[Federal Register Volume 73, Number 1 (Wednesday, January 2, 2008)]
[Notices]
[Pages 336-361]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-25109]



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Part IV





Federal Election Commission





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Privacy Act of 1974; Systems of Records; Notice

  Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / 
Notices  

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FEDERAL ELECTION COMMISSION

[Notice 2007-28]


Privacy Act of 1974; Systems of Records

AGENCY: Federal Election Commission.

ACTION: Notice of New and Revised Systems of Records.

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SUMMARY: In accordance with the Privacy Act of 1974, as amended, 5 
U.S.C. 552a, the Federal Election Commission (``the FEC'' or ``the 
Commission'' or ``the agency'') is publishing for comment new and 
revised systems of records that are maintained by the Commission. These 
systems have been proposed or revised as a result of a reevaluation of 
the manner in which the Commission maintains records. The Commission is 
deleting an obsolete system of records entitled FEC 4, Mailing Lists, 
and a duplicative system of records entitled FEC 5, Personnel Records. 
The four new proposed systems of records that have been added are 
entitled: FEC 13, Travel Records of Employees; FEC 14, Alternative 
Dispute Resolution Program; FEC 15, Freedom of Information Act System; 
and FEC 16, HSPD-12: Identity Management, Personnel Security, Physical 
and Logical Access Files. With the exception of FEC 12, all other 
systems have been revised to incorporate administrative changes that 
have taken place since the last complete publication of FEC systems of 
records on December 15, 1997.

DATES: Comments on the establishment of the new systems of records, as 
well as the revisions to existing records systems, must be received no 
later than February 1, 2008. The new systems of records and revisions 
will be effective February 11, 2008 unless the Commission receives 
comments that would result in a contrary determination.

ADDRESSES: Comments should be addressed in writing to Lawrence L. 
Calvert, Acting Co-Chief Privacy Officer, Federal Election Commission, 
999 E Street, NW., Washington, DC 20463, by close of business on 
February 1, 2008. Comments may also be sent via electronic mail to 
[email protected].

SUPPLEMENTARY INFORMATION: The Privacy Act regulates the collection, 
maintenance, use and dissemination of information about individuals by 
Federal agencies. Its basic rule generally prohibits the disclosure of 
any individual's ``record,'' if contained in a ``system of records'' to 
a third party without the individual's consent. See 5 U.S.C. 552a(b). A 
``system of records'' is any group of records in which records can be 
retrieved by the individual's name, or by a unique identifier assigned 
to the individual. See 5 U.S.C. 552a(a)(5).
    There are a number of exceptions to the basic rule of nondisclosure 
without consent. Among them is an exception that permits nonconsensual 
disclosure for a ``routine use''--that is, a use compatible with the 
purposes for which the record was collected. 5 U.S.C. 552a(b)(3). 
Individuals are also, again with exceptions, guaranteed access to their 
records, and the right to request amendment of their records if they 
believe the records are inaccurate. See generally 5 U.S.C. 552a(d).
    To facilitate these provisions, each agency must periodically 
review its systems of records and publish a notice in the Federal 
Register containing certain specified information about them. The FEC 
has undertaken and completed such a review. As a result of this review, 
the Commission determined that its Privacy Act notices required 
extensive modifications to more accurately describe the records systems 
currently maintained by the Commission. Rather than making numerous, 
piecemeal revisions, the Commission decided to draft and republish 
updated notices for all of its Privacy Act systems of records. By doing 
so, the Commission hopes to make these notices as clear and accessible 
to the public as possible.
    The public is advised that the ``routine uses'' described herein 
are not the exclusive list of circumstances in which the Commission may 
share Privacy Act protected information with a third party without the 
consent of the individual to whom the records pertain. The ``routine 
use'' exception, 5 U.S.C. 552a(b)(3), is only one of twelve specific 
exceptions to the rule of nondisclosure contained within the Privacy 
Act itself--one of the most important of which is information for which 
disclosure is required pursuant to the Freedom of Information Act, 5 
U.S.C. 552. See 5 U.S.C. 552a(b)(2). Another exception to the rule of 
nondisclosure is disclosure to either House of Congress, or a committee 
of the Congress when the inquiry concerns a matter within the 
committee's jurisdiction. See 5 U.S.C. 552a(b)(9). The proposed changes 
to the FEC's routine uses do not limit or alter these other exceptions. 
Conversely, the inclusion of a ``routine use'' in this notice does not 
necessarily mean that information will always be disclosed under all 
circumstances described as a ``routine use.'' For instance, records in 
FEC 3, Compliance Actions, may not be disclosed even pursuant to a 
routine use if disclosure is prohibited by 2 U.S.C. 437g(a)(12) 
(covering enforcement matters still open) or 2 U.S.C. 437g(a)(4) 
(covering information derived from conciliation attempts in any 
matter). Similarly, records in FEC 12, Inspector General Investigative 
Files, may not be disclosed if a matter is pending.
    The proposed changes to the system entitled FEC 1, Advisory 
Opinions Process include: Revising the ``System name,'' adding data 
elements ``Security classification,'' ``Purpose(s),'' ``Disclosure to 
consumer reporting agencies,'' and ``Exemptions claimed for the 
system'' to comply with Office of Management and Budget (OMB) and 
Federal Register requirements; expanding the ``Categories of 
individuals covered by the system'' and ``Record source categories;'' 
adding routine uses Nos. 3 through 13; updating ``Storage,'' 
``Retrievability,'' ``Safeguards,'' ``Retention and disposal,'' and 
``System manager(s) and address;'' clarifying ``Notification 
procedure,'' ``Record access procedures,'' and ``Contesting record 
procedures;'' and technical revisions.
    The proposed changes to the system entitled FEC 2, Audits and 
Investigations include: Adding data elements ``Security 
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting 
agencies,'' and ``Exemptions claimed for the system'' to comply with 
OMB and Federal Register requirements; expanding the ``Categories of 
individuals covered by the system'' and ``Record source categories;'' 
clarifying the ``Categories of records in the system;'' adding routine 
uses Nos. 3 through 9; updating ``Storage,'' ``Retrievability,'' 
``Safeguards,'' and ``Retention and disposal;'' clarifying 
``Notification procedure;'' ``Record access procedures,'' and 
``Contesting record procedures;'' and technical revisions.
    The proposed changes to the system entitled FEC 3, Compliance 
Actions include: Adding data elements ``Security classification,'' 
``Purpose(s),'' and ``Disclosure to consumer reporting agencies;'' 
expanding the ``Categories of individuals covered by the system'' and 
``Categories of records in the system;'' adding routine uses Nos. 3 
through 15; updating ``Storage,'' ``Retrievability,'' ``Safeguards,'' 
``Retention and disposal,'' and ``System manager(s) and address;'' 
clarifying ``Notification procedure,'' ``Record access procedures,'' 
and ``Contesting record procedures;'' and technical revisions.
    The FEC is deleting the system entitled FEC 4, Mailing Lists, 
because the system of records is no longer searchable by name or other 
unique

