[Federal Register Volume 75, Number 239 (Tuesday, December 14, 2010)]
[Notices]
[Pages 77872-77875]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-31356]


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FEDERAL COMMUNICATIONS COMMISSION


Privacy Act System of Records

AGENCY: Federal Communications Commission (FCC, Commission, or the 
Agency).

ACTION: Notice; one new Privacy Act system of records; two deleted 
systems of records.

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SUMMARY: Pursuant to subsection (e)(4) of the Privacy Act of 1974, as 
amended (``Privacy Act''), 5 U.S.C. 552a, the FCC proposes to add one 
new, consolidated system of records, FCC/EB-5, ``Enforcement Bureau 
Activity Tracking System (EBATS).'' FCC/EB-5, ``EBATS'' will 
incorporate the information, e.g., personally identifiable information 
(PII), presently covered by two FCC systems of records, FCC/EB-1, 
``Violators Files,'' and FCC/EB-3, ``Investigations and Hearings,'' and 
also add new and updated information that pertains to the mission and 
activities of the FCC's Enforcement Bureau (EB or Bureau), including 
spectrum enforcement. Upon both the approval and deployment of FCC/EB-
5, ``EBATS,'' the Commission will cancel FCC/EB-1 and FCC/EB-3. The 
purposes for adding this new system of records, FCC/EB-5, ``EBATS,'' 
are for EB to use the records in this system of records to improve the 
Bureau's operations and work flow, increase its reporting capabilities, 
and improve the reliability and consistency of its data. The new system 
of records will consolidate the systems of records that the Bureau 
currently uses so that all the PII data in the various EB information 
systems are now housed in a single, Bureau-wide, and consistently-
defined system of records.

DATES: In accordance with subsections (e)(4) and (e)(11) of the Privacy 
Act, any interested person may submit written comments concerning the 
alteration of this system of records on or before January 13, 2011. The 
Office of Information and Regulatory Affairs (OIRA), Office of 
Management and Budget (OMB), which has oversight

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responsibility under the Privacy Act to review the system of records, 
and Congress may submit comments on or before January 24, 2011. The 
proposed new system of records will become effective on January 24, 
2011 unless the FCC receives comments that require a contrary 
determination. The Commission will publish a document in the Federal 
Register notifying the public if any changes are necessary. As required 
by 5 U.S.C. 552a(r) of the Privacy Act, the FCC is submitting reports 
on this proposed new system to OMB and Congress.

ADDRESSES: Address comments to Leslie F. Smith, Privacy Analyst, 
Performance Evaluation and Records Management (PERM), Room 1-C216, 
Federal Communications Commission (FCC), 445 12th Street, SW., 
Washington, DC 20554, (202) 418-0217, or via the Internet at 
[email protected].

FOR FURTHER INFORMATION CONTACT: Contact Leslie F. Smith, Performance 
Evaluation and Records Management (PERM), Room 1-C216, Federal 
Communications Commission, 445 12th Street, SW., Washington, DC 20554, 
(202) 418-0217 or via the Internet at [email protected].

SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974, as 
amended, 5 U.S.C. 552a(e)(4) and (e)(11), this document sets forth 
notice of this proposed new system of records maintained by the FCC. 
The FCC previously gave complete notice of the two systems of records, 
FCC/EB-1, ``Violators Files'' and FCC/EB-3, ``Investigations and 
Hearings,'' which it intends to cancel upon both the approval and 
deployment of FCC/EB-5, ``EBATS,'' as referenced under this Notice by 
publication in the Federal Register on April 5, 2006 (71 FR 17234, 
17237 and 17238 respectively). This notice is a summary of the more 
detailed information about the proposed new system of records, which 
may be viewed at the location given above in the ADDRESSES section. The 
purposes for adding this new system of records, FCC/EB-5, ``EBATS,'' 
are for the FCC's Enforcement Bureau (EB) to use the records in FCC/EB-
5, ``EBATS,'' to improve the Bureau's operations and workflow, increase 
its reporting capacities, and improve the reliability and consistency 
of its data. The new system of records will consolidate the separate 
and independent systems of records that the Bureau currently uses so 
that all PII data in the various EB information systems are now housed 
in a single, Bureau-wide, and consistently-defined system of records.
    This notice meets the requirement documenting the change to the 
systems of records that the FCC maintains, and provides the public, 
OMB, and Congress with an opportunity to comment.
FCC/EB-5

SYSTEM NAME: Enforcement Bureau Activity Tracking System (EBATS).
SECURITY CLASSIFICATION:
    The FCC's Security Operations Center (SOC) has not assigned a 
security classification to this system of records.

