[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL ELECTION COLLECTION
Table of Contents
FEC 1 Requests for Advisory Opinions.
FEC 2 Audits and Investigations.
FEC 3 Compliance Actions.
FEC 4 Mailings Lists.
FEC 5 Personnel Records.
FEC 6 Candidate Reports and Designations.
FEC 7 Certification for Primary Matching Funds and General
Elections Campaign Funds.
FEC 8 Payroll Records.
FEC 9 Litigation Actions.
FEC 10 Letter File. Public Communications.
FEC 11 Contributor Name Index System.
FEC 12 Inspector General Investigative Files.
FEC 1
System name:
Requests for advisory opinions.
System location:
Federal Election Commission. Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have submitted a letter to the FEC that qualifies
as an advisory opinion request under FEC regulations.
Categories of records in the system:
Letters requesting advisory opinions and responses thereto from
the FEC.
Authority for maintenance of the system:
2 U.S.C. 437d(a)(7) and 437f.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Documents maintained for historical purposes and for use as
precedent in subsequent requests for advisory opinions. Commissioners
and staff use this system to respond to requests for opinions. These
documents are available to the public for information and so that
interested parties may submit comments to the Commission.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and/or microfilm, on-line disk storage, and
electronic data processing system.
Retrievability:
Indexed and retrievable by name of requester, date of opinion,
request number, and, as applicable, by microfilm roll and frame
number.
Safeguards:
Originals are kept in locked filing cabinets in limited access
areas under personal surveillance during working hours and in locked
rooms at other times. Copies are freely available.
Retention and disposal:
Retained for at least four years from date of receipt and subject
to disposal thereafter. Current disposal process generally results in
retention of records until seven years after receipt.
System manager(s) and address:
The General Counsel, Federal Election Commission, Washington, DC
20463, (202/219-3690).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual requester, persons submitting comments and the Federal
Election Commission.
FEC 2
System name:
Audits and investigations.
System location:
Federal Election Commission. Washington, DC 20463.
Categories of individuals covered by the system:
Candidates required to file statements and reports under the
Federal Election Campaign Act.
Categories of records in the system:
Audit and investigation data.
Authority for maintenance of the system:
2 U.S.C. 437d(a)(10), 437g(a)(2), (5) and 438(a)(8), (9); 26
U.S.C. 9007, 9038.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The General Counsel, Assistant Staff Directors, Commissioners,
and their staffs may use audit and investigation data for informal
hearings, administrative compliance, civil litigation, voluntary
compliance or to refer matters to appropriate law enforcement
authorities.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name.
Safeguards:
Locked safes in limited access locations. Access is limited to
FEC staff on a restricted basis and to appropriate law enforcement
agencies as directed by the Commission.
Retention and disposal:
Indefinite.
System manager(s) and address:
Assistant Staff Director for Audit, Federal Election Commission,
Washington, DC 20463 (202/219-3440).
Notificatiobn procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
With respect to open audits, the foregoing system is exempt
pursuant to the provisions of 5 U.S.C. 552a(k)(2). See 11 CFR 1.14.
FEC 3
System name:
Compliance actions.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have filed complaints (complainants) and persons
complained about (respondents), candidates filing late reports, or no
reports, and cases internally generated through review and audit of
reports and statements filed by candidates.
Categories of records in the system:
Complaints, referrals, and responses thereto; internal
investigations of reports on file at the Commission, depositions,
interrogatories and responses thereto.
Authority for maintenance of the system:
2 U.S.C. 437g(a) (1), (2), (4) and (5); 438(a)(7) and 438(b); 26
U.S.C. 9006 and 9038.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
While any case is active, these documents are maintained as the
agency's working or investigative file. Based upon information
contained in the file, recommendations are made to the Commission as
to the disposition of a case, and the Commission acts upon those
recommendation. Compliance actions are assigned by the Associate
General Counsel to an attorney and/or to appropriate staff for
investigation. Administrative action and civil litigation are handled
by the General Counsel's office. Evidence of knowing and willful
violations of the law may be referred to the Attorney General.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employees of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records. Closed compliance cases are duplicated, stored on
microfilm and are available to the public, minus information deemed
to be exempted under the Freedom of Information Act.
Retrievability:
This system is indexed and retrievable by name of complainant or
respondent by compliance action number or by mocrofilm roll and frame
number, as appropriate.
Safeguards:
This system is kept in locked filing cabinets in limited access
areas under personal surveillance during working hours, and in locked
filing cabinets in locked rooms at other times.
Retention and disposal:
Indefinite.
System manager(s) and address:
The General Counsel, Federal Election Commission, Washington, DC
20463, (202/219-3690).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Complainants, respondents, third parties who have been requested
or subpoenaed, to produce relevant information, and the Federal
Election Commission.
Systems exempted from certain provisions of the act:
With respect to open investigations, the system is exempt
pursuant to 5 U.S.C. 552a(k)(2). See 11 CFR 1.14.
