[Privacy Act Issuances (1997)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL COMMUNICATIONS COMMISSION
Table of Contents
FCC/Central-1 Pay, Leave, and Travel Records.
FCC/Central-2 Employee Locator Card Files.
FCC/Central-3 Employee Assistance Program Case Files.
FCC/Central-5 Alcoholism and Drug Case Files.
FCC/Central-6 Personnel Investigation Records.
FCC/Central-7 Freedom of Information Act Case Files.
FCC/Central-8 Telephone Call Detail Records.
FCC/Central-9 Denial of Federal Benefits (Drug Debarment List).
FCC/Central-10 FCC Access Control System.
FCC/CIB-1 Informal Complaints and Inquiries.
FCC/FOB-1 Radio Operator Records.
FCC/FOB-2 Violators File.
FCC/FOB-3 State and Operational Areas Emergency Commissions
Committee Membership.
FCC/OET-1 Experimental Radio Station License Files.
FCC/OGC-1 Alleged Violators File (Ex Parte Rules).
FCC/OGC-2 Attorney Misconduct Files.
FCC/OGC-3 Employee Complaint Adjudication.
FCC/OGC-4 Parties Involved in Current Litigation Before Federal
Courts.
FCC/OGC-5 Parties with Pending Civil Cases Before Any District
Court That Affect the Commission.
FCC/OGC-6 Private or Civil Injury Claimants.
FCC/OGC-7 Garnishment and Levy of Wages.
FCC/OIG-1 Criminal Investigative Files.
FCC/OIG-2 General Investigative Files.
FCC/OMD-2 Labor and Employee Relations Case Files.
FCC/OMD-3 Federal Advisory Committee Membership File.
FCC/OMD-4 Security Office Control Files.
FCC/OMD-6 Records of Money Received, Refunded, and Returned.
FCC/OMD-7 FCC Employee Transit Benefit Program.
FCC/PRB-4 Private Radio Bureau Compliance.
FCC/PRB-5 Application Review List for Present or Former
Licensees, Operators or Unlicensed Persons Operating Radio Equipment
Improperly.
FCC/WTB Wireless Services Licensing Records.
FCC/Central--1
System name:
Pay, Leave, and Travel Records.
System location:
Personnel Resources Division, Associate Managing Director--Human
Resources Management; Financial Management Division; Associate
Managing Director--Operations; Office of Managing Director;
administrative offices of the Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554; and FCC field
offices. (See FCC telephone directory for field office addresses.)
Categories of individuals covered by the system:
All Commission employees.
Categories of records in the system:
Contains various records required to administer the pay, leave,
and travel requirements of the Commission.
Authority for maintenance of the system:
44 U.S.C. 3101, 3102, 3309.
Purpose(s):
1. To authorize payroll deductions for allotments, savings bonds,
charitable contributions, union dues, health benefits and life
insurance; collect indebtedness for overpayment of salary and unpaid
Internal Revenue taxes; pay income tax obligation to Internal Revenue
Service; authorize issuing of salary checks by Treasury Department
obtain reimbursement of travel expenses for official business; report
gross wages and separation information for unemployment compensation;
pay any uncollected compensation due a deceased employee; and provide
for a summary of employees payroll data and retirement contributions.
2. As a data source for management information for production of
summary descriptive statistics and analytical studies in support of
the function for which the records are collected and maintained, or
for related personnel management functions or manpower studies; may
also be utilized to respond to general requests for statistical
information (without personal identification of individuals) under
the Freedom of Information Act or to locate specific individuals for
personnel research or other personnel management functions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request
information from a federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as licenses, if necessary to obtain
information relevant to a Commission decision concerning the hiring
or retention of an employee, the issuance of a security clearance,
the letting of a contract, or the issuance of a license, grant or
other benefit.
3. A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of a records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
5. A record from the system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
6. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
8. A record in this system of records may be disclosed to the
Office of Personnel Management in order for it to carry out its
legally authorized Government-wide functions and duties.
9. The names, social security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed to the
office of Child Support Enforcement, Administration for Children and
Families, Department of Health and Human Services for the purpose of
locating individuals to establish paternity, establishing and
modifying orders of child support, identifying sources of income, and
for other child support enforcement actions as required by the
Personal Responsibility and Work Opportunity Reconciliation Act
(Welfare Reform law, Pub. L. 104-193).
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in an automated personnel and payroll
system as well as manual files in folders, cards, magnetic tapes, and
loose leaf binders.
Retrievability:
Records are indexed by name and social security number.
Safeguards:
Records are maintained in filing cabinets in an office that is
locked when not occupied by staff. Automated and manual records are
available only to authorized personnel whose duties require access.
Retention and disposal:
Records are maintained for varying periods of time from one year
to permanently in accordance with General Records Schedules issued by
the National Archives and Records Administration. Disposal is by
shredding.
System manager(s) and address:
Managing Director, Office of the Managing Director, FCC, 1919 M
St. NW., Washington, DC 20554 or the appropriate administrative
office in which the individual is employed.
Notification procedure:
Address inquiries to the system manager. It is necessary to
furnish the following information in order to identify the individual
whose records are requested.
A. Full name.
B. Date of Birth.
C. Social Security Number.
D. Mailing address to which the reply should be mailed.
Record access procedures:
Same as above. Requesters should reasonably specify the record
contents being sought.
Contesting record procedures:
Same as above. Requesters should reasonably specify the record
contents being contested.
Record source categories:
Information is provided by management officials and by the
individuals on whom the record is maintained.
FCC/Central-2
System name: Employee Locator Card Files.
System location:
Mailroom and administrative offices of the Federal Communications
Commission (FCC), 1919 M Street, NW, 2025 M Street, NW, and 2000 L
Street, NW, Washington, DC 20554, and FCC field offices. (See FCC
telephone directory for field office addresses.)
Categories of individuals covered by the system:
Current employees of the Federal Communications Commission.
Categories of records in the system:
This system contains information regarding the organizational
location and telephone number of individual office employees. This
system also contains the home address and telephone number of the
employee and the name, address, and telephone number of an individual
to contact in the event of a medical or other emergency involving the
employee.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
1. Information in this system of records is collected for use by
the mailroom in preparing and updating organizational location and
telephone number of individual office employees in order to deliver
incoming mail more efficiently.
2. The records in this system also serve to identify an
individual for office officials to contact, should an emergency of a
medical or other nature involving the employee occurs while the
employee is on the job.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on cards or 3" x 5" paper.
Retrievability:
Records are retrieved by name of individual employee.
Safeguards:
Records are maintained in secured areas and are available only to
authorized personnel whose duties require access.
Retention and disposal:
Records are maintained as long as the individual is an employee
of the Commission. Expired records are destroyed by shredding.
System manager(s) and address:
Appropriate Personnel or administrative office in which the
employee is employed.
Notification procedure:
FCC employees wishing to inquire whether this system contains
information about them should contact the appropriate FCC
administrative officer where employed. Individuals must supply their
full name in order for records to be located and identified.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual on whom the record is maintained.
FCC/Central-3
System name: Employee Assistance Program Case Files.
System location:
Employee Assistance Program (EAP), Office of Associate Managing
Director, Human Resources Management, Office of Managing Director,
Federal Communications Commission (FCC), 1919 M Street, NW,
Washington, DC 20554.
Categories of individuals covered by the system:
FCC employees who seek guidance and counseling through the
agency's Employee Assistance Program.
Categories of records in the system:
May contain information relating to individuals counseled by the
Employee Assistance Program including supervisor's referral, (if the
employee was referred by the supervisor), and notes or records made
by the counselor of discussions held with the employee.
Authority for maintenance of the system:
42 U.S.C. 290dd-3, 290ee-3; 42 CFR part 2 (52 FR 21796, June 9,
1987); FPM 297-4.
Purpose(s):
The records in this system contain information on FCC employees
who participate in FCC's Employee Assistance Program. This program
provides for identification and referral of employees for treatment
of and counseling regarding alcohol, and drug abuse, other addiction
disorders, and emotional or personal problems.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
1. Disclosure of the records to authorized personnel that
administers the FCC's Employee Assistance Program.
2. Disclosure of the records to medical personnel to meet a bona
fide medical emergency.
3. Disclosure of records to qualified personnel for the purpose
of conducting scientific research, management audits, financial
audits, or program evaluation, but such personnel may not identify,
directly or indirectly, any individual patient in any report or
otherwise disclosure patient identities in any manner (when such
records are provided to qualified researchers employed by the
Commission, all patient identifying information shall be removed).
Note: Disclosure of these records to other than Commission
officials having the need to know or the subject individual is rarely
made. Disclosures of information pertaining to an individual with a
history of alcohol or drug abuse must be made in accordance with
regulations regarding the confidentiality of alcohol and drug abuse
patient records, which are set forth out 42 CFR part 2. Records
pertaining to the physical and mental fitness of employees are as a
matter of Commission policy, afforded the same degree of
confidentiality and are generally not disclosed.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in locked metal cabinets in the Personnel
Office.
Retrievability:
Records are filed and retrieved by a case file identification
number. Files only have employee first names in them, and the
employee name list associated with case number is kept in a separate
locked safe in a separate combination locked office of the Program
Administrator.
Safeguards:
Records are maintained in locked cabinets accessible only to
Employee Assistance Program personnel.
Retention and disposal:
Records are retained until three years after the employee has
ceased contact with the counselor or until the employee's separation
or transfer, whichever comes first, at which time they are destroyed
by shredding.
System manager(s) and address:
Employee Assistance Program Coordinator, Office of Managing
Director, FCC, 1919 M Street, NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Employee, employee's supervisor, and counselors.
FCC/Central-5
System name: Alcoholism and Drug Abuse Case Files.
System location:
Labor Relations and Workforce Effectiveness Division, Office of
Associate Managing Director, Human Resources Management, Office of
Managing Director, Federal Communications Commission (FCC), 1919 M
Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
FCC employees who seek guidance and counseling through the agency
Alcoholism and Drug Abuse Program.
Categories of records in the system:
Personal history as it relates to the employee's problem. Records
on employees referred for counseling.
Authority for maintenance of the system:
FPM 792.
Purpose(s):
Reference material for the use of the Program Administrator and
Counselors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in locked metal cabinets in the Program
Administrator's Office.
Retrievability:
Records are filed and retrieved by name of employee.
Safeguards:
Records are maintained in an office that is locked when not
occupied by the Program Administrator. They are maintained in strict
confidence and are accorded the same security and accessibility
restrictions provided for medical records.
Retention and disposal:
Records are kept indefinitely or until the employee leaves the
FCC, at which time they are destroyed by shredding.
System manager(s) and address:
Managing Director, Office of Managing Director, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Employee, employee's supervisor, and counselors.
FCC/Central-6
System name: Personnel Investigation Records.
Security classification:
None for the system; however items or records within the system
may have national defense/foreign policy classifications up through
secret.
System location:
Security Operations Staff, Office of Managing Director, Federal
Communications Commission (FCC), 1919 M Street, NW, Washington, DC
20554.
Categories of individuals covered by the system:
1. Current and former FCC employees or applicants for employment
in the Federal service.
2. Individuals considered for access to classified information or
restricted areas and/or security determinations such as contractors,
experts, instructors, and consultants to Federal programs.
3. Individuals who are neither applicants nor employees of the
Federal Government, but who are or were involved in Federal programs
under a co-operative agreement.
Categories of records in the system:
These records contain investigative information regarding an
individual's character, conduct, and behavior in the community where
he or she lives or lived; arrests and convictions for violations
against the law; reports of interviews with present and former
supervisors, co-workers, associates, educators, etc.; reports about
the qualifications of an individual for a specific position; reports
of inquiries with law enforcement agencies, employers, educational
institutions attended; reports of action after OPM or FBI Section
8(d) Full Field Investigation; Notices of Security Investigation and
other information developed from the above described Certificates of
Clearance; and in some instances a photograph of the subject. Also
contained is investigative information concerning allegations of
misconduct by an FCC employee, miscellaneous complaints not covered
by the FCC's formal or informal grievance procedure, and inquiries
conducted under the President's Program to eliminate waste and fraud
in Government.
Authority for maintenance of the system:
5 CFR part 5; 5 U.S.C. 1303, 1304, and 3301, E.O. 10450 and
11222; 47 CFR 19.735-107.
Purpose(s):
The records in this system are used to provide investigatory
information for determinations concerning compliance with Federal
regulations and for individual personnel determinations including
suitability and fitness for Federal employment, access to classified
information or restricted areas, security clearances, evaluations of
qualification, loyalty to the U.S., and evaluations of qualifications
and suitability for performance of contractual services for the U.S.
Government; to document such determinations; to take action on or
respond to a complaint or inquiry concerning an FCC employee or to
counsel the employee.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
2. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
3. A record for this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
4. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
5. Information from this system may be disclosed to designated
officers and employees of agencies, offices, and other establishments
in the executive, legislative and judicial branches of the Federal
Government, and the District of Columbia Government, when such
agency, office or establishment conducts an investigation of the
individual for the purpose of granting a security clearance, making a
determination of qualifications, suitability, or loyalty to the
United States Government, or access to classified information or
restricted areas.
6. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are retrieved by name of the individual subject.
Safeguards:
Records are maintained within a secure, access-controlled area,
and stored in approved security containers. Access is limited to
cleared Security Officer personnel and to Commission officials on a
``need to know'' basis when required to take decisional action on the
records.
Retention and disposal:
Records are retained during employment or while individual is
actively involved in federal program. As appropriate, records are
returned to investigating agencies after employment terminates. Those
records originated by the FCC are retained for 20 years from the date
of the most recent investigative activity. Records are destroyed by
burning.
System manager(s) and address:
Managing Director, Office of Managing Director, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notification procedure:
Record access procedures:
Contesting record procedures:
This system is exempt from the requirement that the agency
publish the procedures for notifying an individual, at his or her
request, if the system contains a record pertaining to him/her, for
gaining access to such record, and for contesting the contents of the
record.
Record source categories:
This system is exempt from the requirement that the agency
publish the categories of sources of records in this system.
Exemption from certain provisions of the Act:
This system of records is exempt from subsections (c)(3), (d),
(e)(1), (e)(4)(G), (H) and (I), and (f) of the Privacy Act of 1974, 5
U.S.C. 552(a), and from Secs. 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. Investigatory 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.
3. Investigatory 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.
FCC/Central-7
System name: Freedom of Information Act Case Files.
System location:
Offices handling request, Federal Communications Commission
(FCC), 1919 M Street, NW, 2025 M Street, NW, and 200 L Street, NW,
Washington, DC 20554, and FCC field offices. (See FCC telephone
directory for field office addresses.)
Categories of individuals covered by the system:
Individuals or organizations requesting access to inspect and/or
copy records of the Commission under provisions of the Freedom of
Information Act (FOIA).
Categories of records in the system:
Name, address, and other information about the requester and the
records sought.
