[Federal Register Volume 72, Number 15 (Wednesday, January 24, 2007)]
[Notices]
[Pages 3141-3143]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-955]


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FEDERAL ELECTION COMMISSION

[Notice 2007-1]


Privacy Act of 1974; Systems of Records

AGENCY: Federal Election Commission.

ACTION: Proposed Notice of Revised System of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5 
U.S.C. 552a, the Federal Election Commission (``the Commission'' or 
``the FEC'') is publishing for comment a revised system of records that 
is maintained by the Commission. The system entitled Inspector General 
Investigative Records (FEC 12) has been revised to: include additional 
routine uses (3 through 17); expand the list of ``Categories of records 
in the system;'' include additional data elements required for systems 
of records notices, including ``Security Classification,'' ``Purpose,'' 
``Disclosure to consumer reporting agencies,'' and ``Exemptions claimed 
for the system;'' and incorporate administrative and technical changes 
that have taken place since the last publication of FEC systems of 
records on December 15, 1997. 62 FR 65694. The minor changes include: 
clarifying the ``System location;'' adding new language to explain but 
not increase the ``Categories of individuals covered by the system;'' 
clarifying the language for ``Storage;'' adding new language under 
``Retrievability;'' expanding the ``Safeguards;'' adding language to 
``Retention and disposal;'' making a technical change to the ``System 
manager(s);'' clarifying the ``Notification,'' ``Record access,'' and 
``Contesting record'' procedures; and updating the ``Record source 
categories.'' The revised system of records should provide improved 
protection for the privacy rights of individuals.

DATES: Comments on the proposed revisions to the existing records 
system, must be received no later than February 23, 2007. The revisions 
will be effective March 5, 2007 unless the Commission receives comments 
that would result in a contrary determination.

ADDRESSES: Comments should be addressed in writing to Thomasenia P. 
Duncan, Privacy Act Officer, Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463, and must be received by close of business on 
February 23, 2007. Comments also may be sent via electronic mail to 
[email protected].

SUPPLEMENTARY INFORMATION: The primary purpose for this publication is 
to revise a system of records maintained by the FEC. The FEC has 
undertaken a review of its Privacy Act system of records, and as a 
result of this review, the FEC proposes to amend the system entitled 
Inspector General Investigative Files (FEC 12) to: include additional 
routine uses (3 through 17); expand the list of ``Categories of records 
in the system;'' include additional data elements required in a system 
of records, including ``Security classification,'' ``Purpose,'' 
``Disclosure to consumer reporting agencies,'' and ``Exemptions claimed 
for the system;'' and incorporate administrative and technical changes 
that have taken place since the last publication. The minor changes 
include: clarifying the ``System location;'' adding new language to 
explain but not increase the ``Categories of individuals covered by the 
system;'' clarifying the language for ``Storage;'' adding new language 
under ``Retrievability;'' expanding the ``Safeguards;'' adding language 
to ``Retention and disposal;'' making a technical change to the 
``System manager(s);'' clarifying the ``Notification,'' ``Record 
access,'' and ``Contesting record'' procedures; and updating the 
``Record source categories.''
    As required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as 
amended, and OMB Circular A-130, Appendix I, the FEC has submitted a 
report describing the altered system of records covered by this notice 
to the Office of Management and Budget and to Congress.

     Dated: January 11, 2007.
Robert D. Lenhard,
Chairman, Federal Election Commission.

Table of Contents

FEC 12 Inspector General Investigative Files.
FEC 12

System name:
    Inspector General Investigative Files.

Security classification:
    Records in this system are sensitive but unclassified.

System location:
    Federal Election Commission, Office of the Inspector General (OIG), 
999 E Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals who are the subjects of complaints relating to the 
programs and operations of the Commission. Subjects include, but are 
not limited to, current and former FEC employees; current and former 
employees of contractors and subcontractors in their personal capacity, 
where applicable; and other persons whose actions affect the FEC, its 
programs or operations.

