
 Fees.
</b></p><p>(a) The Commission shall not charge an individual for the cost of making a search for a record or
the cost of reviewing the record. When the Commission makes a copy of a record as a necessary part of the
process of disclosing the record to an individual, the Commission shall not charge the individual for the
cost of making that copy. When the Commission makes a copy of a record in response to a request from an
individual, the Commission may charge the individual for the reasonable cost of making the copy.
</p><p>(b) If an individual requests that the Commission furnish a copy of the record, the Commission shall
charge the individual for the cost of making the copy. The fee that the Commission has established for
making a copy is fifteen (15) cents per page.


</p><p><b>&#167;9410.11
 Penalties.
</b></p><p>Any person who makes a false statement in connection with any request for a record or an
amendment or correction thereto under this part is subject to the penalties prescribed in 18 U.S.C. 494 and
495 and 5 U.S.C. 552a (i)(3).</p>

</xhtmlContent>
      </regulationsPart>
              </regulationsChapter>
            </regulationsTitle>
      </regulations>
</agency>
</pai>