FEC 4
System name:
Mailing Lists.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
(a) Individuals and institutions who have requested a
subscription to the Record.
(b) Individuals who have requested FEC publications.
(c) State and local election officials interested in keeping
informed of developments.
(d) Reporters who request releases; media added by the Press
Office.
Categories of records in the system:
(a) Lists of names, addresses, principal areas of interest.
(b) List of names, addresses, and subjects of interest to the
requester.
(c) List of names, addresses, duties and jurisdictions.
(d) Computer listings.
Authority for maintenance of the system:
2. U.S.C. 438(a) for all categories.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) Distribution of monthly newsletter, the Record, to
subscribers.
(b) To forward new publications and other informational materials
to persons who have expressed an interest in the subject matter.
(c) To distribute publications and other materials of interest to
those who administer the election law of the states.
(d) To mail press releases.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computerized for all categories.
Retrievability:
(a) Name or identification numbers.
(b) Name.
(c) Name, title, jurisdiction or region of the country.
(d) Name of individual or name of media.
Safeguards:
Access code with password for all categories.
Retention and disposal:
(a) Purged every two years or upon request of subscriber.
(b) Purged every two years.
(c) Indefinite.
(d) Indefinite.
System manager(s) and address:
The Assistant Staff Director for Information, Federal Election
Commission, Washington, DC 20463, (202/219-3440).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
(a) Individuals and organizations who request a subscription to
the Record.
(b) Individuals to whom the Information Division has mailed
publications.
(c) Officials requiring up-to-date information on elections
administration.
(d) Oral and written requests to be placed on list; media
directories.
FEC 5
System name:
Personnel records.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
Applicants for employment, current employees (including unpaid
interns), and former employees.
Categories of records in the system:
(a) SF-171's/resumes.
(b) SF-7 Record Cards (current and former employees).
(c) Official Personnel Folder (OPF).
(d) Employee Performance Folders (EPF).
(e) Individual Employee Master Files.
(f) Discipline/Adverse Action Files.
(g) Outside Employment Files.
(h) Employee Medical File.
(i) Grievance Files.
(j) Appeal Files.
Authority for maintenance of the system:
2 U.S.C. 437c and 5 CFR 293.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
(a) SF-171's/OF-16's/Resumes--used by the Personnel staff and all
levels of management to evaluate qualifications and make personnel
selections.
(b) SF-7 Record Cards--used by Personnel staff to verify salary,
grade and service of current and former employees for use by
prospective employers, credit bureaus, etc.
(c) OPF--used by Personnel staff to process and record personnel
actions, and by Personnel staff and line managers to evaluate skills,
ability and qualifications for selection, promotion, and other
personnel actions.
(d) EPF--used by Personnel staff to record performance-related
information such as performance appraisals, and by line managers as
basis for personnel actions.
(e) Individual Employee Master File--computer-stored record of
all personnel actions and other pertinent employee data; used by
Personnel staff to process and record personnel actions and by the
authorized Data Systems staff and Payroll and Accounting staff to
update and revise files, programs and produce required statistical
reports.
(f) Discipline and Adverse Actions--used by Personnel staff and
line managers in considering decisions on such actions, and for
appeals, grievances and hearings.
(g) Outside Employment Files--used by Personnel and legal staff
to consider requests for outside employment and to verify approval/
disapproval.
(h) Employee Medical Files--used by Personnel staff and line
managers to record employee medical information pertinent to their
performance/attendance/conduct, and in reviewing the impact of
medical conditions on their employment.
(i) Grievance Files--used by Personnel staff to record the
disposition of employee grievances.
(j) Appeals Files--used by Personnel staff to record the
disposition of employee appeals.
In addition to the above, in the event that a system of records
maintained by this agency to carry out its functions indicated a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute or
particular program statute, or by regulation, rule or order issued
pursuant thereto, the relevant records in the system of records may
be referred, as a routine use, to the appropriate agency, whether
Federal, State, local or foreign, charged with the responsibility of
investigation or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation or order issued
pursuant thereto.
A record from the system of records may be disclosed as ``routine
use'' to a Federal, State or local agency maintaining civil, criminal
or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain
information relevant to an agency decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract or the issuance of a license, grant or other
benefit.
A record from this system of records may be disclosed to a
Federal agency, in response to its request, in connection with the
hiring or retention of an employee, the issuance of a security
clearance, the reporting of an investigation of an employee, the
letting of a contract or the issuance of a license, grant or other
benefit by the requesting agency, to the extent that the information
is relevant and necessary to the requesting agency's decision in the
matter.
A record from this system of records may be disclosed to an
authorized complaints examiner, equal employment opportunity
investigator, administrative law judge, arbitrator or other duly
authorized official engaged in investigation or settlement of a
grievance, complaint or appeal filed by an employee. A record from
this system of records may be disclosed to the U.S. Office of
Personnel Management in accordance with the agency's responsibility
for evaluation and oversight of Federal personnel management.