SYSTEM LOCATION:
    Primary: Enforcement Bureau (EB), Federal Communications Commission 
(FCC), 445 12th Street, SW., Washington, DC 20554; and
    Secondary: Various field facilities. Information about FCC Field 
Offices can also be found at http://www.fcc.gov/eb/rfo.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    The records in this system include:
    1. Individuals, including FCC employees, who have filed complaints 
alleging violations of the Communications Act of 1934, as amended (the 
``Communications Act''); FCC regulations; other statutes and 
regulations subject to the FCC's jurisdiction; and/or international 
treaties (collectively referred to hereafter as ``FCC Rules and 
Regulations'') by FCC licensees or regulates, or individuals who have 
filed such complaints on behalf of business(es), institution(s), etc., 
and who may have included their personally identifiable information 
(PII) in the complaint;
    2. Individuals who are or have been the subjects of Federal 
Communications Commission (FCC) field monitoring, inspection, and/or 
investigation, etc., for possible violations of FCC Rules and 
Regulations;
    3. Licensees, applicants, regulatees, and unlicensed individuals 
about whom there are questions of compliance with FCC Rules and 
Regulations; and
    4. FCC employees, contractors, and interns who perform work on 
behalf of the Enforcement Bureau.

CATEGORIES OF RECORDS IN THE SYSTEM:
    The categories of records in this system include:
    1. Information that is associated with those individuals who file 
complaints or who are being investigated for possible enforcement 
actions, e.g., violators, etc. The information may include:
    (a) An individual's name, Social Security Number (SSN) or Taxpayer 
Identification Number (TIN), gender, race/ethnicity, birth date/age, 
place of birth, biometric data (photograph(s)), marital status, spousal 
data, miscellaneous family data, home address, home address history, 
home telephone number(s), personal cell phone number(s), personal fax 
number(s), personal e-mail address(es), credit card number(s), driver 
license number(s), bank account data, financial data, law enforcement 
data, background investigatory data, national security data, employment 
and/or employer data, and other miscellaneous materials, documents, and 
files, etc., which are used for background information and data 
verification, etc.;
    (b) Inspection reports, audit reports, complaints, referrals, 
monitoring reports, inspection cases, referral memos, correspondence, 
discrepancy notifications, warning notices, and forfeiture actions, 
etc.; and
    (c) Miscellaneous materials, documents, files, and records that are 
used for background information and data verification concerning 
individuals who may be accused or have violated the Commission's rules 
and regulations.
    2. The information that is associated with the same or similar 
current enforcement cases and historic records and other archival, 
background, and research data and materials that are stored for 
reference in enforcement actions, i.e., inspection reports, complaints, 
monitoring reports, investigative cases, referral memos, 
correspondence, discrepancy notifications, warning notices, and 
forfeiture actions; and
    3. Other, miscellaneous information that complainants may have 
included on FCC Forms 475B, 501, 1088, and/or 2000, as well as any 
additional FCC forms that may be used from time to time to report 
possible violations of FCC Rules and Regulations (as defined above) to 
the FCC or associated with case files.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    47 U.S.C. 101, 102, 104, 301, 303, 309(e), 312, 315, 318, 362, 364, 
386, 501, 502, 503, 507, and 510.

