[Federal Register Volume 59, Number 207 (Thursday, October 27, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-26613]


[[Page Unknown]]

[Federal Register: October 27, 1994]


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FEDERAL ELECTION COMMISSION

[Notice 1994-16]

 

Privacy Act; Proposed Notice of New and/or Revised Systems of 
Records

    Pursuant to the provisions of the Privacy Act of 1974, Public Law 
93-579, 5 U.S.C. 552(e)(11), the Federal Election Commission is 
publishing for comment new and revised systems of records that are 
maintained by the Commission.
    A new systems report was filed with the Chairman of the Senate 
Committee on Governmental Affairs, the Chairman of the House Committee 
on Government Operations and the Office of Management and Budget on 
October 21, 1994.
    These systems have been revised or proposed as a result of a re-
evaluation of the manner in which records are maintained by the 
Commission.
    The new system of records which has been added is the Inspector 
General Investigative Files (FEC 12). The authority under which this 
system is maintained is 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2). 
See 11 CFR part 1.14. All other systems have been revised to 
incorporate administrative changes which have taken place since the 
last publication of FEC systems of records in 1984 and 1988.
    These new and revised systems should provide improved protection 
for the privacy and property rights of Commission employees, applicants 
for employment and those who deal with the Commission.
    The Commission is proposing to exempt new records system FEC 12 
from certain provisions of the Privacy Act. A Notice of Proposed 
Rulemaking for this purpose is found elsewhere in today's Federal 
Register.
    Comments must be received on or before November 28, 1994. Comments 
must be in writing and addressed to: Tina VanBrakle, Privacy Act 
Officer, 999 E Street, NW., Washington, DC 20463.

    Dated: October 24, 1994.
Trevor Potter,
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.
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
    Requests for advisory opinions.
    Federal Election Commission, Washington, DC 20463.
    Individuals who have submitted a letter to the FEC that qualifies 
as an advisory opinion request under FEC regulations.
    Letters requesting advisory opinions and responses thereto from the 
FEC.
    2 U.S.C. 437d(a)(7) and 437f.
    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.
    Paper records and/or microfilm, on-line disk storage, and 
electronic data processing system.
    Indexed and retrievable by name of requestor, date of opinion, 
request number, and, as applicable, by microfilm roll and frame number.
    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.
    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.
    The General Counsel, Federal Election Commission, Washington, DC 
20463, (202/219-3690).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Individual requestor, persons submitting comments and the Federal 
Election Commission.
FEC 2
    Audits and investigations.
    Federal Election Commission, Washington, DC 20463.
    Candidates required to file statements and reports under the 
Federal Election Campaign Act.
    Audit and investigation data.
    2 U.S.C. 437d(a)(10), 437g(a) (2), (5) and 438(a) (8), (9); 26 
U.S.C. 9007, 9038.
    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 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.
    Paper records.
    Indexed by name.
    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.
    Indefinite.
    Assistant Staff Director for Audit, Federal Election Commission, 
Washington, DC 20463 (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    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
    Compliance actions.
    Federal Election Commission, Washington, DC 20463.
    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.
    Complaints, referrals, and responses thereto; internal 
investigations of reports on file at the Commission, depositions, 
interrogatories and responses thereto.
    2 U.S.C. 437g(a)(1), (2), (4) and (5); 438(a)(7) and 438(b); 26 
U.S.C. 9006 and 9038.
    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 
recommendations. 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 willfull 
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 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.
    Paper records. Closed compliance cases are duplicated, stored on 
microfilm and are available to the public, minus information deemed to 
be exempt under the Freedom of Information Act.
    This system is indexed and retrievable by name of complainant or 
respondent by compliance action number or by microfilm roll and frame 
number, as appropriate.
    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.
    Indefinite.
    The General Counsel, Federal Election Commission, Washington, DC 
20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Complainants, respondents, third parties who have been requested, 
or subpoenaed, to produce relevant information, and the Federal 
Election Commission.
    With respect to open investigations, the system is exempt pursuant 
to 5 U.S.C. 552a(k)(2). See 11 CFR 1.14.
FEC 4
    Mailing Lists.
    Federal Election Commission, Washington, DC 20463.
    (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.
    (a) Lists of names, addresses, principal areas of interest.
    (b) List of names, addresses and subjects of interest to the 
requestor.
    (c) List of names, addresses, duties and jurisdictions.
    (d) Computer listings.
    2 U.S.C. 438(a) for all categories.
    (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.
    Computerized for all categories.
    (a) Name or identification numbers.
    (b) Name.
    (c) Name, title, jurisdiction or region of the country.
    (d) Name of individual or name of media.
    Access code with password for all categories.
    (a) Purged every two years or upon request of subscriber.
    (b) Purged every two years.
    (c) Indefinite.
    (d) Indefinite.
    The Assistant Staff Director for Information, Federal Election 
Commission, Washington, DC 20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    (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
    Personnel records.
    Federal Election Commission. Washington, DC 20463.
    Applicants for employment, current employees (including unpaid 
interns), and former employees.
    (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.
    (g) Outside Employment Files.
    (h) Employee Medical File.
    (i) Grievance Files.
    (j) Appeal Files.
    2 U.S.C. 437c and 5 CFR part 293.
    (a) SF-171's/Resumes--used by 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) Appeal Files--used by Personnel staff top 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.