A record from this system of records may be disclosed to officers
and employees of a Federal agency for purposes of audit.
A record from this system of records may also be disclosed to
the: (1) Office of Child Support Enforcement, Administration for
Children and Families, Department of Health and Human Services
Federal Parent Locator System (FPLS) and Federal Tax Offset System
for use in locating individuals and identifying their income sources
to establish paternity, establish and modify orders of support and
for enforcement action; (2) Office of Child Support Enforcement for
release to the Social Security Administration for verifying social
security numbers in connection with the operation of the FPLS by the
Office of Child Support Enforcement; and (3) Office of Child Support
Enforcement for release to the Department of Treasury for purposes of
administering the Earned Income Tax Credit Program (Section 32,
Internal Revenue Code of 1986) and verifying a claim with respect to
employment in a tax return.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
(a) Hard copy record kept in Personnel Office.
(b) Hard copy record kept in Personnel Office.
(c) Hard copy record kept in Personnel Office.
(d) Hard copy record kept in Personnel Office.
(e) Computer disk packs within central processing unit.
(f) Hard copy record kept in Personnel Office.
(g) Hard copy record kept in Personnel Office.
(h) Hard copy record kept in Personnel Office.
(i) Hard copy record kept in Personnel Office.
(j) Hard copy record kept in Personnel Office.
Retrievability:
(a) Retrieval by hand of alphabetical files.
(b) Retrieval by hand of alphabetical files.
(c) Retrieval by hand of alphabetical files.
(d) Retrieval by hand of alphabetical files.
(e) On line access using SSN.
(f) Retrieval by hand of alphabetical files.
(g) Retrieval by hand of alphabetical files.
(h) Retrieval by hand of alphabetical files.
(i) Retrieval by hand of alphabetical files.
(j) Retrieval by hand of alphabetical files.
Safeguards:
(a) Locked file cabinet in locked office.
(b) Locked Office.
(c) Locked file cabinet in locked office.
(d) Locked file cabinet in locked office.
(e) Overall password for group number, individual password for
each program; knowledge of password limited to appropriate personnel.
(f) Locked file cabinet in locked office.
(g) Locked file cabinet in locked office.
(h) Locked file cabinet in locked office.
(i) Locked file cabinet in locked office.
(j) Locked file cabinet in locked office.
Retention and disposal:
(a) 1 year; shredded.
(b) Indefinite.
(c) Indefinite; transferred with employee to succeeding agency or
retired to Federal Records Center upon retirement or termination/
resignation from Federal service or death.
(d) Indefinite; shredded within 30 days of employee departure
unless part of ongoing adjudicatory action.
(e) Indefinite.
(f) Indefinite.
(g) 2 years; shredded.
(h) Indefinite; transferred with employee to succeeding agency or
retired to Federal Records Center upon retirement or termination/
resignation from Federal service or death.
(i) Indefinite.
(j) Indefinite.
System manager(s) and address:
The Director of Personnel, Federal Election Commission,
Washington, D.C. 20463, (202/219-3440).
Notificarion procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Personnel applications, resumes, employment forms, records of
personnel action.
FEC 6
System name:
Candidate reports and designations.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
Candidates for Federal office required to file reports of
contributions and expenditures and designations of campaign
depositories and authorized committees.
Categories of records in the system:
Reports and Statements of candidates; reports by delegates and
other persons making contributions or independent expenditures and
designations on behalf of a Federal candidate but not through a
political committee, candidate, or authorized committee or agent of a
candidate.
Authority for maintenance of the system:
2 U.S.C. 432(e), 434, and 437b(a)(1).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This system may be used by any person for information purposes.
However, any information copied from such reports shall not be sold
or utilized by any person for the purposes of soliciting
contributions or for any commercial purpose.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper records and/or microfilm and on-line disk storage
electronic data processing system.
Retrievability:
Retrievable by candidate's name, or by State in which candidate
seeks election; candidate identification number or last name for
computer storage.
Safeguards:
Locked filing cabinets.
Retention and disposal:
Reports are preserved for a 10-year period except that reports
relating solely to candidates for the House of Representatives are
preserved for 5 years from the date of receipt. Microfilm is
preserved indefinitely.
System manager(s) and address:
The Assistant Staff Director for Disclosure, Federal Election
Commission, Washington, DC 20463, (202/219-3440).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Reports filed with the FEC.
FEC 7
System name:
Certification for primary matching funds and general election
campaign funds.
System location:
Federal Election Commission, Washington, D.C. 20463.
Categories of individuals covered by the system:
Candidates for nomination or election to the Office of President
of the United States.
Categories of records in the system:
Certification forms and supporting data requesting matching funds
or election funds.
Authority for maintenance of the system:
26 U.S.C. 9003, 9006; 26 U.S.C. 9033, 9036, 9037.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Certification of eligibility for funds by presidential
candidates. These files are available for public inspection.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records.