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identifier, and thus, does not require a System of Records Notice. The 
FEC is also deleting FEC 5, Personnel Records, because the system is 
covered by Office of Personnel Management government-wide systems of 
records (OPM/GOVT-1, 2, 3, 5 and 10).
    The proposed changes to the system entitled FEC 6, Candidate 
Reports and Designations include: Adding data elements ``Security 
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting 
agencies,'' and ``Exemptions claimed for the system'' to comply with 
OMB and Federal Register requirements; expanding ``Categories of 
individuals covered by the system;'' clarifying ``Categories of records 
in the system;'' deleting routine uses; updating ``System location,'' 
``Storage,'' ``Retrievability,'' ``Safeguards,'' ``Retention and 
disposal,'' and ``System manager(s) and address;'' clarifying 
``Notification procedure,'' ``Record access procedures,'' ``Contesting 
record procedures;'' and ``Record source categories;'' and technical 
revisions.
    The proposed changes to the system entitled FEC 7, Certification 
for Primary Matching Funds and General Elections Campaign Funds 
include: Adding data elements ``Security classification,'' 
``Purpose(s),'' ``Disclosure to consumer reporting agencies,'' and 
``Exemptions claimed for the system;'' updating ``System location;'' 
expanding ``Categories of individuals covered by the system;'' 
clarifying ``Categories of records in the system,'' adding routine uses 
Nos. 3 through 10; updating ``Storage,'' ``Retrievability,'' 
``Safeguards,'' ``Retention and disposal,'' and ``System manager(s) and 
address;'' clarifying ``Notification procedure,'' ``Record access 
procedures,'' and ``Contesting record procedures;'' and technical 
revisions.
    The proposed changes to the system entitled FEC 8, Payroll Records 
include: Adding data elements ``Security classification,'' ``Categories 
of individuals covered by the system,'' ``Purpose(s),'' ``Disclosure to 
consumer reporting agencies;'' and ``Exemptions claimed for the 
system'' to comply with OMB and Federal Register requirements; updating 
``System location;'' expanding ``Categories of records in the system;'' 
re-numbering and adding routine uses Nos. 1 through 33; updating 
``Storage;'' ``Retrievability,'' ``Safeguards,'' and ``System 
manager(s) and address;'' clarifying ``Notification procedure,'' 
``Record access procedures'' and ``Contesting record procedures;'' and 
technical revisions.
    The proposed changes to the system entitled FEC 9, Litigation 
Actions include: Adding data elements ``Security classification,'' 
``Purpose(s),'' ``Disclosure to consumer reporting agencies,'' and 
``Exemptions claimed for the system'' to comply with Federal Register 
requirements; expanding the ``Categories of individuals covered by the 
system'' and ``Categories of records in the system;'' adding routine 
uses Nos. 3-13; updating ``Storage,'' ``Retrievability,'' 
``Safeguards,'' ``Retention and disposal,'' and ``System manager(s) and 
address;'' clarifying the ``Notification procedure,'' ``Record access 
procedures,'' and ``Contesting record procedures;'' and technical 
revisions.
    The proposed changes to the system entitled FEC 10, Letter File. 
Public Communications include: Adding data elements ``Security 
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting 
agencies,'' ``Safeguards,'' and ``Exemptions claimed for the system'' 
to comply with OMB and Federal Register requirements; updating ``System 
location;'' expanding the ``Categories of individuals covered by the 
system;'' clarifying the ``Categories of records in the system,'' 
adding routine uses Nos. 3 through 12; updating ``Retrievability,'' 
``Retention and disposal,'' and ``System manager(s) and address;'' 
clarifying ``Notification procedure;'' ``Record access procedures,'' 
``Contesting record procedures,'' and ``Record source categories;'' and 
technical revisions.
    The proposed changes to the system entitled FEC 11, Contributor 
Name Index System include: Adding data elements ``Security 
classification,'' ``Purpose(s),'' ``Disclosure to consumer reporting 
agencies,'' and ``Exemptions claimed for the system'' to comply with 
OMB and Federal Register requirements; updating ``System location;'' 
expanding ``Categories of individuals covered by the system;'' 
clarifying ``Categories of records in the system;'' deleting routine 
uses; updating ``Storage,'' ``Retrievability,'' ``Safeguards,'' 
``Retention and disposal,'' and ``System manager(s) and address;'' 
clarifying ``Notification procedure,'' ``Record access procedures,'' 
and ``Contesting record procedures,'' expanding ``Record source 
categories;'' and technical revisions.
    The Commission recently published a proposed notice of revised 
system of records covering the system entitled FEC 12, Inspector 
General Investigative Files. 72 FR 3141 (January 24, 2007). Thus, 
changes to FEC 12 include only technical revisions.
    The FEC proposes to establish the system of records entitled FEC 
13, Travel Records of Employees. FEC 13 would cover travel records of 
FEC employees.
    The FEC proposes to establish the system of records entitled FEC 
14, Alternative Dispute Resolution Program. FEC 14 would cover 
documents generated by the FEC's Alternative Dispute Resolution (ADR) 
program. The ADR program was established to provide parties in 
enforcement actions with an alternative method for resolving complaints 
filed against them or for addressing issues identified in the course of 
an FEC audit. The resolution process is designed to promote compliance 
with the Federal Election Campaign Act, as amended and Commission 
regulations and to reduce the cost of processing complaints by 
encouraging settlements outside the FEC's normal enforcement track.
    The FEC proposes to establish the System of Records entitled FEC 
15, FEC Freedom of Information Act System. The Freedom of Information 
Act (FOIA), 5 U.S.C. 552, generally provides any person with the right 
to obtain access to agency records unless the information is protected 
from disclosure by any of the nine exemptions or special law 
enforcement exclusions. FEC 15 would cover records of FEC compliance 
with the Freedom of Information Act (FOIA), such as FOIA requests, 
responses, and appeals.
    The FEC proposes to establish FEC 16, HSPD-12: Identity Management, 
Personal Security, Physical and Logical Access Files. Homeland Security 
Presidential Directive 12 (HSPD-12) requires federal agencies to use a 
common identification credential for both logical and physical access 
to federally controlled facilities and information systems. The FEC 
plans to enter into a shared services support agreement with an 
approved shared service provider to automate the process of issuing 
credentials to all agency employees, contractors, volunteers, and other 
individuals who require routine, long-term access to agency facilities, 
systems, and networks. Credentials are issued based on sound criteria 
to verify an individual's identity, that are strongly resistant to 
fraud, tampering, counterfeiting, and terrorist exploitation, and that 
provide for rapid, electronic authentication of personal identity by a 
provider whose reliability has been established through an official 
accreditation process.
    As required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as 
amended, and OMB Circular A-130, the FEC has submitted a report 
describing the new and altered systems of records covered by this 
notice to the Office of

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Management and Budget and to Congress.

     Dated: December 19, 2007.
Robert D. Lenhard,
Chairman, Federal Election Commission.

Table Of Contents

FEC 1 Advisory Opinions Process.
FEC 2 Audits and Investigations.
FEC 3 Compliance Actions.
FEC 6 Candidate Reports and Designations.
FEC 7 Certification for Primary Matching Funds and General Election 
Campaign Funds.
FEC 8 Payroll Records.
FEC 9 Litigation Actions.
FEC 10 Letter File. Public Communications.
FEC 11 Contributor Name Index System.
FEC 12 Inspector General Investigative Files.
FEC 13 Travel Records of Employees.
FEC 14 Alternative Dispute Resolution Program.
FEC 15 FEC Freedom of Information Act System.
FEC 16 HSPD-12: Identity Management, Personnel Security, Physical 
and Logical Access Files.
FEC 1

System name:
    Advisory Opinions Process.

Security classification:
    Sensitive but unclassified; some records are public.

System location:
    Federal Election Commission, Office of General Counsel, Policy 
Division, 999 E Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals who have submitted correspondence to the FEC requesting 
an advisory opinion under the Federal Election Campaign Act and FEC 
regulations; individuals who have submitted comments regarding advisory 
opinion drafts; current and former FEC staff assigned to handle 
requests.

Categories of records in the system:
    The records in this system include paper and electronic 
correspondence, staff notes, Commissioners' comments, and advisory 
opinion drafts. May include the name, address, telephone number, e-mail 
address, employment information, political activity, and financial 
records of the correspondents.

Authority for maintenance of the system:
    2 U.S.C. 437d(a)(7) and 437f.

Purpose(s):
    The Federal Election Campaign Act of 1971, as amended, requires 
that the FEC render advisory opinions to persons with regard to 
subjects arising under the Act. See 2 U.S.C. 437f. The FEC gathers or 
creates the records in this system in the course of accepting and 
responding to requests for such advisory opinions. Commissioners and 
staff use this system to respond to requests for advisory opinions, and 
the documents are maintained for use as a reference in subsequent 
requests for advisory opinions. Advisory opinions issued before 2001 
are available to the public online at Commission's Public Records 
Office. Advisory opinions, requests, draft opinions, amendments 
considered by the Commission in public session, public comments, and 
similar documents issued after 2001 are available to the public at e 
Public Records Office.

Routine uses of records maintained in the system, including categories 
of users and purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To the news media or the general public, factual information the 
disclosure of which would be in the public interest and which would not 
constitute an unwarranted invasion of personal privacy.
    4. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    6. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    7. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    8. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    9. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person

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properly engaged in investigation or settlement of an administrative 
grievance, complaint, claim, or appeal filed by an employee or former 
employee, but only to the extent that information is relevant and 
necessary to the proceeding. Agencies that may obtain information under 
this routine use include, but are not limited to, the Office of 
Personnel Management, Office of Special Counsel, Merit Systems 
Protection Board, Federal Labor Relations Authority, Equal Employment 
Opportunity Commission, and Office of Government Ethics.
    10. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel management programs and functions) and in their role as an 
investigation agency.
    11. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    12. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    13. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records; microfilm; electronic format on agency computer 
networks.

Retrievability:
    Microfilm and paper records are indexed and retrievable by name of 
requester, date of opinion, request number, subject, citation, or 
phrase, and, as applicable, by microfilm roll and frame number.
    Records maintained in electronic form on agency computer networks 
may be retrieved by agency personnel using Case Management System 
software, the Office of General Counsel (OGC) Internal Index, or the 
Commission's Web site and are retrievable by name of requestor, request 
number, date of opinion, subject, citation, phrase, and name of current 
or former staff who handled the request.
    The Commission's published advisory opinions are available for 
public review in the Commission's Public Records Office and on the 
FEC's Internet web page and are indexed by request number and are full-
text searchable. All advisory opinions and many requests and draft 
opinions are also available on microfilm. Members of the public may 
retrieve any advisory opinion online. For opinions issued after 2001, 
members of the public may view in the Public Records Office, the 
requests, draft opinions, and amendments considered by the Commission 
in public session, public comments, and similar documents. These 
documents are also available on the Commission's Web site.

Safeguards:
    Records in this system of records are under the custody of 
designated employees of the Commission. Access to the records is 
limited to employees requiring access to the information contained 
therein to further the agency's mission. Electronic records that are 
not available on the Commission's Web site are protected from 
unauthorized access through appropriate administrative, physical, and 
technical safeguards. These safeguards include the application of 
appropriate access control mechanisms to ensure the confidentiality, 
integrity, and availability of those records and that they are only 
accessed by those with a need to know and dictated by their official 
duties.

Retention and disposal:
    Paper copies are retained for at least four years from date of 
receipt and subject to disposal thereafter. Electronic and microfilm 
copies are available indefinitely.

System manager(s) and address:
    Associate General Counsel for Policy, Office of General Counsel, 
Federal Election Commission, 999 E Street, NW., Washington, DC 20463, 
(202/694-1650).

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

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

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

Record source categories:
    Information is provided by individual requesters of advisory 
opinions, persons submitting comments to the FEC with regard to the 
request, and FEC staff.

Exemptions claimed for the system:
    None.
FEC 2

System name:
    Audits and Investigations.

Security classification:
    Sensitive but unclassified; some records are public.

[[Page 340]]

System location:
    Federal Election Commission, Audit Division, 999 E Street, NW., 
Washington, DC 20463.

Categories of individuals covered by the system:
    Candidates required to file statements and reports under the 
Federal Election Campaign Act; treasurers or other representatives of 
political committees.

Categories of records in the system:
    Documents related to audits and investigations. The records 
contained in this system may include the name, address, telephone 
number, and financial data of the subjects of audits and 
investigations.

Authority for maintenance of the system:
    2 U.S.C. 437d(a)(9), 437g(a)(2), (5) and 438(a)(8), (9); 26 U.S.C. 
9007, 9038.