Authority for maintenance of the system:
5 U.S.C. 552, Freedom of Information Act.
Purpose(s):
Records are available to FOIA staff involved in correspondence
and investigative processes, including appeals officials and members
of the FCC General Counsel staff.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. In the event the Commission deems it desirable or necessary,
in determining whether particular records are required to be
disclosed under the Freedom of Information Act (FOIA), disclosure may
be made to the Department of Justice for the purpose of obtaining its
advice.
2. Where the appropriate official of the Commission, pursuant to
the Commission's FOIA Regulation determines that it is in the public
interest to disclose a record which is otherwise exempt from
mandatory disclosure, disclosure may be made from the system of
records.
3. The Commission contracts with a private firm for the purpose
of searching, duplicating, and distributing to the public the
documents maintained by the Commission and available for inspection
under the Act. The contractor is required to maintain Privacy Act
safeguards on such records.
4. A record on an individual in this system may be disclosed to a
Congressional office in response to an inquiry the individual has
made to the Congressional office.
5. In the event of litigation where the defendant is (a) the
Commission, or any employee of the Commission in his or her official
capacity; (b) the United States where the Commission determines that
the claim, if successful, is llikely to directly affect Commission
operations; or (c) any Commission employee in his or her individual
capacity where the Justice Department has agreed to represent such
employee, the Commission may disclose such records as it deems
desirable or necessary to the Department of Justice to enable that
Department to present an effective defense.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records maintained in case files (original or copy of
incoming request and written response).
Retrievability:
Records are indexed by name of individual requester.
Safeguards:
Records are maintained in file cabinets in the offices of FOIA
Liaisons throughout the Commission with limited access.
Retention and disposal:
Individual case files are maintained for 2 years after date of
reply. Denied requests and appeals of denials may be retained for
longer periods (up to 6 years after final action) in accordance with
FOIA and FCC records control schedules.
System manager(s) and address:
Appropriate bureau or office chief in the Commission located at
1919 M Street, NW, 2025 M Street, NW, and 2000 L Street, NW,
Washington, DC 20554, and FCC offices. (See FCC telephone directory
for field office addresses.)
Notification procedure:
Address inquiries to the appropriate system manager.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals and organizations making requests under FOIA or from
bureaus or offices of the Commission reporting on the handling of
such requests for inclusion in the annual report to Congress.
FCC/Central-8
System name:
Telephone Call Detail Records.
System location:
Office of Managing Director, Information Technology Center,
Operations Group, Federal Communications Commission (FCC), 1919 M
Street, Washington, DC 20554. The records are paper, electronic, and
CD-ROM. The scope of records includes calls made to or from FCC
telephones.
Categories of individuals covered by the system:
Individuals originating calls from FCC telephones and individuals
receiving such calls; individuals placing calls to or charging calls
to FCC telephones (including cellular telephones); and individuals
receiving such calls, or accepting the charges. The primary record
subjects are current and former FCC employees, as well as individuals
employed under any employment arrangement such as a contract or
cooperative agreement; grantees; or other persons performing on
behalf of FCC. Incidental to the coverage of the primary record
subjects are non-employees who may be identified by telephone number
during an inquiry or investigation relating to a potential improper
or unofficial use of Government telephones or other illegal or
improper activity by the primary record subject.
Categories of records in the system:
Records in the system of records relate to telephone calls placed
to and from FCC phones, and the assignment of telephone numbers to
employees and the location of the telephones in the Commission. Since
this system includes cellular telephones any local call to or from a
cellular telephone would be included. The records may include such
information as the number called from, the number called, time and
date of call, duration, disposition and cost of the call and/or
charges accepted, and the FCC component to which the relevant
telephone numbers are assigned. In addition the system may include
copies of related records, e.g., any periodic summaries which may
have been compiled to reflect the total number of long distance
calls. The database(s) from which telephone numbers are retrieved
contains employees names, and office locations, but no other personal
identities such as social security numbers. The CD-ROM files contain
the agency telephone bills which provide details on all calls to and
from Commission telephones. The paper files consist of a combination
of the database and CD-ROM files.
Authority for maintenance of the system:
This system of records is maintained pursuant to 44 U.S.C. 3101,
which authorizes agencies to create and preserve records documenting
agency organizations, functions, procedures, and transactions; 31
U.S.C. 1348(b), which authorizes the use of appropriated funds to pay
for long distance calls only if required for official business or
necessary in the interests of the Government; 47 U.S.C. 154(i), which
authorizes the Commission to take actions necessary to execute its
functions; 5 CFR 2635.704(a), which prohibits use of Government
property for other than authorized purposes; and 41 CFR 201-21.601
and 201-21.602, which require that Government telecommunications
systems be used for official purposes only, and authorizing agencies
to collect for unauthorized calls.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Commission does not normally disclose records from this
system of records. However, in the event it is appropriate,
disclosure of relevant information may be made in accordance with the
provisions of 5 U.S.C. 552a(b). Records and data may be disclosed as
necessary pursuant to 5 U.S.C. 552a(b)(3):
1. To a member of Congress or to a Congressional staff member in
response to an inquiry of the Congressional office made at the
written request of the constituent about whom the record is
maintained;
2. To representatives of the General Services Administration or
the National Archives and Records Administration who are conducting
records management inspections under the authority of 44 U.S.C. 2904
and 2906;
3. 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 where the Department of Justice has agreed to
represent the employee; or (c) the United States Government, is a
party to litigation or has an interest in such litigation, and by
careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records
by the Department of Justice is therefore deemed by the agency to be
for a purpose that is compatible with the purpose for which the
agency collected the records;
4. To 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, and by
careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records
is therefore deemed by the agency to be for a purpose that is
compatible with the purpose for which the agency collected the
records;
5. To law enforcement agencies when a record on its face, or in
conjunction with other records, 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, disclosure
may be made to the appropriate agency, whether Federal, foreign,
State, local, or tribal, or other public authority responsible for
enforcing, investigating or prosecuting such violation or charged
with enforcing or implementing the statute, or rule, regulation, or
order issued pursuant thereto, if the information disclosed is
relevant to any enforcement, regulatory, investigative or prosecutive
responsibility of the receiving entity;
6. To agency contractors, grantees, experts, consultants or
volunteers who have been engaged by the agency to assist in the
performance of a service related to this system of records and who
need to have access to the records in order to perform the activity.
Recipients shall be required to comply with the requirements of the
Privacy Act of 1974, as amended, pursuant to 5 USC 552a(m);
7. To the National Finance Center (the Commission's designated
payroll office), the Department of Treasury Debt Management Services
and/or a current employer to effect a salary, IRS tax refund or
administrative offset to satisfy an indebtedness incurred for
unofficial telephone and cellular calls; and to Federal agencies to
identify and locate former employees for the purpose of collecting
such indebtedness, including through administrative, salary or tax
refund offsets. Identifying and locating former employees, and the
subsequent referral to such agencies for offset purposes, may be
accomplished through authorized computer matching programs.
Disclosures will be made only when all procedural steps established
by the Debt Collection Act of 1982, and the Debt Collection
Improvement Act of 1996 or the Computer Matching and Privacy
Protection Act of 1988 as appropriate, have been taken;
8. To Federal, State, local or foreign agency maintaining civil,
criminal, or other relevant enforcement records, or 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; and
9. To a Federal, State, local, foreign, or tribal or other public
authority 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 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained electronically, on paper and on CD-ROM.
Retrievability:
Records are retrieved by bureau or office name, the employee
name, by name of recipient of telephone call, and by telephone
number.
Safeguards:
Paper and CD-ROM records are maintained in file cabinets in
offices which are locked at the end of each business day. Information
in the database is secured through controlled access and passwords
restricted to administrative office personnel.
Retention and disposal:
Records are disposed of in accordance with General Records
Schedule 12, National Archives and Records Administration.
System manager(s) and address:
Appropriate bureau or office chief and first line supervisors in
the Commission located at 1919 M Street, NW; 2025 M Street, NW; 2000
M Street, NW; 2100 M Street, NW; 1250 23rd Street, NW; 2000 L Street,
NW; Washington, DC 20554 and the Compliance and Information Bureau
Field Offices.
Notification procedure:
Inquiries regarding this system should be addressed to the system
manager Office of Managing Director, Information Technology Center,
Operations Group, Federal Communications Commission (FCC), 1919 M
Street, Washington, DC 20554.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Telephone assignment records; call detail listings; results of
administrative inquiries relating to assignment of responsibility for
placement of specific long distance calls.
Exemptions claimed for the system:
None.
FCC/Central-9
System name: Denial of Federal Benefits (Drug Debarment List).
System location:
Computer Applications Division, Associate Managing Director,
Information Management, Office of Managing Director, Federal
Communications Commission (FCC), 1919 M Street, NW, Washington, DC
20554.
Categories of individuals covered by the system:
Individuals convicted of offenses concerning the distribution or
possession of controlled substances, who have been denied all Federal
benefits or FCC benefits as part of their sentence pursuant to
section 5301 of the Anti-Drug Abuse Act of 1988, and who have also
filed applications for any FCC professional or commercial license.
Categories of records in the system:
The records within this system will consist of a data base
provided to the FCC from the Department of Justice (DOJ) regarding
individuals who have been denied all federal benefits or FCC benefits
pursuant to Section 5301 of the Anti-Drug Abuse Act of 1988. The data
elements to be used by the FCC are: (a) The DOJ identification number
(ID) for the person denied Federal benefits; (b) the person's name;
(c) the person's zip code; and (d) the starting and ending date of
the denial of Federal benefits. All other data elements in the data
base will be immediately discarded.
When there is a match of name and address from the data base with
the name and address of an application on file with the FCC, the FCC
will then obtain from DOJ additional data elements: (a) The person's
name and address; and (b) if also required by the FCC application,
the person's date of birth.
If manual comparison of the application information with the
information obtained from DOJ confirms a match, the FCC will prepare
a confirmation report to be attached to the application. The
confirmation report will reflect the identifying information obtained
from the DOJ debarment entry, but it will not include the DOJ ID
number for that debarment entry. Upon such a match, the FCC will
initiate correspondence with the applicant, which will also be
associated with the application. The confirmation report and any
correspondence with the applicant will be among the records found in
this system.
Authority for maintenance of the system:
Section 5301 of the Anti-Drug Abuse Act of 1988, Pub. L. 100-690,
as amended by section 1002(d) of the Crime Control Act of 1990, Pub.
L. 101-647 (21 U.S.C. 862), and sections 4(i) and 4(j) of the
Communications Act of 1934, as amended (47 U.S.C. 154(i) and 154(j).
Purpose(s):
The records within the system will be used for the automated
exchange of information between DOJ and the FCC in connection with
the implementation of section 5301 of the Anti-Drug Abuse Act of
1988. This exchange of information permits the FCC to perform the
General Services Administration debarment List check as provided for
in the Office of National Drug Control Policy plan for implementation
of section 5301 through use of information generated by DOJ. The
automated records obtained from DOJ will only be used by the FCC to
make an initial determination of whether an individual applicant is
subject to a denial of all Federal benefits or FCC benefits imposed
under section 5301 of the Anti-Drug Abuse Act of 1988.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. The DOJ data base provided to the FCC, that portion of the
data base retained by the FCC for use in the automated system, the
automated match reports, and any copies of the confirmation report
that include the DOJ ID number will be routinely available for use or
inspection by appropriate FCC officials.
2. The confirmation report (not including the DOJ ID Number) and
any correspondence with the applicant will be associated with the
applicant's application and will thus be made routinely available for
public inspection.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained on a computer data base, as well as in
associated file folders.
Retrievability:
Records are retrieved by applicant name, applicant zip code,
applicant address (in some instances) applicant date of birth (in
some instances) and the DOJ fee control number for the application.
Safeguards:
The data provided to the FCC by DOJ will be protected from
tampering and unauthorized disclosure. The data base will be
processed to extract the information to be used in the automated
system, and the data elements not being used in the automated system
will be electronically erased. The remaining data will be maintained
at the main FCC building with a low risk of unauthorized access.
Access points are photo monitored by security personnel; all
employees are required to display photo ID badges; and all visitors
must register and wear a visitor's badge. Access to the computer
system on which the extracted data base is stored requires use of a
unique user ID with personal identifier. The extracted data base is
stored in a separate file in that system, and a separate pass word is
require for entry to that file. The pass word is available to a
limited number of persons based strictly on a ``need to know'' basis.
The reports of any automated matches containing the DOJ ID number
will be made available only to the appropriate FCC officials.
Retention and disposal:
The automated match reports will be retained by the FCC for only
as long as it is necessary to obtain the debarment entry information
and corresponding application for manual confirmation of the match.
Thereafter, they will be destroyed. However, periodically, an
automated match report will be randomly retained for a period of an
additional 90 to 120 days to provide a quality check of the
verification procedures.
Where the verification process establishes that an automated
match does not indicate that the applicant has been denied Federal
benefits under section 5301, the debarment entry information used in
that determination will be retained by the FCC for 30 days after the
application has cleared the debarment check. However, as noted above,
debarment entry information relating to automated match reports that
are retained for quality control purposes will be retained until that
quality check is completed.
Where a match is confirmed by the manual verification process,
the debarment entry information will be retained for a period of at
least 90 days after the date of the letter referrred to above. If the
applicant contests the determination that a section 5301 denial of
Federal benefits bars a grant of the application, the debarment entry
information will be retained until such time as the FCC's action on
the application is no longer subject to review in any court.
System manager(s) and address:
Managing Director, Office of Managing Director, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the System Manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals making applications who have been convicted of
certain drug offenses and who have been denied all Federal benefits
or FCC benefits as part of their sentence.
FCC/Central-10
System name:
FCC Access Control System.
System location:
Federal Communications Commission (FCC), Office of Managing
Director, Security Operations Staff, 1919 M Street, NW., Washington,
DC 20554.
Categories of individuals covered by the system:
Current FCC employees, current contractors, special visitors and
visitors.
Categories of records in the system:
The system consists of a computer database, with all records
containing the last and first name, filed alphabetically by last
name, with a corresponding Badge Number. FCC employee database will
include first and last name, telephone number, Bureau/Office,
supervisor, room number, date of issuance, and parking permit number,
if applicable. Contractor database will include first and last name,
contractor company name, telephone number, FCC point of contact and
telephone number, and date of issuance. Proof of identity required
through photographic identification is necessary prior to issuance of
contractor badge.
Special visitor's database will include first and last name,
employer's name, address, telephone number, point of contact at the
employer, and date of issuance. Proof of identity required through
photographic identification is necessary prior to issuance of special
visitor badge.
Visitor database will include first and last name, telephone
number, destination, agency or firm name, photographic identification
along with numerical identifier.
Authority for maintenance of the system:
Presidential Directive based on Department of Justice Report
entitled Vulnerability Assessment of Federal Facilities.