Retrievability:
Indexed by name of candidate.
Safeguards:
Locked filing cabinets.
Retention and disposal:
Indefinite.
System manager(s) and address:
Assistant Staff Director for Audit, Federal Election Commission,
Washington, DC 20463 (202/219-3440).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Certification reports filed with the Commission.
FEC 8
System name:
Payroll records.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of records in the system:
Varied payroll records, including, among other documents, time
and attendance cards; payment vouchers; comprehensive listing of
employees; health benefit records; requests for deductions; tax
forms; W-2 forms; overtime requests; leave data; and retirement
records. Records are used by Commission employees to maintain
adequate payroll information for Commission employees, and otherwise
by Commission employees who have a need for the record in the
performance of their duties.
Authority for maintenance of the system:
31 U.S.C., generally. Also, 2 U.S.C. 437c(f).
Routine uses for records maintained in the system, including
categories of users and the purposes of such uses:
In the event that a system of records maintained by this agency
to carry out its functions indicated a violation or potential
violation of law, whether civil, criminal or regulatory in nature,
and whether arising by general statute or particular program statute,
or by regulation, rule or order issued pursuant thereto, the relevant
records in the system of records may be referred, as a routine use,
to the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcement or implementation of the
statute or rule, regulation or order issued pursuant thereto.
A record from this system of records may be disclosed as a
``routine use'' to a Federal, State, or local agency maintaining
civil, criminal or other relevant enforcement information, such as
current licenses, if necessary to obtain information relevant to an
agency decision concerning the hiring or retention of an employee,
the issuance of a security clearance, the letting of a contract or
the issuance of a license, grant or other benefit. A record from this
system of records may be disclosed to a Federal agency, in response
to its request, in connection with the hiring of an employee, the
issuance of a security clearance, the reporting of an investigation
of an employee, the letting of a contract, or the issuance of a
license, grant or other benefit by the requesting agency, to the
extent that the information is relevant and necessary to the
requesting agency's decision in the matter.
A record from this system of records may be disclosed to an
authorized appeal grievance examiner, formal complaints examiner,
equal employment opportunity investigator, arbitrator or other duly
authorized official engaged in investigation or settlement of a
grievance, complaint, or appeal filed by an employee. A record from
this system of records may be disclosed to the Office of Personnel
Management in accordance with the agency's responsibility for
evaluation and oversight of Federal personnel management.
A record from this system of records may be disclosed to officers
and employees of a Federal agency for purposes of audit.
The information contained in this system of records will be
disclosed to the Office of Management and Budget in connection with
the review of private relief legislation as set forth in OMB Circular
No. A-19 at any stage of the legislative coordination and clearance
processes as set forth in that circular.
Records also are disclosed to GAO for audits; to the Internal
Revenue Service for investigation; and to private attorneys, pursuant
to a power of attorney.
A copy of an employee's Department of Treasury form W-2, wage and
tax statement, also is disclosed to the State and city, or other
local jurisdiction which is authorized to tax the employee's
compensation. The record will be provided in accordance with a
withholding agreement between the State, city, or other local
jurisdiction and the Department of the Treasury pursuant to 5 U.S.C.
5516, 5517, or 5520, or, in the absence thereof, in response to a
written request from an appropriate official of the taxing
jurisdiction to the Assistant Director for Administration; Federal
Election Commission, Washington, DC 20463. The request must include a
copy of the applicable statute or ordinance authorizing the taxation
of compensation and should indicate whether the authority of the
jurisdiction to tax the employee is based on place of residence,
place of employment, or both.
Pursuant to a withholding agreement between a city and the
Department of Treasury (5 U.S.C. 5520), copies of executed city tax
withholding certificates shall be furnished the city in response to a
written request from an appropriate city official to the Assistant
Staff Director for Administration.
In the absence of a withholding agreement, the Social Security
number will be furnished only to a taxing jurisdiction which has
furnished this agency with evidence of its independent authority to
compel disclosure of the Social Security number, in accordance with
Section 7 of the Privacy Act.
Records are also disclosed to the: (1) Office of Child Support
Enforcement, Administration for Children and Families, Department of
Health and Human Services Federal Parent Locator System (FPLS) and
Federal Tax Offset System for use in locating individuals and
identifying their income sources to establish paternity, establish
and modify orders of support and for enforcement action; (2) Office
of Child Support Enforcement for release to the Social Security
Administration for verifying social security numbers in connection
with the operation of the FPLS by the Office of Child Support
Enforcement; and (3) Office of Child Support Enforcement for release
to the Department of Treasury for purposes of administering the
Earned Income Tax Credit Program (Section 32, Internal Revenue Code
of 1986) and verifying a claim with respect to employment in a tax
return.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Computer disk packs within central processing unit.
Retrievability:
On line access program utilizing employee social security number.
Safeguards:
Overall password for group number; individual password for each
program; knowledge of password limited to appropriate personnel.