Categories of records in the system:
    Complaints, referrals from other agencies, correspondence, 
investigative notes, interviews, statements from witnesses, transcripts 
taken during investigation, affidavits, copies of all subpoenas issued 
and responses thereto, interrogatories and responses thereto, reports, 
internal staff memoranda, staff working papers and other documents and 
records or copies obtained or relating to complaints and 
investigations. May include the name, address, telephone number, e-mail 
address, employment information, and financial records of the subjects.

Authority for maintenance of the system:
    Inspector General Act Amendments of 1988, Pub. L. 100-504, amending 
the Inspector General Act of 1978, Pub. L. 95-452, 5 U.S.C. app. 3.

Purpose(s):
    These records are used to document the conduct and outcome of 
inquiries, complaints, and investigations concerning allegations of 
fraud, waste, and abuse that affect the FEC. The information is used to 
report the results of investigations to FEC management, contractors, 
prosecutors, law enforcement agencies, Congress, and others for an 
action deemed appropriate. These records are used also to retain 
sufficient information to fulfill reporting requirements and to 
maintain records related to the OIG's activities.

[[Page 3142]]

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in these records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
reports by the Department of Justice is deemed by the Inspector 
General, after careful review, to be relevant and necessary to the 
litigation, provided, however, that in each case the Inspector General 
determines that disclosure of the records to the Department of Justice 
is a use of the information contained in the records that is compatible 
with the purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Inspector 
General determines that, after careful review, the use of such records 
is relevant and necessary to the litigation, provided, however, that 
the Inspector General determines that disclosure of the records is 
compatible with the purpose for which the records were collected.
    3. To the appropriate Federal, foreign, State, local, tribal, or 
other public authority responsible for enforcing, investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute, rule, regulation, or order issued pursuant thereto, when 
information indicates a violation or potential violation of law, 
whether civil, criminal or regulatory in nature, and whether arising by 
general statute or particular program statute, or by regulation, rule, 
or order issued pursuant thereto, if the information disclosed is 
relevant to any enforcement, regulatory, investigative or prosecutorial 
responsibility of the receiving entity.
    4. To any source or potential source from which information is 
requested in the course of an investigation concerning the retention of 
an employee or other personnel action (other than hiring), or the 
retention of a security clearance, contract, grant, license, or other 
benefit, to the extent necessary to identify the individual, inform the 
source of the nature and purpose of the investigation, and to identify 
the type of information requested.
    5. To a Federal, State, local, foreign, tribal or other public 
authority of the fact that this system of records contains information 
relevant to the retention of an employee, the retention of a security 
clearance, the letting of a contract, or the issuance or retention of a 
license, grant, or other benefit. The other agency or licensing 
organization may then make a request supported by written consent of 
the individual for the entire record if it so chooses. No disclosure 
will be made unless the information has been determined to be 
sufficiently reliable to support a referral to another office within 
the agency or to another Federal agency for criminal, civil, 
administrative, personnel, or regulatory action.
    6. To the White House in response to an inquiry made at the written 
request of the individual about whom the record is maintained. 
Disclosure will not be made until the White House has furnished 
appropriate documentation of the individual's request, such as a copy 
of the individual's written request.
    7. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained. 
Disclosure will not be made until the congressional office has 
furnished appropriate documentation of the individual's request, such 
as a copy of the individual's written request.
    8. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    9. To agency or OIG contractors (including employees of 
contractors), grantees, experts, or volunteers who have been engaged to 
assist the agency or OIG in the performance of a contract, service, 
grant, cooperative agreement, or other activity related to this system 
of records and who need to have access to the records in order to 
perform the activity for the agency or OIG. Recipients shall be 
required to comply with the requirements of the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a.
    10. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    11. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel management programs and functions) and in their role as an 
investigation agency.
    12. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    13. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    14. To debt collection contractors to collect debts owed to the 
Government, as authorized under the Debt Collection Act of 1982, 31 
U.S.C. 3718, and subject to the Privacy Act safeguards.
    15. To officials who have been engaged to assist the Office of 
Inspector General in the conduct of inquiries, complaints, and 
investigations who need to have access to the records in order to 
perform the work. This disclosure category includes members of the 
President's Council on Integrity and Efficiency and the Executive 
Council on Integrity and Efficiency, and officials