Purpose(s):
This system provides a method by which the FCC can control and
account for all persons entering the facility and by which the FCC
may ascertain the times persons were in the facility.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to a request for
information from a Federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information if necessary to obtain information relevant to
a investigation.
3. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
4. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
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.
5. Records from this system may be disclosed to FCC supervisors
or management representatives to ascertain (either confirm or refute)
the times employees were in the facility.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in a password protected computer database.
Retrievability:
Records are retrieved by the name of individuals on whom they are
maintained, by a limited number of authorized individuals.
Safeguards:
The computer terminals are stored within a secured area.
Retention and disposal:
When an employee/contractor leaves the agency the file in the
database is deleted. Special visitor badges are given a 1 year valid
period, after which the card will automatically deactivate. All
returned visitor cards will be reused on a daily basis. Transaction
data for all cards will be placed on backup discs and stored for six
months.
System manager(s) and address:
FCC, Office of Managing Director, Security Operations Staff, 1919
M Street, NW, Washington, DC 20554.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish the following information
for their records to be located and identified:
Full name.
Record access procedures:
Individuals wishing to request access to records about them
should contact the system manager indicated above. Individuals must
furnish the following information for their record to be located and
identified:
Full name.
An individual requesting access must also follow FCC Privacy Act
regulations regarding verification of identity and access to records
(47 CFR 0.554 and 0.555).
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the system manager indicated above. Individuals must furnish
the following information for their record to be located and
identified:
Full name.
An individual requesting amendment must also follow the FCC
Privacy Act regulations regarding verification of identity and
amendment of records (47 CFR 0.556 and 0.557).
Record source categories:
The individual to whom the information applies.
FCC/CIB-1
System name:
Informal Complaints and Inquiries.
Security classification:
This material has not received a security classification at this
time. The OSCAR system is currently undergoing security review.
System location:
Chief, Consumer Information Bureau, Room 5-C758, Federal
Communications Commission (FCC), 445 12th Street, SW., Washington, DC
20554 and 1270 Fairfield Road, Gettysburg, PA 17325.
Categories of individuals covered by the system:
Individuals, groups, and other entities who have made informal
complaints or inquiries in any format, including but not limited to,
paper, telephone, and electronic submissions, on matters arising
under the Communications Act of 1934, as amended, and the
Rehabilitation Act.
Categories of records in the system:
The records in this system include both computerized information
contained in a database and paper copies of inquiries, informal
complaints, and related supporting information, company replies to
complaints, inquiries, and Commission letters regarding such
complaints and inquiries made by individuals, groups, or other
entities pertaining to the FCC's bureaus and offices.
Authority for maintenance of the system:
Secs. 151, 154, 206, 208, 225, 226, 227, 228, 255, 258, 301, 303,
309(e), 312, 362, 364, 386, 507 of the Communications Act of 1934, as
amended, 47 U.S.C. 151, 154, 206, 208, 225, 226, 227, 228, 255, 258,
301, 303, 309(e), 312, 362, 364, 386, 507; Sections 504 and 508 of
the Rehabilitation Act, 29 U.S.C. 794; and 47 CFR 1.711 et seq., 6.15
et seq., 7.15 et seq., and 64.604.
Purpose(s):
The records in this system of records are used by Commission
personnel to handle and process informal complaints received from
individuals, groups, and other entities. Records in this system are
available for public inspection after redaction of information that
could identify the complainant or correspondent, i.e., name, address
and/or telephone number.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system of records is used by Commission personnel to handle
and process informal complaints received from individuals, groups,
and other entities.
1. When a record in this system involves an informal complaint
filed against a common carrier, the complaint may be forwarded to the
defendant carrier for a response, pursuant to section 208 of the
Communications Act of 1934, as amended.
2. When an order or other Commission-issued document that
includes consideration of informal complaints filed against common
carriers is entered by the FCC to implement or enforce the
Communications Act, pertinent rule, regulation, or order of the FCC,
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 the bureau withhold his or her name from public
disclosure, such a request will be granted and the complainant's name
will not be disclosed in the Commission-issued order or document.
3. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for implementing or enforcing the statute, rule, regulation, or
order.
4. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
5. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) the United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
6. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
7. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
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:
Not applicable unless the consumer reporting agencies include
consumer advocacy groups.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper copies of records in this system of records are maintained
in file folders and electronic files are located in computer
databases on the FCC internal network.
Retrievability:
Records are retrieved by individual name, entity name, licensee,
applicant or unlicensed individual, call sign, file number, or
subject matter.
Safeguards:
Records are stored in locked cabinets, which are secured in the
office at the close of the business day. Access to computer records
is controlled by password. Computer systems are stored within secure
areas. Data resident on network servers are backed-up daily to
magnetic media. One week of back-up tapes is stored on-site in
fireproof safes. Each week, the previous week's back-up tapes are
sent to an off-site storage location. A maximum of ten weeks of tapes
are kept and cycled in this fashion.
Retention and disposal:
The records are retained at the FCC and then destroyed in
accordance with the appropriate records retention schedule.
System manager(s) and address:
Chief, Consumer Information Bureau, Federal Communications
Commission, 445 12th Street, Room 5-C758, SW., Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedures:
Address inquiries to the system manager. An individual requesting
access must follow FCC Privacy Act regulations regarding verification
of identity and amendment of records. See 47 CFR 0.554-0.557.
Contesting record procedures:
Address inquiries to the system manager.
Record source categories:
Complainants and subject entities.
Exemptions claimed for the system:
None.
FCC/FOB-1
System name: Radio Operator Records.
System location:
Primary: Field Operations Bureau, Federal Communications
Commission (FCC), 1919 M Street, NW, Washington, DC 20554. Secondary:
Various field facilities. (See FCC telephone directory for field
office addresses, or locate local office in commercial telephone
directory under ``U.S. Government.'')
Categories of individuals covered by the system:
Individuals who have applied for radio operator licenses.
Categories of records in the system:
Applications for commercial radio operator licenses, examination
papers, records of documents issued, correspondence, etc.
Authority for maintenance of the system:
Geneva Radio Regulations; 47 U.S.C. 303(1), (m) and 318.
Purpose(s):
1. For use in connection with the administration of the
Commission's radio operator program including examinations,
applications, and determinations of license applicant qualifications.
Limited file material concerning licensed radio operators is
forwarded for inclusion in the agency's central computer facility.
The information in the license database will be available for public
inspection.
2. If the records indicate a possible violation of law, they may
be referred to the FCCs General Counsel and to the appropriate agency
charged with the responsibility of investigating or prosecuting such
violation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request
information from a Federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as licenses, if necessary to obtain
information relevant to a Commission decision concerning the hiring
or retention of an employee, the issuance of a security clearance,
the letting of a contract, or the issuance of a license, grant or
other benefit.
3. A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 4 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
6. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United states, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, microfilm and magnetic tape.
Retrievability:
All records are retrievable by applicant name.
Safeguards:
Records are kept in file cabinets in offices that are secured at
the close of the business day. Information provided by applicants
concerning their mental or physical health or disability is kept in
confidence and afforded the same security and accessibility
restrictions as provided for medical records.
Retention and disposal:
Commercial applications are destroyed when 11 years old. Both
General and Restricted Permit applications are retained for 75 years.
System manager(s) and address:
Chief, Field Operations Bureau, FCC, 1919 M Street, NW,
Washington, DC 20554
Notification procedure:
Record access procedures:
Contesting record procedures:
This system is exempt from the requirement that the agency
publish the procedures for notifying an individual, at his or her
request, if the system contains a record pertaining to him/her, for
gaining access to such record, and for contesting the contents of the
record.
Record source categories:
This system is exempt from the requirement that the agency
publish the categories of sources of records in this system.
Systems exempted from certain provisions of the Act:
This system of records is exempt from subsections (c)(3), (d),
(e)(1), (e)(4), (G), (H), and (I), and (f) of the Privacy Act. 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 invstigatory material compiled for law enforcement purposes
as defined in section (k)(2) of the Privacy Act.
FCC/FOB-2
System name: Violators File (records kept on individuals who
have been subjects of FCC field enforcement actions).
System location:
Primary: Field Operations Bureau, Federal Communications
Commission (FCC), 1919 M Street, NW, Washington, DC 20554. Secondary:
Various field facilities (See FCC telephone directory for field
office addresses, or locate local office in commercial telephone
directory under ``U.S. Government.'')
Categories of individuals covered by the system:
Individuals who have been subjects of FCC field enforcement
actions (monitoring, inspection, investigation) for violations of
radio law, FCC Rules and Regulations, or International Radio
Treaties.
Categories of records in the system:
Inspection reports, complaints, monitoring reports, investigative
cases, referral memos, correspondence, discrepancy notifications,
warning notices and forfeiture actions.
Authority for maintenance of the system:
47 U.S.C. 101, 102, 104, 301, 312, 315, 318, 386, 401, 404, 501,
502, 503.
Purpose(s):
1. For use in connection with the Commission's field enforcement
programs to determine levels of compliance among radio users; to
issue marine certificates of compliance; to document Commission
monitoring, inspections and investigations for enforcement purposes;
to provide a basis for various administrative, civil, or criminal
sanction actions taken against violators by FOB or other appropriate
Commission bureaus or offices.
2. Limited information elements are transferred to the
Commission's central computer facility and to FOB field facilities to
maintain a cross-reference which prevents duplication of enforcement
actions, and to track the progress of enforcement cases. Copies of
commission sanction actions are available for public inspection.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. If the records indicate a possible violation of law, they may
be referred, as a routine use, to the appropriate agency charged with
the responsibility of investigating or prosecuting such violation or
charged with enforcing the applicable statutes or rules.
2. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
3. A record from this system may be disclosed to request
information from a Federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as licenses, if necessary to obtain
information relevant to a Commission decision concerning the hiring
or retention of an employee, the issuance of a security clearance,
the letting of a contract, or the issuance of a license, grant or
other benefit.
4. A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit.
5. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
6. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
7. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
8. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to litigation.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders, magnetic tape, and computer printout.
Retrievability:
All records are retrievable by name and by FCC-issued call sign.
Safeguards:
Paper records are kept in file cabinets in offices that are
secured at the close of the business day. Access to information on
computer is restrictd by use of passwords and location of terminals
in rooms which are designated non-public areas, and which are secured
outside of business hours.
Retention and disposal:
All violation notices are maintained for a period of 4 years,
then destroyed. (Classified material is destroyed by burning or
shredding.)
System manager(s) and address:
Chief, Field Operations Bureau, FCC, 1919 M Street, NW,
Washington, DC 20554.
Notification procedure:
Record access procedure:
Contesting record procedures:
This system is exempt from the requirement that the agency
publish the procedures for notifying an individual, at his or her
request, if the system contains a record pertaining to him/her, for
gaining access to such record, and for contesting the contents of the
record.
Record source categories:
This system is exempt from the requirement that the agency
publish the categories of sources of records in this system.
Systems exempted from certain provisions of the Act:
This system of records is exempt from subsections (c)(3), (d),
(e)(1), (e)(4) (G), (H), and (I), and (f) of the Privacy Act and from
Secs. 0.544--0.557 of FEC rules. Those provisions concern the
notification, access and contesting procedures described above as
well as the publication of record sources. The system is exempt from
these provisions because it is maintained in connection with the
provision of protective services to certain individuals as defined in
section (k)(3) of the Privacy Act and for law enforcement purposes as
defined in section (k)(2) of the Privacy act.
FCC/FOB-3
System name: State and Operational Areas Emergency
Communications Committee Membership.
System location:
Field Operations Bureau, Federal Communications Commission (FCC),
1919 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Chairmen and Vice Chairmen of State and Operational Area
Emergency Communications Committees.
Categories of records in the system:
Information showing individual name, business address, business
telephone number and title.
Authority for maintenance of the system:
Federal Advisory Committee Act, 5 U.S.C. app. 2.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Used to forward appropriate information to State Committee
members, each broadcast station in the State and to Federal, State
and local government officials for Emergency Communications planning.
All information in this system will be available for public
inspection.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are filed by state and by name of committee member within
the state.
Safeguards:
Records are maintained in file cabinets which are locked at the
end of each business day.
Retention and disposal:
Records are retained indefinitely while the individual is a
member of the committee; when member resigns, individual file
materials is destroyed.
System manager(s) and address:
Chief, Field Operations Bureau, FCC, 1919 M Street, NW,
Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager. Name of state must be
provided with any request for information.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Committee member.
FCC/OET-1
System name: Experimental Radio Station License Files.
System location:
Office of Engineering and Technology, Federal Communications
Commission (FCC), room 7316, 2025 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Those who have been granted a license to operate an experimental
radio station under part 5 of the Commission's rules.
Categories of records in the system:
File contains the application form (FCC Form 422, Application for
a New or Modified Station) or renewal form (FCC Form 405, Application
for Renewal of Station License) and supporting exhibits submitted by
the applicant. May also include experimental project reports
submitted by the applicant as required by FCC rules, part 5. File
also includes comments from other Commission bureaus on interference
potential of operation.
Authority for maintenance of the system:
47 U.S.C. 308; 47 CFR part 5.
Purpose(s):
To make a determination of applicant's eligibility to operate a
station in the experimental radio service; to determine interference
potential to other radio services within the Commission, to determine
if the project of experimentation is valid, as well as possible use
in rulemakings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Information from this system may be disclosed to other FCC
bureaus, Federal agencies, or to the public, in response to a
request, in connection with new experimentation being conducted and
the impact that this experimentation may have on the public. The
information is available to anyone, unless the applicant has
requested confidentiality under 0.459 of the Commission's rules, 47
CFR 0.459, or the information is classified.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Files are retrieved by licensee name. If there are more than one
station per licensee, then the files may also be retrieved by call
sign.
Safeguards:
All files are available to the public except classified files and
files that have been granted confidentiality under 0.457 of the
Commission's rules. Classified files are kept in locked cabinets in
accordance with security regulations. Files that have been granted
confidentiality under 0.457 are marked ``NOT FOR PUBLIC
INSPECTION'' and may only be accessed by Commission employees who
have a need to know the information.
Retention and disposal:
Records are maintained in the office; destroyed 2 years after
expiration of license.
System manager(s) and address:
Chief, Frequency Liaison Branch, FCC, room 7322, 2025 M Street,
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
The majority of information in these records comes from the
individual. Other information comes from coordination with other FCC
bureaus and from that which is generated with the Frequency Liaison
Branch during the normal processing of the application.
FCC/OGC-1
System name: Alleged Violators File (Ex Parte Rules).
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Individuals alleged to have violated the Commission's ex parte
rules.
Categories of records in the system:
Complaint letters, memoranda, briefs, Commission decisions
recommending action and news releases.
Authority for maintenance of the system:
47 U.S.C. 4(i).
Purpose(s):
Record information is used by staff attorneys to determine
whether a violation of the ex parte rules has occurred.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Where there is an indication of a violation or potential
violation of the ex parte rules records from this system may be
referred to the appropriate agency charged with the responsibility of
prosecuting such violation or enforcing the applicable statute or
rule.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are maintained by the name of the party accused of an ex
parte violation.