PURPOSE(S):
    The Enforcement Bureau uses the information in this information 
system:
    1. To track the status of enforcement cases of entities (including 
individuals) that have been identified as possible violators of the 
FCC's Rules and Regulations (as defined above);
    2. To determine the levels of compliance among FCC licensees, and 
other regulatees;
    3. To document Commission monitoring, audits, inspections and 
investigations for compliance and enforcement purposes;

[[Page 77874]]

    4. To provide a basis for the various administrative and civil, or 
criminal actions against violators by the Enforcement Bureau (EB), 
other appropriate Commission bureaus or offices, and/or other 
government agencies;
    5. To gather background information for reference materials from 
various external databases and resources, etc., to insure that the 
information that is being compiled is accurate and up-to-date (``cross-
checking'') in the course of investigating consumer complaints and/or 
enforcement cases;
    6. To maintain archival information (paper documents and files) for 
reference in enforcement investigations and other actions; and
    7. To prevent duplication of FCC's enforcement actions, e.g., for 
cross-reference purposes, etc.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    Information about individuals in this system of records may 
routinely be disclosed under the following conditions:
    1. Public Access--Copies of FCC enforcement actions are available 
for public inspection via the Internet at http://www.fcc.gov/eb/, and 
in the FCC's Reference Information Center at http://www.fcc.gov/cgb/ric.html;
    2. Employment, Clearances, Licensing, Contract, Grant, or other 
Benefits Decisions by the Agency--Disclosure may be made to a Federal, 
State, local, or foreign agency maintaining civil, criminal, or other 
relevant enforcement records, other pertinent records, or to another 
public authority or professional organization, if necessary to obtain 
information relevant to an investigation concerning the retention of an 
employee or other personnel action (other than hiring), the retention 
of a security clearance, the letting of a contract, or the issuance or 
retention of a grant or other benefit;
    3. Employment, Clearances, Licensing, Contract, Grant, or other 
Benefits Decisions by an Entity other than the Agency--Disclosure may 
be made 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 the written consent 
of the individual for the entire records 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;
    4. Adjudication and Litigation--Where by careful review, the Agency 
determines that the records are both relevant and necessary to 
litigation and the use of such records is deemed by the Agency to be 
for a purpose that is compatible with the purpose for which the Agency 
collected the records, these records may be used by a court or 
adjudicative body in a proceeding 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 Government is a party to litigation or has an 
interest in such litigation;
    5. Law enforcement and Investigation--Where there is an indication 
of a violation or potential violation of a statute, regulation, rule, 
or order, records from this system may be shared with appropriate 
Federal, State, or local authorities either for purposes of obtaining 
additional information relevant to a FCC decision or for referring the 
record for investigation, enforcement, or prosecution by another 
agency;
    6. Congressional Inquiries--When requested by a Congressional 
office in response to an inquiry by an individual made to the 
Congressional office for their own records;
    7. Government-wide Program Management and Oversight--When requested 
by the National Archives and Records Administration (NARA) for the 
purpose of records management inspections conducted under authority of 
44 U.S.C. 2904 and 2906; when the U.S. Department of Justice (DOJ) is 
contacted in order to obtain that department's advice regarding 
disclosure obligations under the Freedom of Information Act; or when 
the Office of Management and Budget (OMB) is contacted in order to 
obtain that office's advice regarding obligations under the Privacy 
Act;
    8. FCC Enforcement Actions--When a record in this system involves 
an informal complaint filed alleging a violation of FCC Rules and 
Regulations (as defined above) by an applicant, licensee, regulated 
entity or an unlicensed person or entity, the complaint may be provided 
to the alleged violator for a response. When an order or other 
Commission-issued document that includes consideration of an informal 
complaint or complaints is issued by the FCC to implement or to enforce 
FCC Rules and Regulations (as defined above), the complainant's name 
may be made public in that order or document. Where a complainant in 
filing his or her complaint explicitly requests that confidentiality of 
his or her name from public disclosure, the Commission will endeavor to 
protect such information from public disclosure. Complaints that 
contain requests for confidentiality may be dismissed if the Commission 
determines that the request impedes the Commission's ability to 
investigate and/or resolve the complaint;
    9. Breach of Federal Data--A record from this system may be 
disclosed to appropriate agencies, entities, and persons when (1) the 
Commission 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 made to such 
agencies, entities, and persons is 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;
    10. Due Diligence Inquiries--Where there is an indication of a 
violation or potential violation of FCC Rules and Regulations (as 
defined above), records from this system may be shared with a 
requesting individual, or representative thereof, for purposes of 
obtaining such information so long as relevant to a pending transaction 
of a FCC-issued license.
    In each of these cases, the FCC will determine whether disclosure 
of the records is compatible with the purpose for which the records 
were collected.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
    Information in this information system consists of electronic 
records, files, and data that are stored in the FCC's computer network 
databases, at headquarters and in the field offices,

[[Page 77875]]

and paper records, documents, and files that are stored in filing 
cabinets in the EB office suites at headquarters and in field offices.