Purpose(s):
    The information contained in the records maintained in this system 
is used to verify compliance with the Federal Election Campaign Act and 
to verify compliance with, and eligibility for, funds pursuant to the 
Presidential Campaign Matching Fund Act and the Presidential Primary 
Matching Payment Account Act.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To disclose them to the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To the general public but only to the extent the information is 
contained in, or relates to, a proposed Final Audit Report considered 
by the Commission in public session or is contained in an approved 
Final Audit Report.
    4. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    6. To any source from which information is requested in the course 
of an investigation, to the extent necessary to identify the 
individual, inform the source of the nature and purpose of the 
investigation, and to identify the type of information requested.
    7. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    8. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    9. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records; CD-Rom storage; and electronic format on agency 
networks.

Retrievability:
    Indexed by name of auditee. The public may retrieve approved Final 
Audit Reports from a page on the Commission's Web site.

Safeguards:
    Paper records are retained in locked safes in limited access 
locations. Access is limited to FEC staff on a restricted basis and to 
appropriate law enforcement agencies as directed by the Commission. 
Auditors in the field keep their audit documents under personal 
supervision or in locked cases. CD-ROMs are kept in locked file 
cabinets. All electronic records are protected from unauthorized access 
through appropriate administrative, physical, and technical safeguards. 
These safeguards include the application of appropriate access control 
mechanisms to ensure the confidentiality, integrity, and availability 
of those records and that they are only accessed by those with a need 
to know and dictated by their official duties.

[[Page 341]]

Retention and disposal:
    Records are maintained and disposed of in accordance with FEC 
records control schedules.

System manager(s) and address:
    Assistant Staff Director for Audit, Federal Election Commission, 
999 E Street, NW., Washington, DC 20463, (202/694-1200).

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

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

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

Record source categories:
    Information is provided by the candidate's authorized campaign 
committee, political committees, and political action committees. 
Information also may be obtained by subpoena from vendors and other 
individuals.

Exemptions claimed for the system:
    With respect to open audits, this system is exempt pursuant to the 
provisions of 5 U.S.C 552a(k)(2). See 11 CFR 1.14. When the audit is 
closed, copies of final reports are available on the public record.
FEC 3

System name:
    Compliance Actions.

Security classification:
    Sensitive but unclassified; some material is public.

System location:
    Federal Election Commission, Office of General Counsel, Complaints 
Examinations & Legal Administration Division, 999 E Street, NW., 
Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals who have filed complaints under the Federal Election 
Campaign Act (2 U.S.C. 431 et seq.) (complainants); individuals who are 
the subjects of complaints (respondents), including treasurers of 
respondent political committees, and counsel; candidates filing late or 
inaccurate reports, or no reports; witnesses and other individuals 
providing information with respect to a compliance matter; and current 
and former FEC personnel, including RAD analysts, auditors, attorneys 
and investigators.

Categories of records in the system:
    Complaints, sua-sponte submissions, referrals, and responses 
thereto; documents generated in the course of internally-generated 
investigations of reports on file at the Commission; documents 
generated and received in the course of investigations of complaints 
and referrals, including General Counsel's Reports, briefs, deposition 
and transcripts, interrogatories and responses thereto, hearing 
records, Subpoenas and orders, documents received from other government 
agencies, other documentary evidence, documents in the course of 
conciliation, and memoranda and notes created by agency personnel with 
respect to investigations. May include the name, address, Social 
Security Number, telephone number, e-mail address, employment 
information, education, political activity records, tax records, travel 
records, and financial records of the subjects of compliance actions or 
other individuals covered by the system.

Authority for maintenance of the system:
    2 U.S.C. 437g(a)(1), (2), (4) and (5); 438(a)(7) and 438(b); 26 
U.S.C. 9006 and 9038.

Purpose(s):
    The Federal Election Campaign Act of 1971, as amended, requires 
that the FEC enforce the provisions of the Act. The FEC gathers or 
creates the records in this system in the course of investigating and 
acting as civil prosecutor for alleged violations of the Act. While any 
compliance action is active, these records are maintained as the 
agency's working or investigative file for the Matter Under Review 
(MUR). Based upon information contained in the file, recommendations 
are made to the Commission as to the disposition of a case, and the 
Commission acts upon those recommendations. The Associate General 
Counsel assigns compliance actions to an attorney and/or to appropriate 
staff for investigation. Administrative action pursuant to 2 U.S.C. 
437g and civil litigation are handled by the General Counsel's Office. 
Upon the closing of the compliance matter, certain documents are placed 
on the public record.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review,

[[Page 342]]

use of such records is relevant and necessary to the litigation, 
provided, however, that the agency determines that disclosure of the 
records is compatible with the purpose for which the records were 
collected.
    3. To the Attorney General of the United States to refer evidence 
of knowing and willful violations of the law.
    4. Upon the closing of the compliance matter, to place certain 
documents on the public record of the agency, pursuant to guidance 
promulgated by the Commission. Before the documents are released to the 
public, Commission personnel review and redact information that is not 
disclosable under the Freedom of Information Act, such as personal 
information (i.e., home addresses, home telephone numbers, and bank 
account numbers).
    5. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law for purposes of 
reporting the information to those authorities pursuant to 2 U.S.C. 
437d(a)(9) or as otherwise necessary to facilitate parallel 
investigations or to assist the other agency with the investigation or 
prosecution of a matter within its jurisdiction.
    6. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    7. To any source from which information is requested in the course 
of an investigation, to the extent necessary to identify the 
individual, inform the source of the nature and purpose of the 
investigation, and to identify the type of information requested.
    8. To a Federal, State, local, foreign, tribal or other public 
authority of the fact that this system of records contains information 
relevant to the retention of an employee, the retention of a security 
clearance, the letting of a contract, or the issuance or retention of a 
license, grant, or other benefit. The other agency or licensing 
organization may then make a request supported by written consent of 
the individual for the entire record if it so chooses. No disclosure 
will be made unless the information has been determined to be 
sufficiently reliable to support a referral to another office within 
the agency or to another Federal agency for criminal, civil, 
administrative, personnel, or regulatory action.
    9. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    10. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    11. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    12. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel management programs and functions) and in their role as an 
investigation agency.
    13. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    14. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    15. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    Pursuant to 5 U.S.C. 552a(b)(12), records can be disclosed to 
consumer reporting agencies as they are defined in the Fair Credit 
Reporting Act.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in electronic form on agency computer 
networks, on

Retrievability:
    Microfilm and paper records are indexed and retrievable by name of 
complainant or respondent, by compliance action number, or by microfilm 
roll and frame number, as appropriate.
    Electronic records are maintained on agency computer networks and 
may be retrieved using software systems that support the agency's 
compliance mission. The Case Management System (CMS), Concordance, and 
Docs open databases are available only to agency personnel. When a 
compliance matter has been closed, certain records are placed on the 
agency's public record, and may be retrieved by the public through the 
agency's Web site using the Enforcement Query System.

Safeguards:
    Records in this system of records are under the custody of 
designated employees of the Commission. Access to the records is 
limited to employees requiring access to the information contained 
therein to further the agency's compliance mission. Paper and

[[Page 343]]

microfilm records in this system are kept in locked filing cabinets in 
limited access areas under personal surveillance during working hours, 
and in locked filing cabinets in locked rooms at other times. All 
electronic records are protected from unauthorized access through 
appropriate administrative, physical, and technical safeguards. These 
safeguards include the application of appropriate access control 
mechanisms to ensure the confidentiality, integrity, and availability 
of those records and that they are only accessed by those with a need 
to know and dictated by their official duties. Prior to making 
documents publicly available through the Electronic Query System, the 
Office of General Counsel thoroughly reviews each record to remove 
information deemed to be exempt under the Freedom of Information Act.

Retention and disposal:
    Records are maintained and disposed of in accordance with FEC 
records control schedules.

System manager(s) and address:
    Special Counsel for Complaints Examinations & Legal Administration, 
Office of General Counsel, Federal Election Commission, 999 E Street, 
NW., Washington, DC 20463, (202/694-1650).

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

Record access procedures:
    An individual interested in gaining access to a record pertaining 
to him or her may make a request in person or in writing to the Special 
Counsel for Complaints Examinations & Legal Administration, Office of 
General Counsel, Federal Election Commission at the following address: 
999 E Street, NW., Washington, DC 20463. For additional information, 
refer to the Commission's access regulations at 11 CFR parts 1.1-1.5, 
41 FR 43064 (1976).

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

Record source categories:
    Information is obtained from a variety of sources, including but 
not limited to complainants, respondents, third parties who have been 
requested, or subpoenaed, to produce relevant information, referrals, 
other Federal, State, or local authorities, financial institutions, and 
the Federal Election Commission. Information is also obtained from 
individuals covered by the system.

Exemptions claimed for the system:
    With respect to open investigations, the system is exempt pursuant 
to 5 U.S.C. 552a(k)(2). See 11 CFR part 1.14.
FEC 6

System name:
    Candidate Reports and Designations.

Security classification:
    Public.

System location:
    Federal Election Commission, Public Disclosure Division, 999 E 
Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Candidates for Federal office required to file reports of 
contributions and expenditures; sources of receipts and recipients of 
disbursements, including contributors and vendors; and treasurers of 
Candidate Committees.

Categories of records in the system:
    Reports and Statements of candidates; reports by delegates and 
other persons making contributions or independent expenditures; and 
designations on behalf of a Federal candidate but not through a 
political committee, candidate, or authorized committee or agent of a 
candidate. May include the name, address, telephone number, e-mail 
address, employment information, political affiliation and financial 
records of the candidate or treasurer. May include the name, address, 
occupation, name of employer, and amounts of contribution of any person 
who contributes more than $200 in a calendar year to a Federal 
political committee (or $200 in an election cycle, in the case of 
contributors to the authorized committee of candidates for Federal 
office).

Authority for maintenance of the system:
    2 U.S.C. 432(e), 434, 437b(a)(1), and 438(a)(4).

Purpose(s):
    The information contained in the records maintained in this system 
is used to inform the public of the amounts raised and spent by 
authorized committees of candidates for Federal office and other 
Federal political committees as well as the sources from which the 
amounts are raised and the recipients of the amounts spent; also, to 
verify compliance with the Federal Election Campaign Act. The 
Commission is required to make this information public pursuant to 2 
U.S.C. 438(a)(4).