Retention and disposal:
Disposition of records shall be in accordance with the HB GSA
Records Maintenance and Disposition System (OAD P 1820.2).
System manager(s) and address:
The Assistant Staff Director for Administration, Federal Election
Commission, Washington, DC 20463, (202/219-3440).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
The subject individual; the Federal Election Commission.
FEC 9
System name:
Litigation Actions.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have brought judicial action against the
Commission and individuals against whom the Commission has brought
judicial action pursuant to 2 U.S.C. 437g or 437h, 26 U.S.C. 9011 or
9041, 5 U.S.C. 552 or any other statute.
Categories of records in the system:
All papers incident to a law suit, including discovery materials,
motions, briefs and orders.
Authority for maintenance of the system:
2 U.S.C. 437g(a)(6), 437g(a)(8), 437g(a)(11), and 437h.
Routine uses of records maintained in the system, including
categories of users, and the purposes of such uses:
Maintained for historical purposes and for consultation as
precedent in subsequent judicial or administrative actions. Civil
litigation is handled by the General Counsel's office. Access is
limited to FEC staff on a restricted basis.
Routine use for disclosure to the routine use for disclosure to
the Department of Justice for use in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof, or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records and microfilm.
Retrievability:
System indexed by name of party litigant and, as applicable, by
microfilm roll and frame number.
Safeguards:
This system is kept in locked filing cabinets or in limited
access areas under personal surveillance during working hours, and in
locked rooms at other times.
Retention and disposal:
Indefinite.
System manager(s) and address:
The General Counsel, Federal Election Commission, Washington, DC
20463, (202/219-3690).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual party litigants and counsel, court personnel and the
Federal Election Commission.
FEC 10
System name:
Letter file, Public Communications.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have written to the FEC requesting answers to
specific questions.
Categories of records in the system:
Inquiries by individuals concerning the Federal Election Campaign
Act of 1971, as amended.
Authority for maintenance of the system:
2 U.S.C. 438(a).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Response to inquiries.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her individual capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper files.
Retrievability:
Name of individual.
Retention and disposal:
Retained in-house for one year; shipped afterward to general
storage.
System manager(s) and address:
The Assistant Staff Director for Information, Federal Election
Commission, Washington, DC 20463, (202/219-3440).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individuals who request information in writing.
FEC 11
System name:
Contributor Name Index System.
System location:
Federal Election Commission, Washington, DC 20463.
Categories of individuals covered by the system:
Individuals who have been listed on campaign finance reports as
having given an aggregate amount in excess of $200 or more in a
calendar year to a Federal candidate or their supporting political
committee.
Categories of records in the system:
On-line disk storage electronic data processing index of names.
Authority for maintenance of the system:
2 U.S.C. 441a.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Commission staff and the public may use this system to ascertain
whether and to what extent named individuals have made contributions
to Federal candidates and political committees.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Federal Election Commission to be relevant and necessary to the
litigation provided, however, that in each case the agency determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use of agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the Federal Election Commission determines that, on a case-by-case
basis, use of such records is relevant and necessary to the
litigation, provided, however, that the agency determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
On-line disk storage electronic data.
Retrievability:
Indexed by last name of contributor.
Safeguards:
Access to data is firewall protected. Retrieval data is copy of
official data base retained on secure Commission system.
Retention and disposal:
Indefinite.
System manager(s) and address:
The Assistant Staff Director for Data Systems Development
Division, Federal Election Commission, Washington, DC 20463, (202/
219-3440).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Individual contributors.
FEC 12
System name:
Inspector General Investigative Files.
System location:
Federal Election Commission, Washington, D.C. 20463.
Categories of individuals covered by the system:
Individuals who are the subjects of complaints.
Categories of records in the system:
Complaints, referrals from other agencies, investigative notes,
interviews, reports, interrogatories and responses thereto.
Authority for maintenance of the system:
Inspector General Act Amendments of 1988, Pub. L. 100-504,
amending the Inspector General Act of 1978, Pub. L. 95-402, 5 U.S.C.
app.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Material is maintained in the Office of Inspector General's (OIG)
investigative files. Access to files is restricted to OIG Staff and
then on a need to know basis. Criminal violations are referred to the
Justice Department.
Routine use for disclosure to the Department of Justice for use
in litigation:
It shall be a routine use of the records in this system of
records to disclose them to the Department of Justice when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the Department of Justice has agreed to represent the employee;
or
(d) The United States, where the agency determines that
litigation is likely to affect the agency or any of its components,
is a party to litigation or has an interest in such litigation, and
the use of such reports by the Department of Justice is deemed by the
Inspector General to be relevant and necessary to the litigation
provided, however, that in each case the Inspector General determines
that disclosure of the records to the Department of Justice is a use
of the information contained in the records that is compatible with
the purpose for which the records were collected.