RETRIEVABILITY:
    1. Information in the electronic database information can be 
retrieved by the name(s) of the individual(s) who filed the 
complaint(s), the individual who is subject of the complaint, and by a 
unique case number assigned to each type of activity conducted by the 
Bureau, e.g., inspections, audits, investigations, hearings, due 
diligence requests, etc.
    2. Information in the central files, e.g., paper documents, 
records, and files, etc., includes all the other information pertaining 
to these complainant investigations and/or cases, i.e., name, address, 
telephone number, etc., and is maintained for reference and archival 
purposes. This information is retrieved by a unique identification 
number assigned to each complainant investigation and/or case.

SAFEGUARDS:
    The paper files, documents, and records are stored in file cabinets 
in non-public areas in the EB office suites at headquarters and in 
field offices. The file cabinets are locked at the end of each business 
day or when not in use.
    The electronic records, data, and files are maintained in the FCC 
computer network databases at headquarters and in the field offices. 
Access to both the paper files and the electronic files is restricted 
to authorized EB supervisors and staff. Authorized staff and 
contractors in the FCC's Information Technology Center (ITC) have 
access to the electronic files. Other employees, interns, and 
contractors may be granted access to the paper files and/or the 
electronic files on a ``need-to-know'' basis. The FCC's computer 
network databases are protected by the FCC's security protocols, which 
include controlled access, passwords, and other security features. 
Information resident on the database servers is backed-up routinely 
onto magnetic media. Backup tapes are stored on-site and at a secured, 
off-site location. The information that is stored in the computer 
databases in the EB field offices is protected by similar security 
protocols and safeguards.

RETENTION AND DISPOSAL:
    The retention schedule for this system of records has not yet been 
determined. No records will be destroyed until a disposal schedule is 
approved by the National Archives and Records Administration (NARA). 
[check with Records Management]

SYSTEM MANAGER(S) AND ADDRESS:
    Enforcement Bureau (EB), Federal Communications Commission (FCC), 
445 12th Street, SW., Washington, DC 20554.

NOTIFICATION PROCEDURE:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR Section 0.561) that this system 
of records is exempt from disclosing its notification procedure for 
this system of records.

RECORD ACCESS PROCEDURES:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR Section 0.561) that this system 
of records is exempt from disclosing its record access procedure for 
this system of records.

CONTESTING RECORD PROCEDURE:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR Section 0.561) that this system 
of records is exempt from disclosing its contesting record procedure 
for this system of records.

RECORD SOURCE CATEGORIES:
    Under the authority granted to heads of agencies by 5 U.S.C. 
552a(k), the FCC has determined (47 CFR Section 0.561) that this system 
of records is exempt from disclosing its record sources for this system 
of records.

EXEMPTION FROM CERTAIN PROVISIONS OF THE ACT:
    This system of records is exempt from sections (c)(3), (d), 
(e)(4)(G), (H), and (I), and (f) of the Privacy Act of 1974, 5 U.S.C. 
552a, and from 47 CFR 0.554-0.557 of the Commission's rules. These 
provisions concern the notification, record access, and contesting 
procedures described above, and also the publication of record sources. 
The system is exempt from these provisions because it contains the 
following types of information:
    1. Investigative material compiled for law enforcement purposes as 
defined in Section (k)(2) of the Privacy Act;
    2. Properly classified information, obtained from another Federal 
agency during the course of a personnel investigation, which pertains 
to national defense and foreign policy, as stated in Section (k)(1) of 
the Privacy Act; and
    3. Investigative material compiled solely for the purpose of 
determining suitability, eligibility, or qualifications for Federal 
civilian employment, as described in Section (k)(5) of the Privacy Act, 
as amended.

    Federal Communications Commission.
Marlene H. Dortch,
Secretary, Federal Communications Commission.
[FR Doc. 2010-31356 Filed 12-13-10; 8:45 am]
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