Safeguards:
Records are maintained in file cabinets in an office that is
secured at the end of each business day. Since only one or two office
persons have need to routinely access this system, unauthorized
examinations would be easily detected.
Retention and disposal:
Destroy when 3 years old.
System manager(s) and address:
General Counsel, Office of General Counsel, FCC, 1919 M Street,
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Complaints, Security Officer, Bureau and Office Chiefs.
FCC/OGC-2
System name: Attorney Misconduct Files.
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Any attorney who appears in a representative capacity before the
FCC and who is charged with attorney misconduct.
Categories of records in the system:
Correspondence, briefs, related Commission agenda items, bar
association recommendations, investigative findings, complaints of
attorney misconduct, memoranda, pleadings.
Authority for maintenance of the system:
5 U.S.C. 500(d).
Purpose(s):
Record information is used by staff attorneys to prosecute a case
for attorney misconduct before FCC administrative law judges or
before the Commission.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are retrieved by the name of the attorney charged with
misconduct.
Safeguards:
Records are kept in file cabinets in offices that are secured at
the end of each business day. Since only one or two staff persons
routinely access this record system, unauthorized examination during
business hours would be easily detected.
Retention and disposal:
Destroyed 5 years after case closure.
System manager(s) and address:
General Counsel, Office of General Counsel, FCC, 1919 M Street,
NW, Washington, DC 20554.
Notification procedure:
See Contesting lrecord procedures.
Record access procedure:
See Contesting record procedures.
Contesting record procedures:
This system is exempt from the requirement that the agency
publish the procedures for notifying an individual, at his or her
request, if the system contains a record pertaining to him/her, for
gaining access to such record, and for contesting the contents of the
record.
Record source categories:
This system is exempt from the requirement that the agency
publish the categories of sources of records in this system.
System exempted from certain provisions of the Act:
This system of records is exempt from subsections (c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I) and (f) of the Privacy Act of 1974, 5
U.S.C. 552a, and from Secs. 0.554-0.557 and 0.559 of the Commission's
rules. These provisions concern notification, record access, and
contesting procedures, as well as publication of record sources. This
system is exempt from these provisions because it is maintained for
law enforcement purposes pursuant to subsection (k)(2) of the Act.
FCC/OGC-3
System name: Employee Complaint Adjudication.
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Any Commission employee who is the subject of a complaint
investigation involving internal personnel actions or activities,
i.e., discrimination, grievance, political activity, separation or
adverse action.
Categories of records in the system:
Records in this system involve internal personnel disputes that
have reached the hearing stage, and may include correspondence,
memoranda, transcripts of hearings, briefs, pleadings, investigative
reports, decisions of hearing examiners and Commissioners.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
1. Records are used by staff attorneys in the General Counsel's
office in settlement negotiations with opposing parties; records are
also used in preparation for hearings before an administrative body
or a court of appropriate jurisdiction.
2. A record on an individual in a system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court of
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
2. A record from this system of records which concerns
information on pay and leave, benefits, retirement deductions, and
any other pertinent information may be disclosed to the Office of
Personnel Management in order for it to carry out its legally
authorized Government-wide functions and duties.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are retrieved by the name of the subject individual in
the investigation.
Safeguards:
Records are maintained in file cabinets in an office that is
secured at the end of each business day. Since only one or two staff
persons routinely access this record system, unauthorized examination
during business hours would be easily detected.
Retention and disposal:
Destroyed 5 years after case closure.
System manager(s) and address:
General Counsel, Office of General Counsel, FCC, 1919 M Street,
NW, Washington, DC 20554
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Co-workers of subject individual, other supervisors,
classification experts, other persons involved in the case.
FCC/OGC-4
System name: Parties Involved in Current Litigtion Before
Federal Courts.
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554
Categories of individuals covered by the system:
Any person who is a captioned party of record in an appeal or
petition for review of a Commission action, or in other court filings
involving telecommunication matters.
Categories of records in the system:
Litigation Division docket files (duplicate files of those filed
with the Court and other parties).
Authority for maintenance of the system:
47 U.S.C. 402.
Purpose(s):
Record information is used by Commission attorneys for case
preparation and reference. The records contained in this system are
available for public inspection to the extent that they do not
contain information usually exempt from mandatory disclosure under
Exemption 5 of the FOIA, 5 U.S.C. 552(b)(5).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
2. A record for this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Indexed by case name, which may contain the name of an individual
as a party of record.
Safeguards:
Records are filed in the Litigation office and secured after
working hours.
Retention and disposal:
After cases have been decided or dismissed and reach the inactive
mode, the precedent-setting or important cases are reviewed to delete
duplicative or unnecessary material and then are forwarded to the
Library for binding. The cases remain in the Library for reference
and research purposes. The remainder of the case records are
destroyed when no longer needed or three years after closure,
whichever occurs first.
System manager(s) and address:
Geneal Counsel, Office of General Counsel, FCC, 1919 M Street,
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
U.S. Circuit Court of Appeals and parties to proceedings.
FCC/OGC-5
System name: Parties with Pending Civil Cases Before Any
District Court That Affect the Commission.
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Any individual who has a miscellaneous case involving the
Commission before any District Court.
Categories of records in the system:
Letters, memoranda, pleadings, briefs, bankruptcy papers.
Authority for maintenance of the system:
47 U.S.C. 402.
Purpose(s):
Record information is used by Commission attorneys to update
information or furnish additional data for the Government agency
handling the case. The records contained in this system are available
for public inspection to the extent that they do not contain
information usually exempt from mandatory disclosure under Exemption
5 of the FOIA, 5 U.S.C. 552(b)(5).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
2. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
3. A record in this system of records which concerns information
on pay and leave, benefits, retirement deductions, and any other
pertinent information may be disclosed to the Office of Personnel
Management in order for it to carry out its legally authorized
Government-wide functions and duties.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are retrieved by the name of the individual filing the
claim.
Safeguards:
Records are maintained in file cabinets in an office that is
secured at the end of each business day.
Retention and disposal:
The records are destroyed when no longer needed or after five
years, whichever occurs first.
System manager(s) and address:
General Counsel, Office of General Counsel, FCC, 1919 M Street,
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Justice Department; U.S. Attorneys; other Federal agencies; U.S.
District Courts; and parties to the proceedings.
FCC/OGC-6
System name: Private or Civil Injury Claimants.
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554
Categories of individuals covered by the system:
Any individual who files a damage claim against the Commission or
commits a tort against a Commission employee.
Categories of records in the system:
Accident reports, tort claim vouchers, correspondence, memoranda,
medical and payment receipts, repair and payment receipts, pictures.
Authority for maintenance of the system:
Federal Tort Claims Act, 28 U.S.C. 2672.
Purpose(s):
Record information is used by attorneys in the Office of General
Counsel to determine whether a damage claim filed against the
Commission should be paid and for reference purposes when similar
cases arise. If it is determined that the claim should not be paid or
if the Commission cannot make the final determination whether or not
to pay a claim, the record is routinely transferred to the
appropriate agency charged with the responsibility of disposition.
The records contained in this system are available for public
inspection to the extent that they do not contain information usually
exempt from mandatory disclosure under Exemption 5 of the FOIA, 5
U.S.C. 552(b)(5).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
2. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are retrieved by the name of the individual who filed the
claim.
Safeguards:
Records are kept in a file cabinet in an office that is locked at
the end of each business day. Since only one or two office persons
routinely access this system, unauthorized examination during
business hours would be easily detected.
Retention and disposal:
Destroy 5 years after case closure.
System manager(s) and address:
General Counsel, Office of General Counsel, FCC, 1919 M Street
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Witnesses; Office of General Counsel; Office of Managing
Director; claimants; and employees.
FCC/OGC-7
System name: Garnishment and Levy of Wages.
System location:
Office of General Counsel, Federal Communications Commission
(FCC), 1919 M Street, NW, Washington, DC 20554
Categories of individuals covered by the system:
Any Commission employee who is the subject of a garnishment or
levy order issued by a court of competent jurisdiction or by another
government entity authorized to issue such order.
Categories of records in the system:
Garnishment of levy orders served upon the agency for
implementation, correspondence, memoranda.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Records are used by staff attorneys in the General Counsel's
office in directing the agency's implementation of garnishment and
levy orders.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule regulation or order.
2. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
3. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or , when represented by the government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
4. A record in this system of records which concerns information
on pay and leave, benefits, retirement deductions, and any other
pertinent information may be disclosed to the Office of Personnel
Management in order for it to carry out its legally authorized
Government-wide functions and duties.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are maintained by the name of the individual subject to
garnishment or levy order.
Safeguards:
Records are kept in file cabinets in offices that are secured at
the end of each business day. Because only one or two office persons
have need to routinely access this system, unauthorized examinations
would be easily detected.
Retention and disposal:
Records are normally retained as long as the Commission remains
under the obligation to implement the particular garnishment or levy
order.
System manager(s) and address:
General Counsel, Office of General Counsel, FCC, 1919 M Street,
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedure:
Same as above.
Record source categories:
Bankruptcy courts, state domestic relations courts, state public
health and welfare departments or agencies, Internal Revenue Service,
intra-agency memoranda.
FCC/OIG-1
System name: Criminal Investigative Files.
Security classification:
Not applicable.
System location:
Office of the Inspector General (OIG), Federal Communications
Commission (FCC), 1919 M Street, Washington, DC 20554.
Categories of individuals covered by this system:
This system of records is limited to records on individuals,
including present and former FCC employees, who are or have been the
subjects of investigations conducted by the OIG in accordance with
the IG's authority derived from the Inspector General Act of 1978, as
amended, 5 U.S.C. appendix 3. These investigations arise within the
contest of alleged violations of criminal laws which proscribe fraud
and abuse in the execution of the Commission's programs and
operations.
Categories of records in the system:
Case files developed during investigations of known or alleged
fraud and abuse, or other irregularities or violations of criminal
laws and regulations. Case files related to programs and operations
administered or financed by the FCC, including contractors and others
doing business with the FCC. Investigative files relating to FCC
employees' hotline complaints and other miscellaneous complaint
files. Investigative reports and related documents, such as
correspondence, notes, attachments, and working papers.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended by Pub. L. 100-504,
October 18, 1988.
Purpose(s):
For the purpose of preventing or detecting fraud or abuse,
conducting and supervising audits and investigations relating to
programs and operations, informing the Chairman about problems and
deficiencies in the Commission's programs and operations or
suggesting corrective action in reference to identified
irregularities, problems or deficiencies, the Commission's Inspector
General is establishing this system of records. This action is
required in order to reflect the creation of the OIG in March 1989,
and its statutory authorization to perform investigations. (See 54 FR
15194, April 17, 1989). This system consists of the OIG's
Investigative Files compiled for criminal investigation purposes
(FCC/OIG-1).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records maintained by the OIG to carry out its functions may be
disclosed, as routine use, as follows:
1. Where there is an indication of violation or potential
violation of statute, regulation, rule or order, records from this
system may be referred to the appropriate Federal, foreign, state or
local agency responsible for investigating or prosecuting a violation
or for enforcing or implementing the statute, rule, regulation or
order.
2. To any source, either private or government, to the extent
necessary to secure from such source information relevant to and
sought in furtherance of an investigation or audit to be conducted by
the OIG.
3. To private contractors for the purpose of collating,
analyzing, aggregating or otherwise refining records pertaining to an
OIG investigation or audit. Disclosure will also be made to
independent auditors who by contract carry out audits on behalf of
the OIG. Such contractors will be required to maintain Privacy Act
safeguards with respect to such records.
4. To the U.S. Department of Justice in order to obtain that
department's advice regarding disclosure obligations under the
Freedom of Information Act within the context of investigations and
audits conducted by the OIG.
5. To the Office of Management and Budget in order to obtain that
office's advice regarding obligations under the Privacy Act within
the context of investigations and audits conducted by the OIG.
6. To the Department of Justice or the Office of General Counsel
of the Commission or independent counsel retained by OIG when the
defendant in litigation is:
a. Any component of the Commission or any employee of the
Commission is his or her official capacity;
b. The United States where the Commission determines that the
claim, if successful, is likely to directly affect the operations of
the Commission;
c. Any Commission employee in his or her individual capacity
where the Department of Justice and/or the Office of the General
Counsel of the Commission agree to represent such employee.
In each of these cases, the FCC will determine whether disclosure
of the records is compatible with the purpose for which the records
are collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The OIG Investigative Files consist of paper records maintained
in file folders and an automatic data base maintained on computer
diskettes. All records are stored under secure conditions.
Retrievability:
Records are filed alphabetically by name of the subject of the
investigation or by a unique file number assigned to each
investigation.
Safeguards:
Records are kept in locked file cabinets in offices that are
further secured at the end of each business day. Limited access of
these records is permitted by those persons whose official duties
require such access, thus unauthorized examination during business
hours would be easily detected.
Retention and disposal:
The Investigative Files are kept by the specified periods of 5 to
10 years from the date the files are closed, in accordance with the
National Archives and Records Schedule 22. Disposition of records
shall be in accordance with FCC Records Maintenance and Disposition
System.
System manager(s) and address:
Inspector General, Office of Inspector General, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notification procedure:
Pursuant to section (j)(2) of the Privacy Act the publication of
notification, access and contesting procedures for records contained
in this system is not necessary. Under certain circumstances,
however, a determination as to the availability of these procedures
shall be made at the time a request for notification, access, or
contesting is received. Such inquiries should be addressed to the
System Manager at the above address. Written requests should be
clearly marked, ``Privacy Act Request'' on the envelope and letter.
Include full name of the individual, some type of appropriate
personal identification, and current address.
Record access procedures:
See statement in the notification procedures section above.
Contesting record procedures:
See statement in the notification procedure section above.
Record source categories:
Pursuant to section (j)(2) of the Privacy Act, 5 U.S.C.
552a(j)(2), the Commission is not required to publish the categories
of the sources from which records contained in this system are
obtained.
Systems exempted from certain provisions of the Act:
Pursuant to section (j)(2) of the Privacy Act, 5 U.S.C.
552a(j)(2), this system is exempt from all of the provisions of the
Privacy Act except subsections (b), (c)(1) and (c)(2), (e)(4)(A)
through (F), (e)(6), (e)(7), (e)(9), (e)(10) and (e)(11) and (i). The
Commission's rules implementing the Privacy Act will state that this
system of records is exempt from the Privacy Act provisions referred
to in this paragraph. See 47 CFR 0.561.
FCC/OIG-2
System name: General Investigative Files.
Security classification
Not applicable.
System location:
Office of the Inspector General (OIG), Federal Communications
Commission (FCC), 1919 M Street, Washington, DC 20554.