Routine use for agency disclosure in litigation:
It shall be a routine use of records maintained by this agency to
disclose them in a proceeding before a court or adjudicative body
before which the agency is authorized to appear when:
(a) The agency, or any component thereof; or
(b) Any employee of the agency in his or her official capacity;
or
(c) Any employee of the agency in his or her individual capacity
where the agency has agreed to represent the employee; or
(d) The United States, where the agency determines that
litigation is likely to affect the agency, or any of its components,
is a party to litigation or has an interest in such litigation, and
the Inspector General determines that, on a case-by-case basis, use
of such records is relevant and necessary to the litigation,
provided, however, that the Inspector General determines that
disclosure of the records is compatible with the purpose for which
the records were collected.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper and computer records.
Retrievability:
The records are retrieved by the name of the subject of the
investigation or by a unique control number assigned to each
investigation.
Safeguards:
The paper records and computer disks are kept in locked cabinets
in limited access areas under personal surveillance during working
hours and in locked cabinets in locked room at all other times.
Retention and disposal:
Indefinite.
System manager(s) and address:
The Inspector General, Federal Election Commission, Washington,
DC 20463, (202/219-4267).
Notification procedure:
Refer to Commission access regulations at 11 CFR 1.1 et seq., 41
FR 43064 (1976).
Record access procedures:
Same as above.
Contesting record procedures:
Same as above.
Record source categories:
Complaints, subjects, third parties who have been requested to
produce relevant information, referring agencies.
Systems exempted from certain provisions of the act:
With respect to investigations, the system is exempt pursuant to
5 U.S.C. 552a(k)(2).
Systems exempted:
System exempt under 5 U.S.C. 552a(j)(2) and 5 U.S.C. 552a(k)(2).
See 11 CFR 1.14.
FEDERAL ELECTIONS COMMISSION
Title 11-Federal Elections
Chapter I-Federal Elections Commission
PART 1--PRIVACY ACT
Sec.
1.1 Purpose and scope.
1.2 Definitions.
1.3 Procedures for requests pertaining to individual records in a
record system.
1.4 Times, places, and requirements for identification of individuals
making requests.
1.5 Disclosure of requested information to individuals.
1.6 Special procedure: Medical records [Reserved].
1.7 Request for correction or amendment to record.
1.8 Agency review of request for correction or amendment of record.
1.9 Appeal of initial adverse agency determination on amendment or
correction.
1.10 Disclosure of record to person other than the individual to whom
it pertains.
1.11 Fees.
1.12 Penalties.
1.13 General exemptions. [Reserved]
1.14 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 41 FR 43064, Sept. 29, 1976, unless otherwise noted.
Sec. 1.1 Purpose and scope.
(a) The purpose of this part is to set forth rules informing the
public as to what information is maintained by the Federal Election
Commission about identifiable individuals and to inform those
individuals how they may gain access to and correct or amend information
about themselves.
(b) The regulations in this part carry out the requirements of the
Privacy Act of 1974 (Pub. L. 93-579) and in particular 5 U.S.C. 552a as
added by that Act.
(c) The regulations in this part apply only to records disclosed or
requested under the Privacy Act of 1974, and not to requests for
information made pursuant to 5 U.S.C. 552, the Freedom of Information
Act, or requests for reports and statements filed with the Federal
Election Commission which are public records and available for
inspection and copying pursuant to 2 U.S.C. 437g(a)(4) (C) and
438(a)(4).
Sec. 1.2 Definitions.
As defined in the Privacy Act of 1974 and for the purposes of this
part, unless otherwise required by the context, the following terms
shall have these meanings:
``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence.
``Maintain'' includes maintain, collect, use or disseminate.
``Record'' means any item, collection, or grouping of information
about an individual that is maintained by an agency, including but not
limited to his or her education, financial transactions, medical
history, and criminal or employment history and that contains his or her
name, or the identifying number, symbol or other identifying particular
assigned to the individual, such as finger or voice print or a
photograph.
``Systems of Records'' means a group of any records under the control
of the Federal Election Commission from which information is retrieved
by the name of the individual or by some identifying number, symbol, or
other identifying particular assigned to the individual.
``Routine use'' means the use of such record for a purpose compatible
with the purpose for which the information was collected.
``Commission'' means the Federal Election Committee, its Commissioners
and employees.
``Commissioners'' means the six appointees confirmed by the Senate who
are voting members of the Commission.
``Act'' means the Federal Election Campaign Act of 1971, as amended
and Chapters 95 and 96 of the Internal Revenue Code of 1954.
Sec. 1.3 Procedures for requests pertaining to individual records
in a record system.
(a) Any individual may request the Commission to inform him or her
whether a particular record system named by the individual contains a
record pertaining to him or her. The request may be made in person or in
writing at the location and to the person specified in the notice
describing that record system.
(b) An individual who believes that the Commission maintains records
pertaining to him or her but who cannot determine which record system
contains those records, may request assistance by mail or in person from
the Staff Director, Federal Election Commission, 999 E Street, NW,
Washington, DC 20463 during the hours of 9 a.m. to 5:30 p.m.