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    None involving nonpublic information. All records in this system 
are public pursuant to 2 U.S.C. 438(a)(4).

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records, microfilm, electronic format on agency computer 
networks, and on the Internet at the FEC's web page.

Retrievability:
    Paper and microfilm records are retrievable by candidate name, 
candidate identification (ID) number, committee name, committee ID 
number, or by the State in which candidate seeks election; electronic 
records are retrievable by candidate name, candidate ID number, 
committee name, committee ID number, or by the State or district in 
which the candidate seeks election.
    All electronic searches may be conducted by any member of the 
public using the Commission's Web site.

Safeguards:
    Original copies of records in this system are located in locked 
filing cabinets or are maintained on password protected agency computer 
networks. All electronic records are protected from unauthorized access 
through appropriate administrative, physical, and technical safeguards.

[[Page 344]]

Retention and disposal:
    Reports are preserved for a 10-year period except that reports 
relating solely to candidates for the House of Representative are 
preserved for 5 years from the date of receipt. Microfilm and 
electronic records are maintained and disposed of in accordance with 
FEC records control schedules.

System manager(s) and address:
    Assistant Staff Director for Disclosure, Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463, (202/694-1120).

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

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

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

Record source categories:
    Candidate committee disclosure reports and designations filed with 
the FEC.

Exemptions claimed for the system:
    None.
FEC 7

System name:
    Certification for primary matching funds and general election 
campaign funds.

Security classification:
    Sensitive but unclassified; some records are public.

System location:
    Federal Election Commission, Audit Division, 999 E Street, NW., 
Washington, DC 20463.

Categories of records in the system:
    Candidates for nomination or election to the Office of President of 
the United States and contributors whose contributions are matched 
under the Matching Payment Act.

Categories of records in the system:
    Certification forms and supporting data requesting matching funds 
or election funds including the candidate agreement. May include the 
name, address, telephone number, e-mail address, employment 
information, political activity or affiliations and financial records 
of the candidates. May include the names, addresses, occupations, names 
of employers, and dates and amounts of contributions of contributors.

Authority for maintenance of the system:
    26 U.S.C. 9003, 9006; 26 U.S.C. 9033, 9036, 9037.

Purpose(s):
    To assist the Commission in facilitating the primary matching funds 
and general election campaign funds programs for Presidential primary 
candidates and nominees. Presidential candidates who seek matching 
funds must submit information about matchable contributions to the FEC 
for review. These files are available to the public and are placed on 
the FEC's Internet site. Before receiving matching funds, candidates 
must also provide a letter of agreement (candidate agreement) stating 
they accept the conditions for receiving matching grants.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To the news media or the general public, factual information the 
disclosure of which would be in the public interest and which would not 
constitute an unwarranted invasion of personal privacy. However, under 
2 U.S.C. 438a(4), any information copied from financial disclosure 
reports shall not be sold or utilized by any person for the purposes of 
soliciting contributions or for any commercial purpose.
    4. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or

[[Page 345]]

activities that disrupt the operation of Commission facilities.
    6. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    7. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    8. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    9. To the Department of Treasury in connection with issuing 
matching funds to qualified recipients.
    10. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    Pursuant to 5 U.S.C. 552a(b)(12), records can be disclosed to 
consumer reporting agencies as they are defined in the Fair Credit 
Reporting Act.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records; CD-Rom storage; electronic format on agency computer 
networks.

Retrievability:
    Indexed and retrievable by name of candidate, committee ID, and 
candidate ID. Matching funds submissions are retrievable by members of 
the public on a page on the agency's public Web site.

Safeguards:
    Paper records and CD-ROMs are kept in locked file cabinets in 
limited access areas under personal surveillance during working hours 
and in locked rooms at other times. All electronic records are 
protected from unauthorized access through appropriate administrative, 
physical, and technical safeguards. These safeguards include the 
application of appropriate access control mechanisms to ensure the 
confidentiality, integrity, and availability of those records and that 
they are only accessed by those with a need to know and dictated by 
their official duties.

Retention and disposal:
    Records are maintained and disposed of in accordance with FEC 
records control schedules.

System manager(s) and address:
    Assistant Staff Director for Audit, Federal Election Commission, 
999 E Street, NW., Washington, DC 20463, (202/694-3440).

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

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

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

Record source categories:
    Certification reports and candidate agreements filed with the 
Commission.

Exemptions claimed for the system:
    None.
FEC 8

System name:
    Payroll records.

Security classification:
    Sensitive but unclassified.

System location:
    Federal Election Commission, Finance Division, 999 E Street, NW., 
Washington, DC 20463 and on a computer system located in the Department 
of Agriculture's National Finance Center, New Orleans, Louisiana.

Categories of individuals covered by the system:
    All FEC employees.

Categories of records in the system:
    Varied payroll records, including, among other documents, time and 
attendance cards; payment vouchers; comprehensive listing of employees; 
health and other benefit records; requests for deductions; tax forms; 
W-2 forms; headcount data; overtime requests; leave data; and 
retirement records. May include names, addresses, telephone numbers, 
marital status, date of birth, e-mail addresses, employment and 
education history, health and financial information.

Authority for maintenance of the system:
    31 U.S.C., generally. Also, 2 U.S.C. 437c(f).

Purpose(s):
    Records in this system are used by the Commission to maintain 
adequate payroll information on Commission employees, to measure 
employee performance, record time and attendance, and file reports with 
appropriate authorities.

[[Page 346]]

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    4. To a Federal agency, in response to its request, in connection 
with the hiring or retention of an employee, the issuance of a security 
clearance, the reporting of an investigation of an employee, the 
letting of a contract, or the issuance of a license, grant or other 
benefit by the requesting agency, to the extent that the information is 
relevant and necessary to the requesting agency's decision in the 
matter.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    6. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    7. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    8. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency.
    Recipients shall be required to comply with the requirements of the 
Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    9. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    10. To the Office of Personnel Management in accordance with the 
agency's responsibility for evaluation and oversight of Federal 
personnel management.
    11. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    12. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    13. To debt collection contractors to collect debts owed to the 
Government, as authorized under the Debt Collection Act of 1982, 31 
U.S.C. 3718, and subject to the Privacy Act safeguards.
    14. To the Office of Child Support Enforcement Administration for 
Children and Families, Department of Health and Human Services Federal 
Parent Locator Service (FPLS) and Federal Tax Offset System for use in 
locating individuals and identifying their income sources to establish 
paternity, establish and modify orders of support and for enforcement 
action.
    15. To the Office of Child Support Enforcement for release to the 
Social Security Administration for verifying Social Security Numbers in 
connection with the operation of the FPLS by the Office of Child 
Support Enforcement.
    16. To the Office of Child Support Enforcement for release to the 
Department of Treasury for purposes of administering the Earned Income 
Tax Credit Program (Section 32, Internal Revenue Code of 1986) and 
verifying a claim with respect to employment in a tax return.
    17. To officers and employees of a Federal agency for purposes of 
an audit.
    18. To the General Accounting Office for audits; to the Internal 
Revenue Service for investigation; and to individual representatives, 
pursuant to a power of attorney.
    19. To audit firms or other contractors conducting audits or 
studies of FEC's financial or computer systems or processes in 
accordance with the Accountability of Tax Dollars Act of

[[Page 347]]

2002, other laws, or special studies requested by management.
    20. To a State and city, or other local jurisdiction that is 
authorized to tax the employee's compensation, a copy of an employee's 
Department of Treasury form W-2, wage and tax statement. The record 
will be provided in accordance with a withholding agreement between the 
State, city, or other local jurisdiction and the Department of the 
Treasury, pursuant to 5 U.S.C. 5516, 5517, or 5520, or, in the absence 
thereof, in response to a written request from an appropriate official 
of the taxing jurisdiction to the Accounting Officer, Federal Election 
Commission, Washington, DC 20463. The request must include a copy of 
the applicable statute or ordinance authorizing the taxation of 
compensation and should indicate whether the authority of the 
jurisdiction to tax the employee is based on place of residence, place 
of employment, or both.
    a. Pursuant to a withholding agreement between a city and the 
Department of Treasury (5 U.S.C. 5520), copies of executed city tax 
withholding certificates shall be furnished to the city in response to 
a written request from an appropriate city official to the Accounting 
Officer.
    b. In the absence of a withholding agreement, the Social Security 
Number will be furnished only to a taxing jurisdiction that has 
furnished this agency with evidence of its independent authority to 
compel disclosure of the Social Security Number, in accordance with 
Section 7 of the Privacy Act.
    21. To the Department of Agriculture, National Finance Center, to 
credit Thrift Savings Plan deductions and loan payments to employee 
accounts.
    22. To the Department of Treasury to issue checks, make payments, 
make electronic funds transfers, and issue U.S. Savings Bonds.
    23. To the Department of Labor in connection with a claim filed by 
an employee for compensation due to a job connected injury or illness.
    24. To the Internal Revenue Service; Social Security 
Administration; and State and local tax authorities in connection with 
the withholding of employment taxes.
    25. To the Combined Federal Campaign in connection with payroll 
deductions for charitable contributions.
    26. To State Unemployment Offices in connection with a claim filed 
by former employees for unemployment benefits.
    27. To the Office of Personnel Management and to Health Benefit 
carriers in connection with enrollment and payroll deductions.
    28. To the Office of Personnel Management in connection with 
employee retirement and life insurance deductions.
    29. To the Office of Management and Budget and Department of the 
Treasury to provide required reports on financial management 
responsibilities.
    30. To provide information as necessary to other Federal, State, 
local or foreign agencies conducting computer matching programs to help 
eliminate fraud and abuse and to detect unauthorized overpayments made 
to individuals. When disclosures are made as part of computer matching 
programs, FEC will comply with the Computer Matching and Privacy 
Protection Act of 1988.
    31. To the Internal Revenue Service in connection with withholdings 
for tax levies.
    32. To the General Services Administration, which has been engaged 
to assist the agency in processing and administering certain functions 
related to this system of records.
    33. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper records and electronic format on agency computer networks. 
Primary computer files stored on server hard-drives with tape backup 
for all records located at 999 E Street, NW., Washington, DC and at the 
National Finance Center in New Orleans, Louisiana.