Categories of individuals covered by this system:
This system of records contains records on individuals, including
present and former FCC employees, who are or have been the subjects
of general investigations conducted by the OIG relating to
allegations raised pertaining to fraud and abuse with respect to
programs and operations of the Commission.
Categories of records in the system:
Case files developed during investigations of known or alleged
waste, fraud, and abuse, or other irregularities or violations of
laws and regulations. Case files related to programs and operations
administered or financed by the FCC, including contractors and others
doing business with the FCC. Investigative files relating to FCC
employee's hotline complaints, and other miscellaneous complaint
files. Investigative reports and related documents, such as
correspondence, notes, attachments, and working papers.
Authority for maintenance of the system:
Inspector General Act of 1978, as amended by Pub. L. 100-504,
October 18, 1988.
Purpose(s):
For the purpose of preventing or detecting waste, fraud, or
abuse, conducting and supervising audits and investigations relating
to programs and operations, informing the Chairman about problems and
deficiencies in the Commission's programs and operations or
suggesting corrective action in reference to identified
irregularities, problems or deficiencies, the Commission's Inspector
General is establishing this system of records. This action is
required in order to reflect the creation of the OIG in March 1989,
and its statutory authorization to perform investigations. (See 54 FR
15194, April 17, 1989). This system consists of the OIG's
Investigative Files compiled for law enforcement purposes (FCC/OIG-
2).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records maintained by the OIG to carry out its functions may be
disclosed, as routine use, as follows:
1. Where there is an indication of violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, foreign, state or
local agency responsible for investigating or prosecuting a violation
or for enforcing or implementing the statute, rule, regulation or
order.
2. To any source, either private or governmental, to the extent
necessary to secure from such source information relevant to and
sought in furtherance of an investigation or audit to be conducted by
the OIG.
3. To private contractors for the purpose of collating,
analyzing, aggregating or otherwise refining records pertaining to an
OIG investigation or audit. Disclosure will also be made to
independent auditors who by contract carry out audits on behalf of
the OIG. Such contractors will be required to maintain Privacy Act
safeguards with respect to such records.
4. To the U.S. Department of Justice in order to obtain that
department's advice regarding disclosure obligations under the
Freedom of Information Act within the context of investigations and
audits conducted by the OIG.
5. To the Office of Management and Budget in order to obtain that
office's advice regarding obligations under the Privacy Act within
the context of investigations and audits conducted by the OIG.
6. To the Department of Justice or the Office of General Counsel
of the Commission or independent counsel retained by OIG when the
defendent in litigation is:
a. Any component of the Commission or any employee of the
Commission in his or her official capacity;
b. The United States where the Commission determines that the
claim, if successful, is likely to directly affect the operations of
the Commission;
c. Any Commission employee in his or her individual capacity
where the Department of Justice and/or the Office of the General
Counsel of the Commission agree to represent such employee.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The OIG Investigative Files consist of paper records maintained
in file folders and an automated data base maintained on computer
diskettes. All records are stored under secure conditions.
Retrievability:
Records are filed alphabetically by name of the subject of the
investigation or by a unique file number assigned to each
investigation.
Safeguards:
Records are kept in locked file cabinets in offices that are
further secured at the end of each business day. Limited access of
these records is permitted by those persons whose official duties
require such access, thus unauthorized examination during business
hours would be easily detected.
Retention and disposal:
The Investigative Files are kept by the specified periods of 5 to
10 years from the date the files are closed, in accordance with the
National Archives and Records Schedule 22. Disposition of records
shall be in accordance with FCC Records Maintenance and Disposition
System.
System manager(s) and address:
Inspector General, Office of Inspector General, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notification procedure:
See Contesting record procedures.
Record access procedure:
See Contesting record procedures.
Contesting record procedures:
Pursuant to section (k)(2) of the Privacy Act the publication of
notification, access and contesting procedures for records contained
in this system is not necessary. Under certain circumstances,
however, a determination as to the availability of these procedures
shall be made at the time a request for notification, access, or
contesting is received. Such inquiries should be addressed to the
System Manager at the above address. Written requests should be
clearly marked, ``Privacy Act Request'' on the envelope and letter.
Include full name of the individual, some type of appropriate
personal identification, and current address.
Record source categories:
Pursuant to section (k)(2) of the Privacy Act, 5 U.S.C.
552a(k)(2), the Commission is not required to publish the categories
of the sources from which records contained in this system are
obtained.
Systems exempted from certain provisions of the act:
Pursuant to section (k)(2) of the Privacy Act, 5 U.S.C.
552a(k)(2), this system is exempt from all of the provisions of the
Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I) and
(f). The Commission's rules implementing the Privacy Act will state
that this system of records is exempt from the Privacy Act provisions
referred to in this paragraph. See 47 CFR 0.561.
FCC/OMD-2
System name: Labor and Employee Relations Case Files.
System location:
Labor Relations and Workforce Effectiveness Division, Office of
Associate Managing Director--Human Resources Management, Office of
Managing Director, Federal Communications Commission (FCC), 1919 M
Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Current and former FCC employees.
Categories of records in the system:
This system contains a variety of records relating to formal and
informal actions based on conduct or performance; grievances filed
under the negotiated or administrative grievance procedures; requests
for reconsideration; arbitrations; appeals; and miscellaneous
inquires and complaints. The records may include information such as
case number; employee name, social security number, grade, job title,
and employment history. The records may also include copies of
notices of proposed actions; materials relied on by the agency to
support the proposed action; statements of witnesses; employee
responses or appeals; transcripts; and agency decisions.
Authority for maintenance of the system:
5 U.S.C. 33, 35, 43, 61, 63, 71, 73, 75, and 77; 5 CFR parts 315,
359, 432, 531, 532, 610, 630, 715, 733, 735, 752, and 771.
Routine uses of records maintained in the system, including
categories of users and the purposes of such use:
1. To provide information to officials of labor organizations
recognized under 5 U.S.C. chapter 71 when relevant and necessary to
their duties of exclusive representation concerning personnel
policies, practices, and matters affecting working conditions.
2. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
3. A record from this system may be disclosed to those sources
from which additional information is requested in order to process
personnel actions, to the extent necessary to identify the
individual, inform the source or the purpose(s) of the request, and
to identify the type of information requested.
4. A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
conducting of a security or suitability investigation of an
individual, or the classifying of jobs, to the extent that the
information is relevant and necessary to the requesting agency's
decision on the hiring or retention of an employee, or the issuance
of a security clearance.
5. A record from this system may be disclosed to a Congressional
office in response to an inquiry the individual has made to the
Congressional office.
6. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
7. A record from this system may be disclosed in response to a
request for discovery or for appearance of a witness, information
that is relevant to the subject matter involved in a pending judicial
or administrative proceeding.
8. A record from this system may be disclosed to officials of the
Merit Systems Protection Board, including the Office of the Special
Counsel, when requested in connection with appeals, special studies
of the civil service and other merit systems, review of OPM rules and
regulations, investigations of alleged or possible prohibited
personnel practices, and such other functions; e.g., as promulgated
in 5 U.S.C. 1205 and 1206, or as may be authorized by law.
9. A record from this system may be disclosed to the Equal
Employment Opportunity Commission when requested in connection with
investigations into alleged or possible discrimnation practices in
the Federal sector, examination of Federal affirmative employment
programs, compliance by Federal agencies with applicable laws and
regulations, or other functions vested in the Commission by
applicable law.
10. A record from this system may be disclosed to the Federal
Labor Relations Authority or its General Counsel when requested in
connection with investigations of allegations of unfair labor
pratices or matters before the Federal Service Impasses Panel.
11. A record from this system may be disclosed to other Federal
agencies information needed for the performance of their official
duties related to reconciling or reconstructing data files, in
relating to personnel actions. 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved preliminarily by case number. An
examination of case logs will disclose the name of an employee
associated with a case number.
Safeguards:
These records are maintained in secured metal filing cabinets to
which only authorized personnel have access.
Retention and disposal:
1. Records pertaining to the following matters are disposed of at
the end of the first fiscal year following completion of the fiscal
year in which the action was taken: Informal actions based on conduct
or performance; oral admonishments confirmed in writing; and written
reprimands.
2. Records pertaining to the following matters are disposed of at
the end of the third fiscal year following completion of the fiscal
year in which the action was taken: Grievances processed under the
negotiated or administrative grievance procedures; appeals; requests
for restoration of annual leave; and requests for admission to the
agency's leave transfer program.
3. Records pertaining to the following matters are disposed of at
the end of the fourth fiscal year following completion of the fiscal
year in which the action was taken: Within-grade increase denials/
postponements; suspensions, removals, and furloughs taken under
authority of 5 U.S.C. chapters 35 and 75; and requests for
reconsideration/review.
4. Records pertaining to the following matters are disposed of at
the end of the fifth fiscal year following completion of the fiscal
year in which the action was taken: Removals, demotions, and
reassignments based on unacceptable performance; arbitrations; and
unfair labor practices.
Disposal is by shredding or burning.
System manager(s) and address:
Managing Director, Office of Managing Director, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notification procedure:
Individuals subject to an action governed by this system of
records will be provided access to the record upon request, subject
to applicable law and regulation. Individuals should contact the
System Manager for access. They must furnish the following
information in writing for their records to be located and
identified:
a. Name.
b. Date of birth.
c. Approximate opening and closing dates of the case and the kind
of action involved.
d. Organizational component involved.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Individuals wishing to request amendment of their records to
correct factual errors should contact the System Manager in writing.
The following information must be provided:
a. Name.
b. Date of birth.
c. Approximate opening and closing date of the case and the kind
of action involved.
d. Organizational component involved.
Record source categories:
Information in this system of records is provided by:
a. The individual on whom the record is maintained.
b. Testimony of witnesses.
c. Supervisors and managers.
d. Union officials.
e. Arbitrators and other third-parties, such as the Department of
Labor, Federal Labor Relations Authority, and Merit System Protection
Board.
FCC/OMD-3
System name: Federal Advisory Committee Membership File.
System location:
Program Analysis Staff, Office of Managing Director, Federal
Communications Commission (FCC), 1919 M Street, NW, Washington, DC
20554.
Categories of individuals covered by the system:
Members of Federal advisory committees sponsored or co-sponsored
by FCC.
Authority for maintenance of the system:
Pub. L. 92-463, Federal Advisory Committee Act.
Categories of records in the system:
Information showing individual name, business address, business
telephone number, and occupation or title.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. To distribute information to members of each committee,
convene meetings, and conduct general committee business.
2. To provide information to the public upon request.
3. To furnish information to the General Services Administration
for use in compiling an annual report.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
File folders.
Retrievability:
Records are grouped by name of committee and filed and retrieved
thereunder by name of committee member.
Safeguards:
Paper records are maintained in file cabinets in offices which
are locked at the end of each business day.
Retention and disposal:
Records are retained until the Committee is terminated, and then
transferred to the Federal Records Center.
System manager(s) and address:
Managing Director, Office of the Managing Director, FCC, 1919 M
Street, NW, Washington, DC 20554.
Notificaton procedures:
Address inquiries to the system manager. Name of advisory
committee should be included in the inquiry.
Record access procedures:
Same of notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Committee members.
FCC/OMD-4
System name:
Security Office Control Files.
System location:
Federal Communications Commission (FCC), Office of Managing
Director, Security Operations Staff, 1919 M Street, NW., Washington,
DC 20554.
Categories of individuals covered by the system:
Current and former FCC employees and contractors.
Categories of records in the system:
The system consists of a computer database, last, first, and
middle name, filed alphabetically by last name, containing Social
Security Number, date of birth, place of birth, classification as to
position sensitivity, types and dates of investigations,
investigative reports, dates and levels of clearances.
Authority for maintenance of the system:
Executive Orders 10450 and 12065.
Purpose(s):
These records are used by FCC Security Officer and the Personnel
Security Specialist of the Security Office for reference in
connection with the control of position sensitivity and security
clearances.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. For disclosure to a Federal agency or the District of Columbia
Government, in response to its request, in connection with the hiring
or retention of an employee/contractor, the issuance of a security
clearance, the conducting of a security or suitability investigation
of an individual, the classifying of jobs, the letting of a contract,
or the issuance of a license, grant, or other benefit by the
requesting agency, to the extent that the information is relevant and
necessary to the requesting agency's decision on the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
2. For disclosure to the security office of an agency in the
executive, legislative, or judicial branch, or the District of
Columbia Government, in response to its request for verification of
security clearances, of FCC employees/contractors to have access to
classified data or areas where their official duties require such
access.
3. Where there is an indication of a violation or potential
violation of a statute, regulation, rule or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
4. A record from this system may be disclosed to request
information from a Federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as licenses, if necessary to obtain
information relevant to a Commission decision concerning the hiring
or retention of an employee/contractor, the issuance of a security
clearance, the letter of a contract, or the issuance of a license,
grant or other benefit.
5. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
6. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
7. 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in the stand alone computer database.
Retrievability:
Records are retrieved by the name and social security numbers of
individuals on whom they are maintained.
Safeguards:
The stand alone computer is stored within a secured area.
Retention and disposal:
When an employee/contractor leaves the agency the file in the
database is deleted. If there is an investigative file on an
employee/contractor, the file is kept 5 years after the employee/
contractor leaves the agency.
System manager(s) and address:
FCC, Office of Managing Director, 1919 M Street, N.W.,
Washington, DC 20554.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above. Individuals must furnish the following information
for their records to be located and identified:
a. Full name.
b. Social Security Number.
Record access procedures:
Individuals wishing to request access to records about them
should contact the system manager indicated above. Individuals must
furnish the following information for their record to be located and
identified:
a. Full name.
b. Social Security Number.
An individual requesting access must also follow FCC Privacy Act
regulations regarding verification of identity and access to records
(47 CFR 0.554 and 0.555).
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the system manager indicated above. Individuals must furnish
the following information for their record to be located and
identified:
a. Full name.
b. Social Security Number.
An individual requesting amendment must also follow the FCC
Privacy Act regulations regarding verification of identity and
amendment of records (47 CFR 0.556 and 0.557).
Record source categories:
a. The individual to whom the information applies.
b. Investigative files maintained by the OPM, Federal
Investigations Processing Center.
c. Employment information maintained by the Personnel office of
the FCC.
FCC/OMD-6
System name: Records of Money Received, Refunded, and Returned.
System location:
Financial Management Division, Associate Managing Director--
Operations, Office of Managing Director, Federal Communications
Commission (FCC), 1919 M Street, NW, Washington, DC 20554 and
Licensing Division, Private Radio Bureau, FCC, Route 116, Gettysburg,
PA 17326.
Categories of individuals covered by the system:
Individuals making payments to cover forfeitures assessed, fees
collected and services rendered; refunds for incorrect payments or
overpayments (including application processing fees, travel advances,
advance sick leave and advance annual leave); billing and collection
of bad checks; and miscellaneous monies received by the Commission
(including reimbursement authorized under the Travel Reimbursement
Program).