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.
    (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.
    (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.
    (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.
    (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) 2 years; shredded.
    (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.
    The Director of Personnel, Federal Election Commission, Washington, 
DC 20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 
43064 (1976).
    Same as above.
    Same as above.
    Peronnel applications, resumes, employment forms, records of 
personnel action.
FEC 6
    Candidate reports and designations.
    Federal Election Commission, Washington, DC 20463.
    Candidates for Federal office required to file reports of 
contributions and expenditures and designations of campaign 
depositories and authorized committees.
    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.
    2 U.S.C. 432(e), 434, and 437b(a)(1).
    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.
    Paper records and/or microfilm and on-line disk storage electronic 
data processing system.
    Retrievable by candidate's name, or by State in which candidate 
seeks election; candidate identification number or last name for 
computer storage.
    Locked filing cabinets.
    Reports are preserved for a 10-year period except that reports 
relating solely to candidates for the House of Representative are 
preserved for 5 years from the date of receipt. Microfilm is preserved 
indefinitely.
    The Assistant Staff Director for Disclosure, Federal Election 
Commission, Washington, DC 20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Reports filed with the FEC.
FEC 7
    Certification for primary matching funds and general election 
campaign funds.
    Federal Election Commission, Washington, DC 20463.
    Candidates for nomination or election to the Office of President of 
the United States.
    Certification forms and supporting data requesting matching funds 
or election funds.
    26 U.S.C. 9003, 9006; 26 U.S.C. 9033, 9036, 9037.
    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.
    Paper records.
    Indexed by name of candidate.
    Locked filing cabinets.
    Indefinite.
    Assistant Staff Director for Audit, Federal Election Commission, 
Washington, DC 20463 (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Certification reports filed with the Commission.
FEC 8
    Payroll records.
    Federal Election Commission, Washington, DC 20463.
    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.
    31 U.S.C., generally. Also, 2 U.S.C. 437c(f).
    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 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 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 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 the 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, DC 20463. The request must include a copy of 
the applicable statute or ordinance authorizing the taxation of 
compensation and should indicate whether the authority of the 
jurisdiction to tax the employee is based on place of residence, place 
of employment, or both.
    Pursuant to a withholding agreement between a city and the 
Department of the 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.

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.
    Computer disk packs within central processing unit.
    On line access program utilizing employee social security number.
    Overall password for group number; individual password for each 
program; knowledge of password limited to appropriate personnel.
    Disposition of records shall be in accordance with the HB GSA 
Records Maintenance and Disposition System (OAD P 1820.2).
    The Assistant Staff Director for Administration, Federal Election 
Commission, Washington, DC 20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    The subject individual; the Federal Election Commission.
FEC 9
    Litigation Actions.
    Federal Election Commission, Washington, DC 20463.
    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.
    All papers incident to a law suit, including discovery materials, 
motions, briefs, and orders.
    2 U.S.C. 437g(a)(6), 437g(a)(8), 437g(a)(11), and 437h.
    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.
    Paper records and microfilm.
    System indexed by name of party litigant and, as applicable, by 
microfilm roll and frame number.
    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.
    Indefinite.
    The General Counsel, Federal Election Commission, Washington, DC 
20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Individual party litigants and counsel, court personnel and the 
Federal Election Commission.
FEC 10
    Letter file, Public Communications.
    Federal Election Commission, Washington, DC 20463.
    Individuals who have written to the FEC requesting answers to 
specific questions.
    Inquiries by individuals concerning the Federal Election Campaign 
Act of 1971, as amended.
    2 U.S.C. 438(a).
    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 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.
    Paper files.
    Name of individual.
    Retained in-house for one year; shipped afterward to general 
storage.
    The Assistant Staff Director for Information, Federal Election 
Commission, Washington, DC. 20463 (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Individuals who request information in writing.
FEC 11
    Contributor Name Index System.
    Federal Election Commission, Washington, DC 20463.
    Individuals who have been listed on campaign finance reports as 
having given $200 or more per transaction to a Federal candidate or 
their supporting political committee.
    On-line disk storage electronic data processing index of names.
    2 U.S.C. 441a.
    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 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.
    On-line disk storage electronic data.
    Indexed by last name of contributor.
    Requests are handled only on an overnight request basis, with 
Commission staff doing research and retrieval.
    Indefinite.
    The Assistant Staff Director for Data Systems Development Division, 
Federal Election Commission, Washington, DC 20463, (202/219-3440).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Individual contributors.
FEC 12
    Inspector General Investigative Files.
    Federal Election Commission, Washington, DC 20463.
    Individuals who are the subjects of complaints.
    Complaints, referrals from other agencies, investigative notes, 
interviews, reports, interrogatories and responses thereto.
    Inspector General Act Amendments of 1988, Public Law 100-504, 
amending the Inspector General Act of 1978, Public Law 95-402, 5 U.S.C. 
app.
    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.

Systems exempted:

    System exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2). 
See 11 CFR 1.14.
    Paper and computer records.
    The records are retrieved by the name of the subject of the 
investigation or by a unique control number assigned to each 
investigation.
    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 a locked room at all other times.
    Indefinite.
    The Inspector General, Federal Election Commission, Washington, DC 
20463, (202/219-4267).
    Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 FR 
43064 (1976).
    Same as above.
    Same as above.
    Complaints, subjects, third parties who have been requested to 
produce relevant information, referring agencies.
    With respect to investigations, the system is exempt pursuant to 5 
U.S.C. 552a(k)(2).

[FR Doc. 94-26613 Filed 10-26-94; 8:45 am]
BILLING CODE 6715-01-M