Retrievability:
    Records are accessible via last name or Social Security Number. 
Employees have online access to portions of their own files via their 
last name and/or Social Security Number and/or PIN through the National 
Finance Center Web site.

Safeguards:
    Paper Records are kept in locked file cabinets located in a cipher-
locked room. All electronic records are protected from unauthorized 
access through appropriate administrative, physical, and technical 
safeguards. These safeguards include the application of appropriate 
access control mechanisms to ensure the confidentiality, integrity, and 
availability of those records and that they are only accessed by those 
with a need to know and dictated by their official duties.

Retention and disposal:
    Disposition of records shall be in accordance with the HB GSA 
Records Maintenance and Disposition System (OAD P 1820.2).

System manager(s) and address:
    Accounting Officer, Office of the Chief Financial Officer, Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463, (202/694-
1230).

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

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

Contesting record procedures:
    Individuals interested in contesting the information contained in 
their records or the denial of access to such information should notify 
the Accounting Officer, Office of the Chief Financial Officer, Federal 
Election Commission at the following address:

[[Page 348]]

999 E Street, NW., Washington DC, 20463. For additional information, 
refer to the Commission's regulations for contesting initial denials 
for access to or amendment of records, 11 CFR parts 1.7-1.9, 41 FR 
43064 (1976).

Record source categories:
    The subject individual; the Federal Election Commission.

Exemptions claimed for the system:
    None.
FEC 9

System name:
    Litigation Actions.

Security classification:
    Sensitive but unclassified; some material may be made public as 
part of court filings or other judicial proceedings.

System location:
    Federal Election Commission, Office of General Counsel, Litigation 
Division, 999 E Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals, and their counsel, who have brought judicial action 
against the Commission and individuals, and their counsel, against whom 
the Commission has brought judicial action pursuant to 2 U.S.C. 437g or 
437h, 26 U.S.C. 9011 or 9041, 5 U.S.C. 552 or any other statute; 
witnesses, and their counsel; individuals or organizations filing 
amicus briefs; current and former FEC staff assigned to handle the 
matter.

Categories of records in the system:
    All documents incident to a lawsuit, including pleadings, discovery 
materials, motions, briefs, inter-office communications, memoranda, 
orders, and correspondence with opposing counsel, joint counsel or the 
Department of Justice. May include the name, address, telephone number, 
e-mail address, employment information, political activity or 
affiliations and financial records of any individual covered by the 
system.

Authority for maintenance of the system:
    2 U.S.C. 437g(a)(6), 437g(a)(8), 437g(a)(11), and 437h; Bipartisan 
Campaign Reform Act of 2002, Pub. L. 107-155, 116 Stat. 81, sec. 403.

Purpose(s):
    The Federal Election Campaign Act of 1971, as amended, authorizes 
the FEC to prosecute and defend certain litigation in the Federal 
courts. See, e.g., 2 U.S.C. 437g(a). The FEC gathers or creates the 
records in this system in the course of prosecuting or defending such 
litigation. These records are maintained for historical purposes and 
for consultation as precedent in subsequent judicial or administrative 
actions.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To the news media or the general public, factual information the 
disclosure of which would be in the public interest and which would not 
constitute an unwarranted invasion of personal privacy.
    4. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    6. To any source or potential source from which information is 
requested in the course of an investigation concerning the retention of 
an employee or other personnel action (other than hiring), or the 
retention of a security clearance, contract, grant, license, or other 
benefit, to the extent necessary to identify the individual, inform the 
source of the nature and purpose of the investigation, and to identify 
the type of information requested.
    7. To a Federal, State, local, foreign, tribal or other public 
authority of the fact that this system of records contains information 
relevant to the retention of an employee, the retention of a security 
clearance, the letting of a contract, or the issuance or retention of a 
license, grant, or other benefit. The other agency or licensing 
organization may then make a request supported by written consent of 
the individual for the entire record if it so chooses. No disclosure 
will be made unless the information has been determined to be 
sufficiently reliable to support a referral to another office within 
the agency or to another Federal agency for criminal, civil, 
administrative, personnel, or regulatory action.
    8. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    9. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the

[[Page 349]]

Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    10. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    11. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    12. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    13. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper record; microfilm; electronic form on agency computer 
networks or other electronic recording media.

Retrievability:
    Microfilm and paper records are indexed by name of party litigant 
and, as applicable, by microfilm roll and frame number.
    Electronic records may be retrieved using the agency computer 
network and shared drawers, Case Management System (CMS), LSI Imaging 
system, Docs open, DVDs, and Concordance databases.

Safeguards:
    Access to the records is limited to employees with a need to know 
the information to conduct civil litigation on behalf of the agency or 
to ensure legal consistency in other proceedings.
    Microfilm and paper records are kept in locked filing cabinets or 
in limited access areas under personal surveillance during working 
hours, and in locked rooms at other times.
    All electronic records are protected from unauthorized access 
through appropriate administrative, physical, and technical safeguards. 
These safeguards include the application of appropriate access control 
mechanisms to ensure the confidentiality, integrity, and availability 
of those records and that they are only accessed by those with a need 
to know and dictated by their official duties.

Retention and disposal:
    Records are maintained and disposed of in accordance with FEC 
records control schedules.

System manager(s) and address:
    Associate General Counsel for Litigation, Office of General 
Counsel, Federal Election Commission, 999 E Street, NW., Washington, DC 
20463, (202/694-1650).

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

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

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

Record source categories:
    Information is obtained from a variety of sources, including but 
not limited to individual party litigants and counsel, witnesses, third 
parties, other agencies, court personnel and the Federal Election 
Commission.

Exemptions claimed for the system:
    Records in this system are exempt from individual access under 5 
U.S.C. 552a(d)(5).
FEC 10

System name:
    Letter File. Public Communications.

Security classification:
    Sensitive but unclassified.

System location:
    Federal Election Commission, Information Division, 999 E Street, 
NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals who have written to the FEC requesting answers to 
specific questions related to the Federal Election Campaign Act, as 
amended; current and former FEC staff assigned to handle requests for 
information.

Categories of records in the system:
    Requests for information and FEC responses thereto. May include 
name, address, telephone number, e-mail address of the requestors.

Authority for maintenance of the system:
    2 U.S.C. 438(a).

Purpose(s):
    Commission staff maintain these records to respond to and manage

[[Page 350]]

inquiries directed to the Commission. The documents are also retained 
for use as a reference in subsequent requests for information and to 
keep track of the types of inquiries received by the Commission.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    4. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    5. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    6. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    7. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    8. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    9. To the Office of Personnel Management for matters concerned with 
oversight activities (necessary for the Office of Personnel Management 
to carry out its legally-authorized Government-wide personnel 
management programs and functions) and in their role as an 
investigation agency.
    10. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    11. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    12. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in electronic form on agency computer 
networks and as paper records.

Safeguards:
    Records are under the custody of designated employees of the 
Commission. Access to the records is limited to employees requiring 
access. All electronic records are protected from unauthorized access 
through

[[Page 351]]

appropriate administrative, physical, and technical safeguards. These 
safeguards include the application of appropriate access control 
mechanisms to ensure the confidentiality, integrity, and availability 
of those records and that they are only accessed by those with a need 
to know and dictated by their official duties.

Retrievability:
    Records may be retrieved by name of the requester.

Retention and disposal:
    Retained in-house for one year; shipped afterward to general 
storage in accordance with FEC records control schedules.

System manager(s) and address:
    Assistant Staff Director for Information, Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463, (202/694-1100).

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

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

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

Record source categories:
    Individuals who submit requests for information to the Commission 
in writing.

Exemptions claimed for the system:
    None.
FEC 11

System name:
    Contributor Name Index System.

Security classification:
    Public.

System location:
    Federal Election Commission, Information Technology Division, 999 E 
Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals who have been listed on campaign finance reports as 
having given an aggregate amount in excess of $200 or more in a 
calendar year to a candidate for Federal office required to file 
reports of contributions and expenditures, sources of receipts and 
recipients of disbursements.

Categories of records in the system:
    Names of contributors, City, State and zip code, occupation, 
employer, and contribution amount.

Authority for maintenance of the system:
    2 U.S.C. 434 and 441a.

Purpose(s):
    The information contained in this system of records is used to 
inform the public of the amounts raised and spent by candidates for 
Federal office, as well as the source from which the amounts are raised 
and the recipients of the amounts spent; also to verify compliance with 
the Federal Election Campaign Act.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    None involving nonpublic information. All records in this system 
are public.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Electronic format on agency computer networks on the Internet at 
the FEC's web page.

Retrievability:
    Indexed by last name of contributor and by name of recipient 
committee. Retrieval may be accomplished by any member of the public 
using the Commission's Web site.

Safeguards:
    All electronic records are protected from unauthorized access 
through appropriate administrative, physical, and technical safeguards. 
These safeguards include the application of appropriate access control 
mechanisms to ensure the confidentiality, integrity, and availability 
of those records and that they are only accessed by those with a need 
to know and dictated by their official duties.

Retention and disposal:
    Records are maintained and disposed of in accordance with FEC 
records control schedules.

System manager(s) and address:
    Deputy Staff Director/Chief Information Officer, Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463, (202/694-1250).

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

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

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

Record source categories:
    Individual contributors, candidate and political committees.

Exemptions claimed for the system:
    None.
FEC 12

System name:
    Inspector General Investigative Files.

[[Page 352]]

Security classification:
    Sensitive but unclassified.