(c) Requests under paragraph (a) or (b) of this section shall be
acknowledged by the Commission within 15 days from the date of receipt
of the request. If the Commission is unable to locate the information
requested under paragraph (a) or (b) of this section, it shall so notify
the individual within 15 days after receipt of the request. Such
acknowledgement may request additional information to assist the
Commission in locating the record or it may advise the individual that
no record or document exists about that individual.
[41 FR 43064, Sept. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 1.4 Times, places, and requirements for identification of
individuals making requests.
(a) After being informed by the Commission that a record system
contains a record pertaining to him or her, an individual may request
the Commission to disclose that record in the manner described in this
section. Each request for the disclosure of a record or a copy of it
shall be made at the Federal Election Commission, 999 E Street, NW,
Washington, DC 20463 and to the system manager identified in the notice
describing the systems of records, either in writing or in person.
Requests may be made by specifically authorized agents or by parents or
guardians of individuals.
(b) Each individual requesting the disclosure of a record or copy of a
record shall furnish the following information with his or her request:
(1) The name of the record system containing the record;
(2) Proof as described in paragraph (c) of this section that he or she
is the individual to whom the requested record relates;
(3) Any other information required by the notice describing the record
system.
(c) Proof of identity as required by paragraph (b)(2) of this section
shall be provided as described in paragraph (c)(1) and (2) of this
section. Requests made by an agent, parent, or guardian, shall be in
accordance with the procedures described in Sec. 1.10.
(1) Requests made in writing shall include a statement, signed by the
individual and either notarized or witnessed by two persons (including
witnesses' addresses). If the individual appears before a notary, he or
she shall submit adequate proof of identification in the form of a
drivers license, birth certificate, passport or other identification
acceptable to the notary. If the statement is witnessed, it shall
include a sentence above the witnesses' signatures that they personally
know the individual or that the individual has submitted proof of his or
her identification to their satisfaction. In any case in which, because
of the extreme sensitivity of the record sought to be seen or copied,
the Commission determines that the identification is not adequate, it
may request the individual to submit additional proof of identification.
(2) If the request is made in person, the requestor shall submit proof
of identification similar to that described in paragraph (c)(1) of this
section, acceptable to the Commission. The individual may have a person
of his or her own choosing accompany him or her when the record is
disclosed.
[41 FR 43064, Sept,. 29, 1976, as amended at 50 FR 50778, Dec. 12, 1985]
Sec. 1.5 Disclosure of requested information to individuals.
(a) Upon submission of proof of identification as required by
Sec. 1.4, the Commission shall allow the individual to see and/or obtain
a copy of the requested record or shall send a copy of the record to the
individual by registered mail. If the individual requests to see the
record, the Commission may make the record available either at the
location where the record is maintained or at a place more suitable to
the requestor, if possible. The record shall be made available as soon
as possible but in no event later than 15 days after proof of
identification.
(b) The Commission must furnish each record requested by an individual
under this part in a form intelligible to that individual.
(c) If the Commission denies access to a record to an individual, he
or she shall be advised of the reason for the denial and advised of the
right to judicial review.
(d) Upon request, an individual will be provided access to the
accounting of disclosures from his or her record under the same
procedures as provided above and in Sec. 1.4.
Sec. 1.6 Special procedure: Medical records. [Reserved]
Sec. 1.7 Request for correction or amendment to record.
(a) Any individual who has reviewed a record pertaining to him or her
that was furnished under this part, may request the Commission to
correct or amend all or any part of that record.
(b) Each individual requesting a correction or amendment shall send
the request to the Commission through the person who furnished the
record.
(c) Each request for a correction or amendment of a record shall
contain the following information:
(1) The name of the individual requesting the correction or amendment;
(2) The name of the system of records in which the record sought to be
amended is maintained;
(3) The location of the system of records from which the individual
record was obtained;
(4) A copy of the record sought to be amended or corrected or a
sufficiently detailed description of that record;
(5) A statement of the material in the record that the individual
desires to correct or amend;
(6) A statement of the basis for the requested correction or amendment
including any material that the individual can furnish to substantiate
the reasons for the correction or amendment sought.
Sec. 1.8 Agency review of request for correction or amendment of
record.
(a) The Commission shall, not later than ten (10) days (excluding
Saturdays, Sundays and legal holidays) after the receipt of the request
for a correction or amendment of a record under Sec. 1.7, acknowledge
receipt of the request and inform the individual whether information is
required before the correction or amendment can be considered.
(b) If no additional information is required, within ten (10) days
from receipt of the request, the Commission shall either make the
requested correction or amendment or notify the individual of its
refusal to do so, including in the notification the reasons for the
refusal, and the appeal procedures provided in Sec. 1.9.