[[Page 3143]]

and administrative staff within their chain of command. Recipients 
shall be required to comply with the requirements of the Privacy Act.
    16. Information may be disclosed to officials charged with the 
responsibility to conduct qualitative assessment reviews of internal 
safeguards and management procedures employed in investigative 
operations. This disclosure category includes members of the 
President's Council on Integrity and Efficiency, Executive Council on 
Integrity and Efficiency, and officials and administrative staff within 
their investigative chain of command, as well as authorized officials 
of the Department of Justice and the Federal Bureau of Investigation. 
Recipients shall be required to comply with the requirements of the 
Privacy Act.
    17. To appropriate agencies, entities, and persons when (1) It is 
suspected or confirmed that the security or confidentiality of 
information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    We may disclose the record or information from this system, 
pursuant to 5 U.S.C. 552a(b)(12), to consumer reporting agencies as 
defined in the Fair Credit Reporting Act, 15 U.S.C. 1681a(f) or the 
Federal Claims Collection Act of 1966, as amended, 31 U.S.C. 
3701(a)(3), in accordance with section 3711(f) of Title 31.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored in both a paper and electronic format.

Retrievability:
    The records may be retrieved by the name of the subject of the 
complaint/investigation or by a unique control number assigned to each 
complaint/investigation.

Safeguards:
    The records are maintained in limited access areas within the 
building. Access is limited to Office of Inspector General employees 
whose official duties require access. The paper records and electronic 
information not stored on computers are maintained in lockable cabinets 
in a locked room. Information stored on computers is on a restricted 
access server located in a locked room. All electronic records are 
protected from unauthorized access through appropriate administrative, 
physical, and technical safeguards. These safeguards include the 
application of appropriate access control mechanisms to ensure the 
confidentiality, integrity, and availability of those records are only 
accessed by those with a need to know and dictated by their official 
duties.

Retention and disposal:
    These records will be maintained permanently until disposition 
authority is granted by the National Archives and Records 
Administration. Upon approval, the records will be retained in 
accordance with NARA's schedule and disposed of in a secure manner.

System manager(s) and address:
    Inspector General, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463, (202/694-1015).

Notification procedure:
    A request for notification of the existence of records may be made 
in person or in writing to the FEC Inspector General, 999 E Street, 
NW., Washington, DC 20463. For additional information, refer to the 
Commission's access regulations at 11 CFR parts 1.1-1.5, 41 FR 43064 
(1976).

Record access procedures:
    An individual interested in gaining access to a record pertaining 
to him or her may make a request in person or in writing to the FEC 
Inspector General at the following address: 999 E Street, NW., 
Washington, DC 20463. For additional information, refer to the 
Commission's access regulations at 11 CFR parts 1.1-1.5, 41 FR 43064 
(1976).

Contesting record procedures:
    Individuals interested in contesting the information contained in 
their records or the denial of access to such information should notify 
the FEC Inspector General at the following address: 999 E Street, NW., 
Washington, DC, 20463. For additional information, refer to the 
Commission's regulations for contesting initial denials for access to 
or amendment of records, 11 CFR parts 1.7-1.9, 41 FR 43064 (1976).

Record source categories:
    Complaints, subjects, third parties who have been requested to 
produce relevant information, referring agencies, and OIG personnel 
assigned to handle complaints/investigations.

Exemptions claimed for the system:
    System exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2). 
See 11 CFR 1.14.

[FR Doc. E7-955 Filed 1-23-07; 8:45 am]
BILLING CODE 6715-01-P