Categories of records in the system:
Names, Social Security numbers, telephone numbers and addresses
of individuals; records of services rendered; forfeitures assessed
and collected; amounts; dates; check numbers; locations; bank deposit
information; transaction type information; United States Treasury
deposit numbers; ship name and call sign; and information
substantiating fees collected, refunds issued, and interest,
penalties, and administrative charges assessed to individuals.
Authority for maintenance of the system:
Budget and Accounting Act of 1921; Budget and Accounting
Procedures Act of 1950; Federal Communications Commission
Authorization Act of 1989 and 31 U.S.C. 525.
Purpose(s):
The primary uses of the records are (a) to account for all monies
received by the Commission from the public and refunded to the
public; (b) to compute vouchers to determine amounts claimed and
reimbursed, and (c) to account for all advances given to employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, State, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request
information from a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as licenses, if necessary to obtain
information relevant to a Commission decision concerning the hiring
or retention of an employee, the issuance of a security clearance,
the letting of a contract, or the issuance of a license, grant or
other benefit.
3. A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
6. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when represented by the Government, an employee of
the Commission is a party to litigation or anticipated litigation or
has an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
8. A record from this system of records which concerns
information on pay and leave, benefits, retirement deductions, and
any other pertinent information may be disclosed to the Office of
Personnel Management in order for it to carry out its legally
authorized Government-wide functions and duties.
9. Records from this system may be disclosed 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 (31
U.S.C. 3701) (a) (3)). 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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper, computer printout, microfilm, microfiche, magnetic disc,
and magnetic tape.
Retrievability:
By name and/or type of transaction; call sign; processing number,
Social Security number, employer identification number, soundex
number, fee control number, payment ID number or seqential number.
Safeguards:
Records are located in secured metal file cabinets, metal vaults,
and in metal file cabinets in secured rooms or secured premises, with
access limited to those individuals whose official duties require
access.
Retention and disposal:
Retained for two years following the end of the current fiscal
year; then transferred to the Federal Records Center and destroyed
when 6 years and 3 months old.
System manager(s) and address:
Managing Director, Office of Managing Director, FCC, 1919 M
Street NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedure:
Same as above.
Record source categories:
Subject individual; Federal Reserve Bank; agent of subject; or
Attorney-At-Law of the subject individual.
FCC/OMD-7
System name:
FCC Employee Transit Benefit Program.
System location:
FCC, Office of Managing Director, AMD--Operations, Operations
Management Services Division, 1919 M Street, NW, Washington, DC
20554.
Categories of individuals covered by the system:
FCC employees who apply for and participate in the FCC Transit
Benefit Program.
Categories of records in the system:
This system contains various records required to administer the
Transit Benefit Program. It contains information regarding the
organizational location, telephone number, FCC badge number, home
address, mode of transportation and monthly cost of transportation of
any applicant who has submitted an application for the Transit
Benefit Program. The system contains records and reports of
disbursements to transit benefit recipients and information on local
public mass transit facilities. The records in the system consist of
the Employee Transit Benefit Program Application, Transit Benefit
Certification Forms, and Change of Information on Employee Transit
Benefit Program Application.
Authority for maintenance of the system:
The Federal Employees Clean Air Incentives Act (section 2(a) of
Pub. L. 103-172, found at 5 U.S.C. 7905).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Commission does not normally disclose records from this
system of records. However, in the event it is appropriate,
disclosure of relevant information may be made in accordance with the
provisions of 5 U.S.C. 552a(b). Records and data may be disclosed as
necessary pursuant to 5 U.S.C. 552a(b)(3):
1. To a member of Congress or to a Congressional staff member in
response to an inquiry of the Congressional office made at the
written request of the constituent about whom the record is
maintained;
2. 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 where the Department of Justice has agreed to
represent the employee; or (c) the United States Government, is a
party to litigation or has an interest in such litigation, and by
careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records
by the Department of Justice is therefore deemed by the agency to be
for a purpose that is compatible with the purpose for which the
agency collected the records; and
3. To the National Finance Center (the Commission's designated
payroll office), the Department of the Treasury's Debt Management
Services and/or a current employer to effect a salary, IRS tax refund
or administrative offset to satisfy an indebtedness incurred for
unofficial use of transit benefits; and to Federal agencies to
identify and locate former employees for the purpose of collecting
such indebtedness, including through administrative, salary or tax
refund offsets. Identifying and locating former employees, and the
subsequent referral to such agencies for offset purposes, may be
accomplished through authorized computer matching programs.
Disclosures will be made only when all procedural steps established
by the Debt Collection Act of 1982, and the Debt Collection
Improvement Act of 1996 or the Computer Matching and Privacy
Protection Act of 1988 as appropriate, have been taken.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are maintained on 8\1/2\ x 11 and 8\1/2\ x 5 papers in
file folders and on the transit benefit computer system. Storage will
be at the FCC, Office of the Managing Director, AMD--Operations,
Operations Management and Services Division, 1919 M Street, NW.,
Washington, DC 20554.
Retrievability:
Records are retrieved by the employee's name and/or by the FCC
Badge Identification Number.
Safeguards:
Records are maintained in a secured area and are available only
to authorized personnel responsible for implementing the Program and
whose duties require access. Computer systems are set up with a
secured password. File cabinets where the records are stored will be
controlled by on-site personnel when unlocked and locked when not in
use.
Retention and disposal:
Records are disposed of in accordance with General Records
Schedule 6, National Archives and Records Administration.
System manager(s) and address:
Federal Communications Commission, Chief, Operations Management
and Services Division, 1919 M St., NW., Room 404, Washington, DC
20554.
Notification procedure:
Anyone inquiring about an employee record under the Transit
Benefit Program should contact the Transit Benefit Program
Coordinator. Individuals must supply their full name and FCC Badge
Identification Number (ID Number must match what is in the system) in
order for records to be located and identified.
Record access procedures:
Same as Notification Procedures.
Contesting record procedures:
Same as Notification Procedures.
Record source categories:
Information in the system of records is obtained from
applications submitted by individuals for participation in the
Transit Benefit Program.
Exemptions claimed for the system:
None.
FCC/PRB-4
System name: Private Radio Bureau Compliance.
System location:
Private Radio Bureau, Federal Communications Commission (FCC),
2025 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Licensees, applicants, and unlicensed persons under parts 80, 87,
90, 94, 95, and 97 of the rules about whom there are questions of
compliance with the Commission's rules or the Communications Act of
1934. Unlicensed persons operating radio equipment.
Categories of records in the system:
Compliance case history logs; investigatory and hearing files
with inspection reports, complaints, correspondence, pleadings, legal
memoranda, investigative findings, forfeiture notices.
Authority for maintenance of the system:
47 U.S.C. 301, 303, 309(e), 312, 362, 364, 386, 507, and 510.
Purpose(s):
Used by bureau employees in compliance, rule waiver, and hearing
cases to document, to evaluate, to impose sanctions for non
compliance with the Rules or Act, and to grant waivers.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. Where there is an indication of a violation or potential
violation of a statute, regulation, rule, or order, records from this
system may be referred to the appropriate Federal, state, or local
agency responsible for investigating or prosecuting a violation or
for enforcing or implementing the statute, rule, regulation or order.
2. A record from this system may be disclosed to request
information from a Federal, state, or local agency maintaining civil,
criminal, or other relevant enforcement information or other
pertinent information, such as licenses, if necessary to obtain
information relevant to a Commission decision concerning the issuance
of a license, grant or other benefit or enforcement proceedings.
3. A record from this system may be disclosed to a Federal
agency, in response to its request, in connection with the hiring or
retention of an employee, the issuance of a security clearance, the
reporting of an investigation of an employee, the letting of a
contract, or the issuance of a license, grant or other benefit.
4. A record on an individual in this system of records may be
disclosed to a Congressional office in response to an inquiry the
individual has made to the Congressional office.
5. A record from this system of records may be disclosed to GSA
and NARA for the purpose of records management inspections conducted
under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall not
be used to make a determination about individuals.
6. A record on an individual in this system of records may be
disclosed, where pertinent, in any legal proceeding to which the
Commission is a party before a court or administrative body.
7. A record from this system of records may be disclosed to the
Department of Justice or in a proceeding before a court or
adjudicative body when:
(a) The United States, the Commission, a component of the
Commission, or, when arising from his employment, an employee of the
Commission is a party to litigation or anticipated litigation or has
an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
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.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Case materials are in file folders. Logs are on cards, paper, and
electromagnetic computer tape.
Retrievability:
Records are filed and retrieved by name of licensee, applicant or
unlicensed individual or call sign.
Safeguards:
Paper records are maintained on a division level in appropriate
file cabinets in offices which are locked at the end of each business
day. Access to computer records is controlled by password.
Retention and disposal:
The documentation portions of these records are retained for 3
years after the case is closed and then destroyed.
System manager(s) and address:
Chief, Private Radio Bureau, FCC, 2025 M Street, NW, Washington,
DC 20554.
Notification procedure:
Record access procedure:
Contesting record procedures:
This system is exempt from the requirement that the agency
publish the procedures for notifying an individual, at his or her
request, if the system contains a record pertaining to him/her, for
gaining access to such record, and for contesting the contents of the
record.
Record source categories:
This system is exempt from the requirement that the agency
publish the categories of sources of records in this system.
Systems exempted from certain provisions of the act:
This system of records is exempt from subsections (c)(3), (d),
(e)(1), (e)(4) (G), (H), and (I), and (f) of the Privacy Act of 1974,
5 U.S.C. 552(a), and from Secs. 0.554-0.557 of the Commission's
rules. These provisions concern notification, record access, and
contesting procedures, as well as the publication of record sources.
The system is exempt from these provisions because it contains
investigatory material compiled for law enforcement purposes as
defined in section (k)(2) of the Privacy Act.
FCC/PRB-5
System name: Application Review List for Present or Former
Licensees, Operators or Unlicensed Persons Operating Radio
Equipment Improperly.
System location:
Private Radio Bureau, Federal Communications Commission (FCC),
2025 M Street, NW, Washington, DC 20554.
Categories of individuals covered by the system:
Individuals who are or have been licensed under parts 13, 80, 87,
95, or 97 of the rules who have operated in violation of the
Commission's rules or the Communications Act. Unlicensed persons who
have operated radio transmitting equipment. Persons who have had a
license revoked or have had an application dismissed or denied, and
are prohibited from filing another application within one year.
Categories of records in the system:
Name, address, date of birth (if known) of individual,
authorization code of staff member who placed name in the file, and
the date the name was placed in the file.
Authority for maintenance of the system:
47 U.S.C. 301, 303, 309(e), and 312.
Purpose(s):
Needed by selected staff and field employees to determine whether
the applications of these individuals should be granted, dismissed or
set for hearing.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
On magnetic tape and computer printout.
Retrievability:
Information is filed alphabetically by name of individual in a
computer and is retrieved periodically through computer printout.
Safeguards:
Access to computer is controlled by password in a secured office
and the printouts are available only to selected staff personnel.
Retention and disposal:
The printouts are destroyed by machine shredding or by tearing
into pieces when a new list is distributed. The computer tapes are
retained for four back-up cycles and on the fifth update, the oldest
tape is destroyed. Individual names are removed from the file when
retention is no longer appropriate; entire list of names is reviewed
quarterly.
System manager(s) and address::
Chief, Private Radio Bureau, FCC, 2025 M Street, NW, Washington,
DC 20554.
Notification procedure:
Address inquiries to the system manager.
Record access procedure:
Same as above.
Contesting record procedure:
Same as above.
Record source categories:
Applicants and FCC Field Engineers.
FCC/WTB-1
System name:
Wireless Services Licensing Records.
System location:
Federal Communications Commission (FCC), 1919 M Street,
Washington, DC 20554. The records are maintained in electronic form
for agency use; paper records will be archived. The scope of records
includes applications, licenses and pleadings relating to such
applications and licenses in the Wireless Services.
Categories of individuals covered by the system:
Licensees and applicants (including persons or entities with
attributable interests therein as described below); tower owners; and
contact persons relating to radio systems licensed or processed by
the Wireless Telecommunications Bureau under parts 13, 22, 24, 26,
27, 74, 80, 87, 90, 95, 97, and 101 of the Commission's rules
(Wireless Services).
Categories of records in the system:
Applications, licenses, pleadings, and correspondence relating to
authorizations and requests for authorizations in the Wireless
Services. The current application forms will include the collection
of Taxpayer Identification Numbers (TINs) as defined by 26 U.S.C.
6109. The Debt Collection Improvement Act of 1996, 31 U.S.C. 7701,
(DCIA) now requires the agency to collect TINs from all individuals
or entities ``doing business'' with the FCC. The DCIA states that a
person is ``doing business'' before an agency if a person is ``* * *
an applicant for or recipient of a Federal license, * * *'' The FCC
considers persons and entities with attributable interests under 47
CFR 1.2112 as being ``applicant(s) for, or recipient[s] of, a Federal
license * * *'' for purposes of the DCIA. Entities subject to the
disclosure requirements of Sec. 1.2112--entities from whom we require
submission of ownership information regarding their relationship with
the applicant of record--are components of the applicant and thus
constitute ``an applicant for, or recipient of, a Federal license * *
*.'' Biennial Regulatory Review--Amendment of parts 0, 1, 13, 22, 24,
26, 27, 80, 87, 90, 95, 97, and 101 of the Commission's rules to
Facilitate the Development and Use of the Universal Licensing System
in the Wireless Telecommunications Services, Report and Order, WT
Docket No. 98-20, FCC 98-234,_ FCC Rcd _(released October 21,
1998)(paras. 132-42).
Authority for maintenance of the system:
47 U.S.C. 301, 303, 309, 312, 362, 364, 386, 507 and 510.
Authority to collect TINs is contained in 31 U.S.C. 7701.
Purpose(s):
Records are kept to administer the FCC's regulatory
responsibilities including licensing, enforcement, rulemaking, and
other actions necessary to perform spectrum management duties. The
system will also be maintained to provide public access to pending
requests for authorizations and information regarding current
licensees. License records are routinely used to determine the
availability of spectrum for licensing. The records are also used to
determine when compliance filings, renewal applications and fees are
due from licensees. FCC licensee records are used to resolve disputes
between radio operators regarding who has certain rights to use
particular frequency bands in particular geographic areas. The
records may also be used to resolve cross border disputes e.g.
disputes with entities operating in Canada and Mexico. Records will
be used to allow licensees to transfer or assign their interests in
particular licenses or portions of licenses as the rules permit
(after agency approval). Records will be used to evaluate the
completeness and sufficiency of requests for new or modified
authorizations. Public access to license data (except TIN numbers)
will promote the economically efficient allocation of spectrum and
the resolution of radio interference problems.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The licensee records will be publicly available and routinely
used in accordance with subsection (b) of the Privacy Act. TIN
Numbers and material which is afforded confidential treatment
pursuant to a request made under 47 CFR 0.459 will not be available
for Public inspection, however, these and all other records may also
be disclosed for the following purposes:
1. A record from this system may be disclosed where there is an
indication of a violation or potential violation of a statute,
regulation or order, records from this system may be used to conduct
enforcement proceedings within the agency, or may be referred to
Federal, state, or local law enforcement personnel responsible for
investigating, prosecuting or for enforcing or implementing the
statute, regulation or order.