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

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

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

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

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

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed by the Inspector 
General, after careful review, to be relevant and necessary to the 
litigation, provided, however, that in each case the Inspector General 
determines that disclosure of the records to the Department of Justice 
is a use of the information contained in the records that is compatible 
with the purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Inspector 
General determines that, after careful review, the use of such records 
is relevant and necessary to the litigation, provided, however, that 
the Inspector General determines that disclosure of the records is 
compatible with the purpose for which the records were collected.
    3. To the appropriate Federal, foreign, State, local, tribal, or 
other public authority responsible for enforcing, investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute, rule, regulation, or order issued pursuant thereto, when 
information indicates a violation or potential violation of law, 
whether civil, criminal or regulatory in nature, and whether arising by 
general statute or particular program statute, or by regulation, rule, 
or order issued pursuant thereto, if the information disclosed is 
relevant to any enforcement, regulatory, investigative or prosecutorial 
responsibility of the receiving entity.
    4. To any source or potential source from which information is 
requested in the course of an investigation concerning the retention of 
an employee or other personnel action (other than hiring), or the 
retention of a security clearance, contract, grant, license, or other 
benefit, to the extent necessary to identify the individual, inform the 
source of the nature and purpose of the investigation, and to identify 
the type of information requested.
    5. To a Federal, State, local, foreign, tribal or other public 
authority of the fact that this system of records contains information 
relevant to the retention of an employee, the retention of a security 
clearance, the letting of a contract, or the issuance or retention of a 
license, grant, or other benefit. The other agency or licensing 
organization may then make a request supported by written consent of 
the individual for the entire record if it so chooses. No disclosure 
will be made unless the information has been determined to be 
sufficiently reliable to support a referral to another office within 
the agency or to another Federal agency for criminal, civil, 
administrative, personnel, or regulatory action.
    6. To the White House in response to an inquiry made at the written 
request of the individual about whom the record is maintained. 
Disclosure will not be made until the White House has furnished 
appropriate documentation of the individual's request, such as a copy 
of the individual's written request.
    7. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    8. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    9. To agency or OIG contractors (including employees of 
contractors), grantees, experts, or volunteers who have been engaged to 
assist the agency or OIG in the performance of a contract, service, 
grant, cooperative agreement, or other activity related to this system 
of records and who need to have access to the records in order to 
perform the activity for the agency or OIG. Recipients shall be 
required to comply with the requirements of the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a.
    10. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or

[[Page 353]]

settlement of an administrative grievance, complaint, claim, or appeal 
filed by an employee or former employee, but only to the extent that 
information is relevant and necessary to the proceeding. Agencies that 
may obtain information under this routine use include, but are not 
limited to, the Office of Personnel Management, Office of Special 
Counsel, Merit Systems Protection Board, Federal Labor Relations 
Authority, Equal Employment Opportunity Commission, and Office of 
Government Ethics.
    11. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel management programs and functions) and in their role as an 
investigation agency.
    12. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    13. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    14. To debt collection contractors to collect debts owed to the 
Government, as authorized under the Debt Collection Act of 1982, 31 
U.S.C. 3718, and subject to the Privacy Act safeguards.
    15. To officials who have been engaged to assist the Office of 
Inspector General in the conduct of inquiries, complaints, and 
investigations who need to have access to the records in order to 
perform the work. This disclosure category includes members of the 
President's Council on Integrity and Efficiency and the Executive 
Council on Integrity and Efficiency, and officials and administrative 
staff within their chain of command. Recipients shall be required to 
comply with the requirements of the Privacy Act.
    16. Information may be disclosed to officials charged with the 
responsibility to conduct qualitative assessment reviews of internal 
safeguards and management procedures employed in investigative 
operations. This disclosure category includes members of the 
President's Council on Integrity and Efficiency, Executive Council on 
Integrity and Efficiency, and officials and administrative staff within 
their investigative chain of command, as well as authorized officials 
of the Department of Justice and the Federal Bureau of Investigation. 
Recipients shall be required to comply with the requirements of the 
Privacy Act.
    17. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

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

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

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

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

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

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

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

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

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

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

[[Page 354]]

Exemptions claimed for the system:
    System exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2).
    See 11 CFR 1.14.
FEC 13

System name:
    Travel Records of Employees.

Security classification:
    Sensitive but unclassified.

System location:
    Federal Election Commission, Administration Division, 999 E Street, 
NW., Washington, DC 20463.

Categories of individuals covered by the system:
    All FEC employees who travel pursuant to authorized official agency 
business.

Categories of records in the system:
    Travel authorizations; travel advance requests; E-travel profiles, 
and travel vouchers, including receipts for hotels, car rentals, meals, 
phone calls, mileage reimbursement and other allowable expenses. May 
include: Name, address, Social Security Number, telephone number, job 
title, grade salary level, security clearance, e-mail address, and 
government credit card information.

Authority for maintenance of the system:
    Travel Expense Amendments Act of 1975 (Pub. L. 94-22).

Purpose(s):
    To facilitate the timely reimbursement to employees for authorized 
and official travel for the FEC.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    4. To any source or potential source from which information is 
requested in the course of an investigation concerning the retention of 
an employee or other personnel action (other than hiring), or the 
retention of a security clearance, contract, grant, license, or other 
benefit, to the extent necessary to identify the individual, inform the 
source of the nature and purpose of the investigation, and to identify 
the type of information requested.
    5. To a Federal, State, local, foreign, tribal or other public 
authority of the fact that this system of records contains information 
relevant to the retention of an employee, the retention of a security 
clearance, the letting of a contract, or the issuance or retention of a 
license, grant, or other benefit. The other agency or licensing 
organization may then make a request supported by written consent of 
the individual for the entire record if it so chooses. No disclosure 
will be made unless the information has been determined to be 
sufficiently reliable to support a referral to another office within 
the agency or to another Federal agency for criminal, civil, 
administrative, personnel, or regulatory action.
    6. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    7. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    8. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    9. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    10. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    11. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel

[[Page 355]]

management programs and functions) and in their role as an 
investigation agency.
    12. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    13. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    14. To the General Services Administration, which has been engaged 
to assist the agency in processing and administering certain functions 
related to this system of records.
    15. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Paper and electronic records.

Retrievability:
    Indexed by employee name.

Safeguards:
    Paper records are locked in file cabinets located in a cipher-
locked room. All electronic records are protected from unauthorized 
access through appropriate administrative, physical, and technical 
safeguards. These safeguards include the application of appropriate 
access control mechanisms to ensure the confidentiality, integrity, and 
availability of those records and that they are only accessed by those 
with a need to know and dictated by their official duties.

Retention and disposal:
    Travel records are maintained for seven years and then disposed of 
in accordance with FEC records control schedules.

System manager(s) and address:
    Accounting Officer, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463, (202/694-1215).

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

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

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

Record source categories:
    The subject individual; the Federal Election Commission.

Exemptions claimed for the system:
    None.
FEC 14

System name:
    Alternative Dispute Resolution Program.

Security classification:
    Sensitive but unclassified; some material may be made public after 
cases are closed.

System location:
    Federal Election Commission, Alternative Dispute Resolution 
Division, 999 E Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Individuals who have filed complaints under the Federal Election 
Campaign Act (2 U.S.C. 431 et seq.) (complainants); individuals who are 
the subjects of complaints (respondents), including treasurers of 
respondent political committees, and counsel; candidates filing late or 
inaccurate reports, or no reports; witnesses and other individuals 
providing information with respect to a compliance matter; agency 
personnel, including attorneys and investigators.

Categories of records in the system:
    Complaints, referrals, and responses thereto; documents generated 
in the course of internally-generated investigations of reports on file 
at the Commission; documents generated and received in the course of 
investigations of complaints and referrals, including depositions, 
interrogatories and responses thereto, other documentary evidence, and 
memoranda and notes created by agency personnel with respect to 
investigations. May include the name, address, telephone number, e-mail 
address, employment information, political activity and financial or 
tax records of the subjects.

Authority for maintenance of the system:
    2 U.S.C. 437g(a)(1), (2), (4) and (5); 438(a)(7) and 438(b); 5 
U.S.C. 572; 26 U.S.C. 9006 and 9038.

Purpose(s):
    The Alternative Dispute Resolution (ADR) Office maintains active 
files on complaints forwarded to it from Commissioners, the Reports 
Analysis Division, the Audit Division, or the Office of General 
Counsel, including matters stemming from audits for cause. The 
Commission determines whether the case is appropriate for the ADR 
program. Resolutions reached in negotiations are submitted to the 
Commissioners for final approval. If a resolution is not reached in 
bilateral

[[Page 356]]

negotiation, the case may proceed to mediation. Upon the closing of the 
ADR matter, certain documents are placed on the public record.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. Upon the closing of the ADR matter, to place certain documents 
on the public record of the agency, pursuant to guidance promulgated by 
the Commission. Personal information is redacted from documents before 
they are made public.
    4. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    6. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    7. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    8. To contractors (including employees of contractors), grantees, 
experts, mediators, or volunteers who have been engaged to assist the 
agency in the performance of a contract, service, grant, cooperative 
agreement, or other activity related to this system of records and who 
need to have access to the records in order to perform the activity for 
the agency. Recipients shall be required to comply with the 
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    9. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    10. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel management programs and functions) and in their role as an 
investigation agency.
    11. To officials of labor organizations when relevant and necessary 
to their duties of exclusive representation concerning personnel 
policies, practices, and matters affecting work conditions.
    12. To agencies, offices, or establishments of the executive, 
legislative, or judicial branch of the Federal or State government 
after receipt of request and where the records or information is 
relevant and necessary to a decision on an employee's disciplinary or 
other administrative action (excluding a decision on hiring). The 
agency will take reasonable steps to ensure that the records are 
timely, relevant, accurate, and complete enough to assure fairness to 
the employee affected by the disciplinary or administrative action.
    13. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

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

Retrievability:
    By ADR case number or name of the respondent.