2. Records may be utilized to report to the President, NTIA and
other federal agencies regarding the current uses and utilization of
the spectrum that the FCC manages.
3. A record on an individual may be used where pertinent in any
legal proceeding to which the Commission is a party before a court or
administrative body.
4. A record from this system may be disclosed to the Department
of Justice or in a proceeding before a court or adjudicative body
when:
(a) The United States, the Commission, a component of the
Commission, or, when arising from his employment, an employee of the
Commission is a party to litigation or anticipated litigation or has
an interest in such litigation, and
(b) The Commission determines that the disclosure is relevant or
necessary to the litigation.
5. A record from this system may be disclosed to debt collection
contractors (31 U.S.C. 3718) or to other Federal agencies such as the
Department of the Treasury (Treasury) for the purpose of collecting
and reporting on delinquent debts as authorized by the Debt
Collection Act of 1982 or the Debt Collection Improvement Act of
1996;
6. A record from this system may be disclosed to Treasury; the
Defense Manpower Data Center, Department of Defense; the United
States Postal Service; government corporations; or any other Federal,
State, or local agency to conduct an authorized computer matching
program in compliance with the Privacy Act of 1974, as amended, to
identify and locate individuals, including Federal employees, who are
delinquent in their repayment of certain debts owed to the U.S.
Government, including those incurred under certain programs or
services administered by the FCC, in order to collect debts under
common law or under the provisions of the Debt Collection Act of 1982
or the Debt Collection Improvement Act of 1996 which include by
voluntary repayment, administrative or salary offset, and referral to
debt collection contractors.
7. A record from this system may be disclosed to the Department
of Justice, United States Attorney, Treasury, or other Federal
agencies for further collection action on any delinquent account when
circumstances warrant.
8. A record from this system may be disclosed to credit reporting
agencies/credit bureaus for the purpose of either adding to a credit
history file or obtaining a credit history file or comparable credit
information for use in the administration of debt collection. As
authorized by the DCIA, the FCC may report current (not delinquent)
as well as delinquent consumer and commercial debt to these entities
in order to aid in the collection of debts, typically by providing an
incentive to the person to repay the debt timely. Proposed revisions
to the Federal Claims Collection Standards (FCCS) published in the
Federal Register on December 31, 1997, direct agencies to report
information on delinquent debts to the Department of Housing and
Urban Development's Credit Alert Interactive Voice Response System
(CAIVRS). The FCC will report this information to CAIVRS if the
proposed requirement is contained in the final rule amending the
FCCS.
9. A record from this system may be disclosed to any Federal
agency where the debtor is employed or receiving some form of
remuneration for the purpose of enabling that agency to collect a
debt owed the Federal government on the FCC's behalf. The FCC may
counsel the debtor for voluntary repayment or may initiate
administrative or salary offset procedures, or other authorized debt
collection methods under the provisions of the Debt Collection Act of
1982 or the Debt Collection Improvement Act of 1996. Pursuant to the
DCIA, the FCC may garnish non-Federal wages of certain delinquent
debtors so long as required due process procedures are followed. In
these instances, the FCC's notice to the employer will disclose only
the information that may be necessary for the employer to comply with
the withholding order.
10. A record from this system may be disclosed to the Internal
Revenue Service (IRS) by computer matching to obtain the mailing
address of a taxpayer for the purpose of locating such taxpayer to
collect or to compromise a Federal claim by the FCC against the
taxpayer pursuant to 26 U.S.C. 6103(m)(2) and in accordance with 31
U.S.C. 3711, 3717, and 3718 or common law. Disclosure of a mailing
address obtained from the IRS may be made only for debt collection
purposes, including to a debt collection agent to facilitate the
collection or compromise of a Federal claim under the Debt Collection
Act of 1982 or the Debt Collection Improvement Act of 1996, except
that disclosure of a mailing address to a reporting agency is for the
limited purpose of obtaining a credit report on the particular
taxpayer. Any mailing address information obtained from the IRS will
not be used or shared for any other FCC purpose or disclosed by the
FCC to another Federal, State, or local agency which seeks to locate
the same taxpayer for its own debt collection purposes.
11. A record from this system may be disclosed to refer legally
enforceable debts to the IRS or to Treasury's Debt Management
Services to be offset against the debtor's tax refunds under the
Federal Tax Refund Offset Program.
12. A record from this system may be disclosed to prepare W-2,
1099, or other forms or electronic submittals, to forward to the IRS
and applicable State and local governments for tax reporting
purposes. Under the provisions of the DCIA, the FCC is permitted to
provide Treasury with Form 1099-C information on discharged debts so
that Treasury may file the form on the FCC's behalf with the IRS. W-2
and 1099 Forms contain information on items to be considered as
income to an individual, including payments made to persons not
treated as employees (e.g., fees to consultants and experts), and
amounts written-off as legally or administratively uncollectible, in
whole or in part.
13. A record from this system may be disclosed to banks enrolled
in the Treasury Credit Card Network to collect a payment or debt when
the individual has given his or her credit card number for this
purpose.
14. A record from this system may be disclosed to another Federal
agency that has asked the FCC to effect an administrative offset
under common law or under 31 U.S.C. 3716 to help collect a debt owed
the United States. Disclosure under this routine use is limited to
name, address, TIN, and other information necessary to identify the
individual; information about the money payable to or held for the
individual; and other information concerning the administrative
offset.
15. A record from this system may be disclosed to Treasury or
other Federal agencies with whom the FCC has entered into an
agreement establishing the terms and conditions for debt collection
cross servicing operations on behalf of the FCC to satisfy, in whole
or in part, debts owed to the U.S. government. Cross servicing
includes the possible use of all debt collection tools such as
administrative offset, tax refund offset, referral to debt collection
contractors, and referral to the Department of Justice. The DCIA
requires agencies to transfer to Treasury or Treasury-designated Debt
Collection Centers for cross servicing certain nontax debt over 180
days delinquent. Treasury has the authority to act in the Federal
government's best interest to service, collect, compromise, suspend,
or terminate collection action in accordance with existing laws under
which the debts arise.
16. Information on past due, legally enforceable nontax debts
more than 180 days delinquent will be referred to Treasury for the
purpose of locating the debtor and/or effecting administrative offset
against monies payable by the government to the debtor, or held by
the government for the debtor under the DCIA's mandatory, government-
wide Treasury Offset Program (TOP). Under TOP, Treasury maintains a
database of all qualified delinquent nontax debts, and works with
agencies to match by computer their payments against the delinquent
debtor database in order to divert payments to pay the delinquent
debt. Treasury has the authority to waive the computer matching
requirement for the FCC and other agencies upon written certification
that administrative due process notice requirements have been
complied with.
17. For debt collection purposes, the FCC may publish or
otherwise publicly disseminate information regarding the identity of
delinquent nontax debtors and the existence of the nontax debts under
the provisions of the Debt Collection Improvement Act of 1996.
18. A record from this system may be disclosed to the Department
of Labor (DOL) and the Department of Health and Human Services (HHS)
to conduct an authorized computer matching program in compliance with
the Privacy Act of 1974, as amended, to match the FCC's debtor
records with the records of DOL and HHS to obtain names, name
controls, names of employers, addresses, dates of birth, and TINs.
The DCIA requires all Federal agencies to obtain taxpayer
identification numbers from each individual or entity doing business
with the agency, including applicants and recipients of licenses,
grants, or benefit payments; contractors; and entities and
individuals owing fines, fees, or penalties to the agency. The FCC
will use TINs in collecting and reporting any delinquent amounts
resulting from doing business with applicants and licensees.
19. If the FCC decides or is required to sell a delinquent nontax
debt pursuant to 31 U.S.C. 3711(i), information in this system of
records may be disclosed to purchasers, potential purchasers, and
contractors engaged to assist in the sale or to obtain information
necessary for potential purchasers to formulate bids and information
necessary for purchasers to pursue collection remedies.
20. If the FCC has current and delinquent collateralized nontax
debts pursuant to 31 U.S.C. 3711(i)(4)(A), certain information in
this system of records on its portfolio of loans, notes and
guarantees, and other collateralized debts will be reported to
Congress based on standards developed by the Office of Management and
Budget, in consultation with Treasury.
21. A record from this system may be disclosed to Treasury in
order to request a payment to individuals owed money by the FCC.
22. A record from this system may be disclosed to the National
Archives and Records Administration or to the General Services
Administration for records management inspections conducted under 44
U.S.C. 2904 and 2906.
In each of these cases the FCC will determine whether such use of
the records is compatible with the purpose for which the records were
collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
All records will be stored and accessed electronically. Records
that are submitted to the FCC on paper will be scanned or keyed into
the computer system as appropriate. Paper records submitted to the
FCC will be archived after being entered into ULS. Tape backups of
records will be periodically created. Records of prior licensees will
be archived.
Retrieval:
Records may be retrieved by searching electronically using a
variety of parameters including name, a licensee's unique identifier,
call sign, file number, etc. Paper records which contain TINs will
not be available for Public Inspection. A primary purpose of the
system is to provide easy access to the information.
Safeguards:
Records (other than TINs and materials which are afforded
confidential treatment under 47 CFR 0.459) are accessible to the
public. Access to certain records may be available on the internet.
Access to other records will be available using a web browser on the
Commission wide area network. The ability to enter and change
individual records will be protected by passwords issued to
applicants and licensees. Records will be protected from unauthorized
changes by passwords and other computer security measures within the
agency. TINs reported to the agency as requested on appropriate forms
will not be available to the public. (The agency cannot be
responsible for the disclosure of TINs by applicants in attachments
to applications or pleadings in situations where confidentiality is
not requested.) Each applicant or licensee will be given a unique
identifier generated by the ULS after such applicant or licensee
provides its TIN to the agency. These identifiers will be used within
the agency and by the public to obtain information on the licenses
held by particular individuals or entities. These identifiers will be
used in lieu of tracking by TINs so that the agency can avoid
unnecessary disclosure of TINs. Within the agency, access to TINs
will be available only to those persons whose jobs require such
access (e.g., FCC staff who report debt information to the U.S.
Department of Treasury).
Retention and disposal:
Records will be actively maintained as long as an individual
remains a licensee. Paper records will be archived after being keyed
or scanned into the system. Electronic records will be backed up on
tape. Electronic and paper records will be maintained for at least
eleven years.
System manager(s) and address:
Chief, Wireless Telecommunications Bureau, FCC, 2025 M Street,
NW, Washington, DC 20554.
Notification procedure:
Address inquiries to the system manager. In order to identify a
specific record please indicate name, address, type of record as well
as file number or call sign where applicable.
Record access procedures:
Information regarding procedures for accessing records can be
found at the FCC Web site www.fcc.gov or by calling 888-CALL-FCC.
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the system manager indicated above.
An individual requesting amendment must also follow the FCC
Privacy Act regulations regarding verification of identity and
amendment of records (47 CFR 0.556 and 0.557).
Record source categories:
The individual to whom the information applies.
FEDERAL COMMUNICATIONS COMMISSION
Title 47-Telecommunications
Chapter I-Federal Communications Commission
PART 0-COMMISSION ORGANIZATION
Subpart E-Privacy Act Regulations
Sec.
0.551 Purpose and scope; definitions.
0.552 Notice identifying Commission systems of records.
0.553 New uses of information.
0.554 Procedures for requests pertaining to individual records in a
system of records.
0.555 Disclosure of record information to individuals.
0.556 Request to correct or amend records.
0.557 Administrative review of an initial decision not to amend a
record.
0.558 Advice and assistance.
0.559 Disclosure of disputed information to persons other than the
individual to whom it pertains
0.560 Penalty for false representation of identity.
0.561 Exemptions.
Subpart E--Privacy Act Regulations
Authority: Secs. 4, 303, 49 Stat. as amended, 1066, 1082 (47 U.S.C.
154, 303).
Source: 40 FR 44512, Sept. 26, 1975, unless otherwise noted.
Sec. 0.551 Purpose and scope; definitions.
(a) The purpose of this subpart is to implement the Privacy Act of
1974, 5 U.S.C. 552(a), and to protect the rights of the individual in
the accuracy and privacy of information concerning him which is
contained in Commission records. The regulations contained herein cover
any group of records under the Commission's control from which
information about individuals is retrievable by the name of an
individual or by some other personal identifier.
(b) In this subpart:
(1) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence;
(2) ``Record'' means any item, collection or grouping of information
about an individual that is maintained by the Commission, including but
not limited to, such iundividual's education, financial transactions,
medical history, and criminal or employment history, and that contains
such individual's name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as a finger or
voice print or a photograph;
(3) ``System of Records'' means a group of records under the control
of the Commission from which information is retrievable by the name of
the individual or by some identifying number, symbol, or other
identifying particular assigned to the individual;
(4) ``Routine Use'' means, with respect to the disclosure of a record,
the use of such record for a purpose which is compatible with the
purpose for which it was collected;
(5) ``System Manager'' means the Commission official responsible for
the storage, maintenance, safekeeping, and disposal of a system of
records.
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr.4, 1984]
Sec. 0.552 Notice identifying Commission systems of records.
The Commission publishes in the Federal Register upon establishment or
revision a notice of the existence and character of the systems of
records, including for each system of records:
(a) The name and location of the system;
(b) The categories of individuals on whom records are maintained in
the system;
(c) The categories of records maintained in the system;
(d) Each routine use of the records contained in the system, including
the categories of users and the purposes of such use;
(e) The policies and practices of the agency regarding storage,
retrievability, access controls, retention, and disposal of the records;
(f) The title and business address of the system manager;
(g) The address of the agency office to which inquiries should be
addressed and the addresses of locations at which the individual may
inquire whether a system contains records pertaining to himself;
(h) The agency procedures whereby an individual can be notified how
access can be gained to any record pertaining to that individual
contained in a system of records, and the procedure for correcting or
contesting its contents; and
(i) The categories of sources of records in the system.
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr.4, 1984]
Sec. 0.553 New uses of information.
Before establishing a new routine use of a system of records, the
Commission will publish a notice in the Federal Register of its
intention to do so, and will provide at least 30 days for public comment
on such use. The notice will contain:
(a) The name of the system of records for which the new routine use is
to be established;
(b) The authority for the system;
(c) The categories of records maintained;
(d) The proposed routine use(s); and
(e) The categories of recipients for each proposed routine use.
Sec. 0.554 Procedures for requests pertaining to individual records
in a system of records.
(a) Upon request, the Commission will notify individuals as to whether
it maintains information about them in a system of records and, subject
to the provisions of Sec. 0.555(b), will disclose the substance of such
information to that individual. In order to properly request
notification or access to record information, reference must be made to
the Notice described in Sec. 0.552. A table of contents, which is
alphabetized by bureau or office, precedes the system descriptions and
allows members of the public to easily identify record systems of
interest to them. An individual may inquire into information contained
in any or all systems of records described in the Notice. However, each
inquiry shall be limited to information from systems located within a
single bureau or office and shall be addressed to that bureau or office.
(b) Reasonable identification is required of all individuals making
requests pursuant to paragraph (a) of this section in order to assure
that disclosure of any information is made to the proper person.
(1)Individuals who choose to register a request for information in
person may verify their identity by showing any two of the following:
Social security card; drivers license; employee identification card;
medicare card; birth certificate; bank credit card; or other positive
means of identification. Documents incorporating a picture and/or
signature of the individual shall be produced if possible. If an
individual cannot provide suitable documentation for identification,
that individual will be required to sign an identity statement
stipulating asserting his identity and stipulating that knowingly or
willfully seeking or obtaining access to records about another person
under false pretenses is punishable by a fine of up to $5,000.
Note: An individual's refusal to disclose his social security number
shall not constitute cause in and of itself, for denial of a request.
(2) All requests for record information sent by mail shall be signed
by the requestor and shall include his printed name, current address and
telephone number (if any). Commission officials receiving such requests
will attempt to verify the identity of the requestor by comparing his or
her signature to those in the record. If the record contains no
signatures and if positive identification cannot be made on the basis of
other information submitted, the requestor will be required to sign an
identity statement and stipulate that knowingly or willfully seeking or
obtaining access to records about another person under false pretenses
is punishable by a fine of up to $5000.
(3) If positive identification cannot be made on the basis of the
information submitted, and if data in the record is so sensitive that
unauthorized access could cause harm or embarrassment to the individual
to whom the record pertains, the Commission reserves the right to deny
access to the record pending the production of additional more
satisfactory evidence of identity.
Note: The Commission will require verification of identity only where
it has determined that knowledge of the existence of record information
or its substance is not subject to the public disclosure requirements of
the Freedom of Information Act, 5 U.S.C. 552, as amended.
(c) All requests for notification of the existence of record
information or for access to such information shall be delivered to the
business address of the system manager responsible for the system of
records in question, except that requests relating to official personnel
records shall be addressed to the Associate Managing Director--Personnel
Management. Such addresses can be found in the Federal Register Notice
described in Sec. 0.552.
(d) A written acknowledgement of receipt of a request for notification
and/or access will be provided within 10 days (excluding Saturdays,
Sundays, and legal public holidays) to the individual making the
request. Such an acknowledgement may, if necessary, request any
additional information needed to locate a record. A search of all
systems of records identified in the individual's request will be made
to determine if any records pertaining to the individual are contained
therein, and the individual will be notified of the search results as
soon as the search has been completed. Normally, a request will be
processed and the individual notified of the search results within 30
days (excluding Saturdays, Sundays, and legal holidays) from the date
the inquiry is received. However, in some cases, as where records have
to be recalled from Federal Record Centers, notification may be delayed.
If it is determined that a record pertaining to the individual making
the request does exist, the notification will state approximately when
the record will be available for personal review. No separate
acknowledgement is required if the request can be processed and the
individual notified of the search results within the ten-day period.
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
Sec. 0.555 Disclosure of record information to individuals.
(a) Individual having been notified that the Commission maintains a
record pertaining them in a system of records may request access to such
record in one of three ways: By in person inspection at the system
location; by transfer of the record to a nearer location; or by mail.
(1) Individuals who wish to review their records at the system
location must do so during regular Commission business hours (8 a.m.-
4:30 p.m., Monday through Friday). For personal and administrative
convenience, individuals are urged to arrange to review a record by
appointment. Preferences as to specific dates and times can be made by
writing or calling the system manager responsible for the system of
records in question at least two days in advance of the desired
appointment date, and by providing a telephone number where the
individual can be reached during the day in case the appointment must be
changed. Verification of identity is required as in Sec. 0.554(b)(1)
before access will be granted an individual appearing in person.
Individuals may be accompanied by a person of their own choosing when
reviewing a record. However, in such cases, a written statement
authorizing discussion of their record must take place in the presence
of a Commission representative having physical custody of the records.
(2) Individuals may request that a records be transferred to a
Commission field office or installation in the vicinity of his or her
home and that access be granted at that location. The addresses of
Commission field offices are listed in Sec. 0.121. A request to transfer
records must specify the exact location where the records should be sent
and a telephone number to call when the information is available for
review at the field location. Paragraph (a)(1) of this section regarding
personal appointments, verification of identity accompanying persons,
and disclosure of original records applies equally to this paragraph.
(3) Individuals may request that copies of records be sent directly to
them. In such cases, the individual must verify their identity as in
Sec. 0.554(b)(2) and provide an accurate return address. Records shall
be sent only to that address.
(b) The disclosure of record information under this section is subject
to the following limitations:
(1) Records containing medical information pertaining to an individual
are subject to individual access under this section unless, in the
judgment of the system manager having custody of the records after
consultation with a medical doctor, access to such record information
could have an adverse impact on the individual. In such cases, a copy of
the record will be delivered to a medical doctor named by the
individual.
(2) Classified material, investigative material compiled for law
enforcement purposes, investigatory material compiled solely for
determining suitability for federal employment or access to classified
information, and certain testing or examination material shall be
removed from the records to the extent permitted in the Privacy Act of
1974, 5 U.S.C. 552(a). Section 0.561 of this subpart sets forth the
systems of records maintained by the Commission which are either totally
or partially exempt from disclosure under this subparagraph.
(c) No fee will be imposed if the number of pages of records requested
is 25 or less. Requests involving more than 25 pages shall be submitted
to the duplicating contractor (see Sec. 0.456(a)).
(d) The provisions of this section in no way give an individual the
right to access any information compiled in reasonable anticipation of a
civil action or proceeding.
(e) In the event that a determination is made denying an individual
access to records pertaining to that individual for any reason, such
individual may either:
(1) Seek administrative review of the adverse determination. Such a
request shall be in writing and should be addressed to the system
manager who made the initial decision. In addition, the request for
review shall state specifically why the initial decision should be
reversed.
(2) Seek judicial relief in the district courts of the United States
pursuant to paragraph (g)(1)(B) of the Act.
[40 FR 44512, Sept. 26, 1975, as amended at 40 FR 58858, Dec. 19, 1975;
49 FR 13369, Apr. 4, 1984]
Sec. 0.556 Request to correct or amend records.
(a) An individual may request the amendment of information contained
in their record. Except as otherwise provided in this paragraph, the
request to amend should be submitted in writing to the system manager
responsible for the records. Requests to amend the official personnel
records of active FCC employees should be submitted to the Associate
Managing Director-- Personnel Management, Office of Managing Director,
1919 M Street NW, Washington, DC 20554. Requests to amend official
personnel records of former FCC employees should be sent to the
Assistant Director for Work Force Information, Compliance and
Investigations Group, Office of Personnel Management, 1900 E Street NW,
Washington, DC 20415. Any request to amend should contain, as a minimum:
(1) The identity verification information required by Sec. 0.554(b)(2)
and the information needed to locate the record as required by
Sec. 0.554(a).
(2) A brief description of the item or items of information to be
amended; and
(3) The reason for the requested change.
(b) A written acknowledgement of the receipt of a request to amend a
record will be provided within 10 days (excluding Saturdays, Sundays,
and legal public holidays) to the individual requesting the amendment.
Such an acknowledgement may, if necessary, request any additional
information needed to make a determination. There will be no
acknowledgement if the request can be reviewed, processed, and the
individual notified of compliance or denial within the 10 day period.
(c) The responsible system manager or, in the case of official
personnel records of active FCC employees, the Associate Managing
Director--Personnel Management, shall (normally within 30 days) take one
of the following actions regarding a request to amend:
(1) If the system manager agrees that an amendment to the record is
warranted, the system manager shall:
(i) So advise the individual in writing;
(ii) Correct the record in compliance with the individual's request;
and
(iii) If an accounting of disclosures has been made, advise all
previous recipients of the fact that the record has been corrected and
of the substance of the correction.
(2) If the system manager, after an initial review, does not agree
that all or any portion of the record merits amendment, the system
manager shall:
(i) Notify the individual in writing of such refusal to amend and the
reasons therefore;
(ii) Advise the individual that further administrative review of the
initial decision by the full Commission may be sourht pursuant to the
procedures set forth in Sec. 0.557. (In cases where the request to amend
involves official personnel records, review is available exclusively
from the Assistant Director for Work Force Information, Compliance and
Investigation Group, Office of Personnel Management, Washington, DC
20415); and
(iii) Inform the individual of the procedures for requesting
Commission review pursuant to Sec. 0.557.
(d) In reviewing a record in response to a request to amend, the
system manager shall assess the accuracy, relevance, timeliness, or
completeness of the record in light of each data element placed into
controversy and the use of the record in making decisions that could
possibly affect the individual. Moreover, the system manager shall
adjudge the merits of any request to delete information based on whether
or not the information in controversy is both relevant and necessary to
accomplish a statutory purpose required of the Commission by law or
executive order of the President.
[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980;
49 FR 13369, Apr. 4, 1984]
Sec. 0.557 Administrative review of an initial decision not to
amend a record.
(a)Individuals have 30 days from the date of the determination not to
amend a record consistent with their request to seek further
administrative review by the full Commission. Such a request shall be in
writing and should be addressed to either the system manager who made
the initial adverse decision, or, in the case of official personnel
records of active FCC employees, to the Assistant Director for Work
Force Information, Compliance and Investigations Group, Office of
Personnel Management, Washington, DC 20415. Any request for
administrative review must:
(1) Clearly identify the questions presented for review (e.g., whether
the record information in question is, in fact, accurate; whether
information subject to a request to delete is relevant and necessary to
the purpose for which it is maintained);
(2) Specify with particularity why the decision reached by the system
manager is erroneous or inequitable; and
(3) Clearly state how the record should be amended or corrected.
(b) The Commission shall conduct an independent review of the record
in controversy using the standards of review set out in Sec. 0.556(d).
It may seek such additional information as is necessary to make its
determination. Final administrative review shall be completed not later
than 30 days (excluding Saturdays, Sundays and legal public holidays)
from the date on which the individual requests such review unless the
Chairman determines that a fair and equitable review cannot be made
within the 30 day period. In such event, the individual will be informed
in writing of the reasons for the delay and the approximate date on
which the review is expected to be completed.
(c) If upon review of the record in controversy the Commission agrees
with the individual that the requested amendment is warranted, the
Commission will proceed in accordance with Sec. 0.556(c)(1)(i)-(iii).
(d) If after the review, the Commission also refuses to amend the
record as requested, it shall:
(1) Notify the individual in writing of its refusal and the reasons
therefore;
(2) Advise the individual that a concise statement of the reasons for
disagreeing with the decision of the Commission may be filed;
(3) Inform the individual:
(i) That such a statement should be signed and addressed to the system
manager having custody of the record in question;
(ii) That the statement will be made available to any one to whom the
record is subsequently disclosed together with, at the Commission's
discretion, a summary of its reasons for refusing to amend the record;
and
(iii) That prior recipients of the record will be provided a copy of
the statement of dispute to the extent that an accounting of such
disclosures is maintained; and
(4) Advise the individual judicial review of the Commission's decision
not to amend the record in any district court of the United States is
available
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
Sec. 0.558 Advice and assistance.
Individuals who have questions regarding the procedures contained in
this subpart for gaining access to a particular system of records or for
contesting the contents of a record, either administratively or
judicially, should write or call the Privacy Liaison Officer at the
following address:
Federal Communications Commission, Office of General Counsel, 1919 M
Street NW, Washington, DC 20554.
Individuals who request clarification of the Notice described in
Sec. 0.552 or who have questions concerning the characterization of
specific systems of records as set forth therein, should write or call
the Privacy Liaison Officer at the following address:
Federal Communications Commission, Records Management Division, Office
of Managing Director, 1229 20th Street NW, Room BB-325, Washington,
DC 20554.
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984]
Sec. 0.559 Disclosure of disputed information to persons other than
the individual to whom it pertains.
If the Commission determines not to amend a record consistent with an
individual's request, and if the individual files a statement of
disagreement pursuant to Sec. 0.557(d)(2), the Commission shall clearly
annotate the record so that the disputed portion becomes apparent to
anyone who may subsequently have access to, use or disclose the record.
A copy of the individual's statement of disagreement shall accompany any
subsequent disclosure of the record. In addition, the Commission may
include a brief summary of its reasons for not amending the record when
disclosing the record. Such statements become part of the individual's
record for granting access, but are not subject to the amendment
procedures of Sec. 0.556.
Sec. 0.560 Penalty for false representation of identity.
Any individual who knowingly and willfully requests or obtains under
false pretenses any record concerning an individual from any system of
records maintained by the Commission shall be guilty of a misdemeanor
and subject to a fine of not more than $5,000.
Sec. 0.561 Exemptions.
The following systems of records are totally or partially exempt from
subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) of
the Privacy Act of 1974, 5 U.S.C. 552(a), and from Secs. 0.554-0.557 of
this subpart:
(a) System name. Radio Operator Records--FCC/FOB-1. Parts of this
system of records are exempt pursuant to section (k)(2) of the Act
because they contain investigatory material compiled solely for law
enforcement purposes.
(b) System name. Violators File (records kept on individuals who have
been subjects of FCC field enforcement actions)--FCC/FOB-2. Parts of
this system of records are exempt because they are maintained as a
protective service for individuals described in Section 3056 of title
18, and because they are necessary for Commission employees to perform
their duties, pursuant to sections (k) (1), (2), and (3) of the Act.
(c) System name. Attorney Misconduct Files-FCC/OGC-2. This system of
records is exempt pursuant to section 3(k)(2) of the Act because it is
maintained for law enforcement purposes.
(d) System name. Licenses or Unlicensed Person Operating Radio
Equipment Improperly-FCC. Parts of this system of records are exempt
pursuant to section 3(k)(2) of the Act because they embody investigatory
material compiled soley for law enforcement purposes.
(e) System name. Personnel Investigation Records--FCC/Central-6. Parts
of these system of records are exempt becausethey embody investigatory
material pursuant to section 3(k)(2) and 3(k)(5) of the Act as
applicable.
(f) System name. Criminal Investigation Files--FCC/OIG-1. Compiled for
the purpose of criminal investigations. This sytem of records is exempt
pursuant to section (j)(2) of the Act because the records contain
investigatory material compiled fro criminal law purposes.
(g) System name. General Investigative Files--FCC/OIG-2. Compiled for
law enforcement purposes. This system of records is exempt pursuant to
section (k)(2) of the Act because the records contain investigatory
material compiled for law enforcement purposes.
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr.4,1984; 58
FR 11549, Feb. 26, 1993]