[[Page 357]]

Safeguards:
    This system is kept in locked filing cabinets in limited access 
areas under personal surveillance during working hours, and in locked 
filing cabinets in locked rooms at other times. All electronic records 
are protected from unauthorized access through appropriate 
administrative, physical, and technical safeguards. These safeguards 
include the application of appropriate access control mechanisms to 
ensure the confidentiality, integrity, and availability of those 
records and that they are only accessed by those with a need to know 
and dictated by their official duties.

Retention and disposal:
    Records are maintained and disposed of on accordance with FEC 
records control schedules.

System manager(s) and address:
    Director, Alternative Dispute Resolution Office, Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463, (202/219-1670).

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

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

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

Record source categories:
    Complainants, respondents or committee treasurers, witnesses, and 
the Federal Election Commission.

Exemptions claimed for the system:
    With respect to open investigations, the system is exempt pursuant 
to 5 U.S.C. 552a(k)(2). See 11 CFR part 1.14.
FEC 15

System name:
    FEC Freedom of Information Act System.

Security classification:
    Sensitive but unclassified; some material may become public under 5 
U.S.C. 552.

System location:
    Federal Election Commission, Office of General Counsel, General Law 
and Advice Division, 999 E Street, NW., Washington, DC 20463.

Categories of individuals covered by the system:
    Persons requesting information from the Commission pursuant to 
provisions of the Freedom of Information Act (FOIA), 5 U.S.C. 552, and 
persons who are the subjects of FOIA requests.

Categories of records in the system:
    Requests, response letters, appeals, appeal determinations and 
electronic tracking data.

Authority for maintenance of the system:
    5 U.S.C. 552; 5 U.S.C. 301; Executive Order 13392.

Purpose(s):
    To enable Commission staff to process FOIA requests and appeals; 
and to prepare an annual report to the Department of Justice on the 
Commission's FOIA activity.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and information contained in the records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. To employees of other Federal agencies when a FOIA request must 
be referred to such an agency for response.
    4. To appropriate Federal, foreign, State, local, tribal, or other 
public authorities responsible for enforcing, investigating or 
prosecuting civil or criminal violations of law or as necessary to 
facilitate parallel investigations or to assist the other agency with 
the investigation or prosecution of a matter within its jurisdiction.
    5. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    6. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    7. To the National Archives and Records Administration or to the

[[Page 358]]

General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    8. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    9. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored in both a paper and electronic format. Requests 
received by e-mail are stored on the FEC's e-mail server.

Retrievability:
    Indexed by name of requester.

Safeguards:
    Paper records are maintained in locked filing cabinets in limited 
access areas under personal surveillance during working hours and in 
locked rooms at other times. All electronic records are protected from 
unauthorized access through appropriate administrative, physical, and 
technical safeguards. These safeguards include the application of 
appropriate access control mechanisms to ensure the confidentiality, 
integrity, and availability of those records and that they are only 
accessed by those with a need to know and dictated by their official 
duties.

Retention and disposal:
    FOIA requests are retained in accordance with General Records 
Schedule 14, as approved by National Archives and Records 
Administration (NARA).

System manager(s) and address:
    Chief FOIA Officer, Federal Election Commission, 999 E Street, NW., 
Washington, DC 20463, (202/694-1650)

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

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

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

Record source categories:
    Persons requesting information from the Commission pursuant to the 
Freedom of Information Act and employees processing the requests.

Exemptions claimed for the system:
    None.
FEC 16

System name:
    HSPD-12: Identity Management, Personnel Security, Physical and 
Logical Access Files.

Security classification:
    Sensitive but unclassified.

System location:
    Data covered by this system is maintained at the Federal Election 
Commission, 999 E Street, NW., Washington, DC 20463.

Catgories of individuals covered by the system:
    (1) Individuals who require regular, ongoing access to agency 
facilities, information technology systems and networks, including 
applicants for employment or contracts with the FEC, agency employees, 
contractors, students, interns, volunteers, affiliates, and individuals 
formerly in any of these positions. The system also includes 
individuals authorized to perform or use services provided in agency 
facilities (e.g., Health Unit).
    (2) Individuals who have been issued HSPD-12 compliant credentials 
from other Federal agencies who require access to agency facilities.
    (3) Visitors and other individuals who require infrequent access to 
agency facilities including services provided in agency facilities.

Categories of records in the system:
    (1) Copies of Forms SF-85, SF-85P, SF-86, SF-87A and FD 258 as 
supplied by individuals covered by the system.
    (2) Enrollment records to be maintained in the system on 
individuals applying for the Personal Identity Verification (PIV) 
program and a PIV credential. May include the following data fields: 
full name, former names, birth date, birth place, Social Security 
Number, signature, home address, phone numbers, employment history, 
residential history, education and degrees earned, applicant ID number, 
digital color photograph, names of associates and references and their 
contact information, citizenship, names of relatives, birthdates and 
places of relatives, citizenship of relatives, names of relatives who 
work for the Federal government, criminal history, mental health 
history, drug use, financial information, fingerprints, biometric 
template (two fingerprints), organization/office of assignment, 
employee affiliation, work e-mail address, work telephone number(s), 
office address, copies of identity source documents, employee status, 
military status, summary report of investigation, results of 
suitability decisions, Government agency code, requests for appeal and 
PIV issuance location. Additional records include copies of letters of 
transmittal between the FEC and the Office of Personnel Management

[[Page 359]]

concerning the individual's background investigation; copies of 
certification clearance status and briefing and/or copies of debriefing 
certificates signed by the individual, as appropriate and copies of PIV 
application forms as supplied by individuals covered by the system.
    (3) Records maintained on individuals issued credentials by the 
agency. May include the following data fields: hair color; eye color, 
height; weight; agency affiliation (i.e., employee, contractor, 
volunteer, etc.); telephone number; PIV card issuance and expiration 
dates, personal identification number (PIN); Cardholder Unique 
Identifier (CHUID); card management keys; results of background 
investigation; PIV request form; PIV registrar approval signature; PIV 
card serial number; digital certificate(s) serial number; copies of I-9 
documents used to verify identification or information derived from 
those documents such as document title, document issuing authority, 
document number, document expiration date, or document other 
information; computer system user name; user access and permission 
rights, authentication certificates; and digital signature information.
    (4) Individuals enrolled in the PIV managed service will be issued 
a PIV card. The PIV card contains the following mandatory visual 
personally identifiable information: name, photograph, employee 
affiliation, organizational affiliation, PIV card expiration date, 
agency card serial number, and color-coding for employee affiliation. 
Additional information may include cardholder physical characteristics 
(height, weight, and eye and hair color). The card also contains an 
integrated circuit chip which is encoded with the following mandatory 
data elements which comprise the standard data model for PIV logical 
credentials: PIV card PIN, cardholder unique identifier (CHUID), PIV 
authentication digital certificate, and two fingerprint biometric 
templates. The PIV data model may also include the following logical 
credentials: digital certificate for digital signature, digital 
certificate for key management, card authentication keys, and card 
management system keys. All PIV logical credentials can only be read by 
machine.
    (5) Records maintained on visitors and other individuals who 
require infrequent access to agency facilities. May include the 
following data fields: Name, signature, image (photograph), Social 
Security Number (or one of the following: driver's license number, 
``green card'' number, visa number, or other ID number), images of 
relevant ID document(s), U.S. Citizenship (yes or no/logical data 
field), date of entry, time of entry, location of entry, time of exit, 
location of exit, purpose of entry, agency point of contact, company 
name, security access category, and access status.

Authority for maintenance of the system:
    5 U.S.C. 301; Executive Order 10450; Homeland Security Presidential 
Directive 12 (HSPD-12), Policy for a Common Identification Standard for 
Federal Employees and Contractors, August 27, 2004; the Federal 
Property and Administrative Services Act of 1949, as amended; and 
Presidential Memorandum on Upgrading Security at Federal Facilities, 
June 28, 1995.

Purpose(s):
    The primary purposes of the system are:
    (1) To document and support decisions regarding:
    (a) Clearance for access to sensitive but unclassified information;
    (b) Suitability, eligibility, and fitness for service of applicants 
for Federal employment and contract positions, including students, 
interns, or volunteers to the extent their duties require access to 
Federal facilities and/or information technology systems and their 
occupants and users;
    (2) To ensure the safety and security of agency facilities and/or 
information technology systems, and their occupants and users;
    (3) To verify that all persons entering agency facilities and/or 
agency information technology systems with or without smart cards are 
authorized to enter them;
    (4) To provide for interoperability and trust in allowing physical 
access to individuals entering Federal facilities; and
    (5) To allow logical access to Federal information systems, 
networks, and resources on a government-wide basis.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    These records and the information contained in these records may be 
disclosed as follows:
    1. To the Department of Justice when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the Department of Justice has agreed to represent the employee; 
or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency or any of its components, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice is deemed, after careful review, 
by the Federal Election Commission to be relevant and necessary to the 
litigation, provided, however, that in each case the agency determines 
that disclosure of the records to the Department of Justice is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    2. To disclose them in a proceeding before a court or adjudicative 
body before which the agency is authorized to appear when:
    a. The agency, or any component thereof; or
    b. Any employee of the agency in his or her official capacity; or
    c. Any employee of the agency in his or her individual capacity 
where the agency has agreed to represent the employee; or
    d. The United States, where the agency determines that litigation 
is likely to affect the agency, or any of its components, is a party to 
litigation or has an interest in such litigation, and the Federal 
Election Commission determines that, after careful review, use of such 
records is relevant and necessary to the litigation, provided, however, 
that the agency determines that disclosure of the records is compatible 
with the purpose for which the records were collected.
    3. Except as noted on Forms SF-85, SF 85-P and SF-86, to 
appropriate Federal, foreign, State, local, tribal, or other public 
authorities responsible for enforcing, investigating or prosecuting 
civil or criminal violations of law or as necessary to facilitate 
parallel investigations or to assist the other agency with the 
investigation or prosecution of a matter within its jurisdiction.
    4. To any source or potential source from which information is 
requested in the course of an investigation concerning the retention of 
an employee or other personnel action (other than hiring), or the 
retention of a security clearance, contract, grant, license, or other 
benefit, to the extent necessary to identify the individual, inform the 
source of the nature and purpose of the investigation, and to identify 
the type of information requested.
    5. To a Federal, State, local, foreign, tribal or other public 
authority of the fact that this system of records contains information 
relevant to the retention of an employee, the retention of a security 
clearance, the letting of a contract, or

[[Page 360]]

the issuance or retention of a license, grant, or other benefit. The 
other agency or licensing organization may then make a request 
supported by written consent of the individual for the entire record if 
it so chooses. No disclosure will be made unless the information has 
been determined to be sufficiently reliable to support a referral to 
another office within the agency or to another Federal agency for 
criminal, civil, administrative, personnel, or regulatory action.
    6. To Federal, State, and local law enforcement agencies and 
private security contractors, as appropriate, to enable them to protect 
the safety of Commission employees and visitors and the security of the 
Commission's workplace; and to assist investigations or prosecutions 
with respect to activities that affect such safety and security or 
activities that disrupt the operation of Commission facilities.
    7. To a congressional office from the record of an individual in 
response to an inquiry from the congressional office made at the 
written request of the individual about whom the record is maintained 
(e.g., a constituent request). Disclosure will not be made until the 
congressional office has furnished appropriate documentation of the 
individual's request, such as a copy of the individual's written 
request.
    8. To the National Archives and Records Administration or to the 
General Services Administration for records management inspections 
conducted under 44 U.S.C. 2903 and 2904.
    9. To contractors (including employees of contractors), grantees, 
experts, or volunteers who have been engaged to assist the agency in 
the performance of a contract, service, grant, cooperative agreement, 
or other activity related to this system of records and who need to 
have access to the records in order to perform the activity for the 
agency. Recipients shall be required to comply with the requirements of 
the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
    10. To an authorized appeal grievance examiner, formal complaints 
examiner, equal employment opportunity investigator, arbitrator or 
other person properly engaged in investigation or settlement of an 
administrative grievance, complaint, claim, or appeal filed by an 
employee or former employee, but only to the extent that information is 
relevant and necessary to the proceeding. Agencies that may obtain 
information under this routine use include, but are not limited to, the 
Office of Personnel Management, Office of Special Counsel, Merit 
Systems Protection Board, Federal Labor Relations Authority, Equal 
Employment Opportunity Commission, and Office of Government Ethics.
    11. To the Office of Personnel Management for matters concerned 
with oversight activities (necessary for the Office of Personnel 
Management to carry out its legally-authorized Government-wide 
personnel management programs and functions) and in their role as an 
investigation agency.
    12. To an official of another Federal agency to provide information 
needed in the performance of official duties related to reconciling or 
reconstructing data files, in support of the functions for which 
records were collected and maintained.
    13. To an approved shared service provider in fulfillment of the 
terms of the HSPD-12 shared services agreement. Note: Although the 
shared service provider will manage the system that produces the 
identity credentials used by the agency, the shared service provider 
will not have access to the content of the data provided by the agency 
except to the extent that is required to provide for its integrity, 
reliability and security.
    14. To other Federal agencies providing enrollment services to the 
shared service provider when the shared service provider has entered 
into agreements with these agencies to provide enrollment services to 
their employees, contractors, etc. but not identification credentials, 
through third party enrollment brokers serving as links in the secure 
chain of custody for the HSPD-12 process.
    15. To appropriate agencies, entities, and persons when (1) the 
agency suspects or has confirmed that the security or confidentiality 
of information in the system of records has been compromised; (2) the 
Commission has determined that as a result of the suspected or 
confirmed compromise there is a risk of harm to economic or property 
interests, identity theft or fraud, or harm to the security or 
integrity of this system or other systems or programs (whether 
maintained by the Commission or another agency or entity) that rely 
upon the compromised information; and (3) the disclosure is made to 
such agencies, entities, and persons who are reasonably necessary to 
assist in connection with the Commission's efforts to respond to the 
suspected or confirmed compromise and prevent, minimize, or remedy such 
harm.
    16. To designated agency personnel for controlled access to 
specific records for the purposes of performing authorized audit or 
authorized oversight and administrative functions. All access is 
controlled systematically through authentication using PIV credentials 
based on access and authorization rules for specific audit and 
administrative functions.

Disclosure to consumer reporting agencies:
    Pursuant to 5 U.S.C. 552a(b)(12), records can be disclosed to 
consumer reporting agencies as they are defined in the Fair Credit 
Reporting Act.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are stored on paper and electronically in a secure 
location.

Retrievability:
    Records are retrievable by name of employee or covered individual, 
Cardholder Unique Identification Number, Applicant ID, Social Security 
Number, and/or by any other unique individual identifier.

Safeguards:
    Access to records covered by the system will be permitted only to 
authorized personnel in accordance with requirements found in agency 
Privacy Act regulations. Persons given roles in the PIV process must 
complete training specific to their roles to ensure they are 
knowledgeable about how to protect individually identifiable 
information regardless of how and where it is stored. Paper records 
will be maintained in locked filing cabinets in limited access areas 
within the Office of Human Resources and Labor Relations under personal 
surveillance during working hours and in locked rooms at other times. 
Access to the records will be limited to those employees who have a 
need for them in the performance of their official duties. All agency 
electronic records will be protected from unauthorized access through 
appropriate administrative, physical, and technical safeguards. These 
safeguards include the application of appropriate access control 
mechanisms to ensure the confidentiality, integrity, and availability 
of those records and that they are only accessed by those with a need 
to know and dictated by their official duties. Should the shared 
service provider be another Federal agency, records maintained by that 
agency may also be subject to the safeguards outlined in that agency's 
systems of records notice.

[[Page 361]]

Retention and disposal:
    (1) Paper personnel security records relating to individuals 
covered by the system are generally retained and disposed in accordance 
with General Records Schedule 18, Item No. 22, approved by the National 
Archives and Records Administration (NARA).
    (2) In accordance with HSPD-12, PIV cards are deactivated within 18 
hours of cardholder separation, loss of card, or expiration. The 
information on PIV cards is maintained in accordance with General 
Records Schedule 11, Item No. 4. PIV cards are destroyed by cross-cut 
shredding no later than 90 days after deactivation.
    (3) Building security records relating to persons covered by this 
system are retained in accordance with General Records Schedule 18, 
Item No. 17. Unless retained for specific ongoing security 
investigations:
    (a) Records relating to individuals other than employees are 
destroyed two years after ID security card expiration date;
    (b) Records relating to date and time of entry and exit of 
employees are destroyed two years after date of entry and exit; and
    (c) All other records relating to employees are destroyed two years 
after ID security card expiration date.

System manager(s) and address:
    (1) For personnel security: Personnel Security Manager, Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463.
    (2) For physical security: Administrative Services Manager, Federal 
Election Commission, 999 E Street, NW., Washington, DC 20463.
    (3) For logical security: Information Systems Security Officer, 
Federal Election Commission, 999 E Street, NW., Washington, DC 20463.

Notification procedures:
    A request for notification of the existence of personnel security 
records may be made in person or in writing and addressed to the FEC 
personnel security manager identified in (1), above. A request for 
notification of the existence of physical security records may be made 
in person or in writing and addressed to the FEC physical security 
manager identified in (2), above. A request for notification of the 
existence of logical security records may be made in person or in 
writing and addressed to the FEC logical security manager identified in 
(3), above. For additional information, refer to the Commission's 
access regulations at 11 CFR parts 1.1-1.5, 41 FR 43064 (1976).

Record access procedures:
    An individual interested in gaining access to a personnel security 
record pertaining to him or her may make a request in person or in 
writing to the FEC personnel security manager identified in (1), above 
at the following address: 999 E Street, NW., Washington, DC 20463. An 
individual interested in gaining access to a physical security record 
pertaining to him or her may make a request in person or in writing to 
the FEC physical security manager identified in (2), above at the 
following address: 999 E Street, NW., Washington, DC 20463. An 
individual interested in gaining access to a logical security record 
pertaining to him or her may make a request in person or in writing to 
the FEC logical security manager identified in (3), above at the 
following address: 999 E Street, NW., Washington, DC 20463. For 
additional information, refer to the Commission's access regulations at 
11 CFR parts 1.1-1.5, 41 FR 43064 (1976).

Contesting record procedures:
    Individuals interested in contesting the information contained in 
their personnel security records or the denial of access to such 
information should notify the FEC personnel security manager identified 
in (1), above at the following address: 999 E Street, NW., Washington, 
DC 20463. Individuals interested in contesting the information 
contained in their physical security records or the denial of access to 
such information should notify the FEC physical security manager 
identified in (2), above at the following address: 999 E Street, NW., 
Washington, DC 20463. Individuals interested in contesting the 
information contained in their logical security records or the denial 
of access to such information should notify the FEC logical security 
manager identified in (3), above at the following address: 999 E 
Street, NW., Washington, DC 20463. For additional information regarding 
contesting initial denials for access to or amendments of Privacy Act 
records, refer to the Commission's regulations at 11 CFR parts 1.7-1.9, 
41 FR 43064 (1976).

Record source categories:
    Information is obtained from a variety of sources including the 
employee, contractor, or applicant via the use of the SF-85, SF-85P, or 
SF-86 and personal interviews; employers' and former employers' 
records; other Federal agencies supplying data on covered individuals; 
FBI criminal history records and other databases; financial 
institutions and credit reports; medical records and health care 
providers; and educational institutions. Information is also obtained 
from individuals covered by the system, supervisors, and designated 
approving officials, as well as other Federal agencies issuing HSPD-12 
compliant cards, and HSPD-12 compliant cards carried by individuals 
seeking access to Commission and other Federal facilities occupied by 
agency employees.

Exemptions claimed for the system:
    None.
[FR Doc. E7-25109 Filed 12-31-07; 8:45 am]
BILLING CODE 6715-01-P