(c) The Commission shall make each requested correction or amendment
to a record if that correction or amendment will tend to negate
inaccurate, irrelevant, untimely, or incomplete matter in the record.
(d) The Commission shall inform prior recipients of any amendment or
correction or notation of dispute of such individual's record if an
accounting of the disclosure was made. The individual may request a list
of prior recipients if an accounting of the disclosure was made.
Sec. 1.9 Appeal of initial adverse agency determination on
amendment or correction.
(a) Any individual whose request for a correction or amendment has
been denied in whole or in part, may appeal that decision to the
Commissioners no later than one hundred eighty (180) days after the
adverse decision is rendered.
(b) The appeal shall be in writing and shall contain the following
information:
(1) The name of the individual making the appeal;
(2) Identification of the record sought to be amended;
(3) The record system in which that record is contained;
(4) A short statement describing the amendment sought; and
(5) The name and location of the agency official who initially denied
the correction or amendment.
(c) Not later than thirty (30) days (excluding Saturdays, Sundays and
legal holidays) after the date on which the Commission receives the
appeal, the Commissioners shall complete their review of the appeal and
make a final decision thereon. However, for good cause shown, the
Commissioners may extend that thirty (30) day period. If the
Commissioners extend the period, the individual requesting the review
shall be promptly notified of the extension and the anticipated date of
a decision.
(d) After review of an appeal, the Commission shall send a written
notice to the requestor containing the following information:
(1) The decision and, if the denial is upheld, the reasons for the
decision;
(2) The right of the requestor to institute a civil action in a
Federal District Court for judicial review of the decision; and
(3) The right of the requestor to file with the Commission a concise
statement setting forth the reasons for his or her disagreement with the
Commission denial of the correction or amendment. The Commission shall
make this statement available to any person to whom the record is later
disclosed, together with a brief statement, if appropriate, of the
Commission's reasons for denying the requested correction or amendment.
The Commission shall also send a copy of the statement to prior
recipients of the individual's record if an accounting of the
disclosures was made.
Sec. 1.10 Disclosure of record to person other than the individual
to whom it pertains.
(a) Any individual who desires to have a record covered by this Part
disclosed to or mailed to another person may designate such person and
authorize such person to act as his or her agent for that specific
purpose. The authorization shall be in writing, signed by the individual
and notarized or witnessed as provided in Sec. 1.4(c).
(b) The parent of any minor individual or the legal guardian of any
individual who has been declared by a court of competent jurisdiction to
be incompetent, due to physical or mental incapacity or age, may act on
behalf of that individual in any matter covered by this part. A parent
or guardian who desires to act on behalf of such an individual shall
present suitable evidence of parentage or guardianship, by birth
certificate, certified copy of a court order, or similar documents, and
proof of the individual's identity in a form that complies with
Sec. 1.4(c).
(c) An individual to whom a record is to be disclosed in person,
pursuant to this part may have a person of his or her own choosing
accompany him or her when the record is disclosed.
Sec. 1.11 Fees.
(a) The Commission shall not charge an individual for the costs of
making a search for a record or the costs of reviewing the record. When
the Commission makes a copy of a record as a necessary part of the
process of disclosing the record to an individual, the Commission shall
not charge the individual for the cost of making that copy.
(b) If an individual requests the Commission to furnish a copy of the
record, the Commission shall charge the individual for the costs of
making the copy. The fee that the Commission has established for making
a copy is ten cents ($.10) per page.
Sec. 1.12 Penalties.
Any person who makes a false statement in connection with any request
for a record, or an amendment or correction thereto, under this part, is
subject to the penalties prescribed in 18 U.S.C. 494 and 495.
Sec. 1.13 General exemptions. [Reserved]
Sec. 1.14 Specific exemptions.
(a) No individual, under the provisions of these regulations, shall be
entitled to access to materials compiled in its systems of records
identified as FEC audits and investigations (FEC 2) or FEC compliance
actions (FEC 3). These exempted systems relate to the Commission's power
to exercise exclusive civil jurisdiction over the enforcement of the Act
under 2 U.S.C. 437d(a)(6) and (e); and to defend itself in actions filed
against it under 2 U.S.C. 437d(a)(6). Further the Commission has a duty
to investigate violations of the Act under 2 U.S.C. 437g(a)(2); to
conduct audits and investigations pursuant to 2 U.S.C. 438(b); 26 U.S.C.
9007 and 9038; and to refer apparent violations of the Act to the
Attorney General or other law enforcement authorities under 2 U.S.C.
437g(a)(5) and 437d(9). Information contained in FEC systems 2 and 3
contain the working papers of the Commission staff and form the basis
for either civil and/or criminal proceedings pursuant to the exercise of
the powers and duties of the Commission. These materials must be
protected until such time as they are subject to public access under the
provision of 2 U.S.C. 437g(a)(4)(B) or 5 U.S.C. 552, or other relevant
statutes.
(b) (1) Pursuant to 5 U.S.C. 552a(j)(2), records contained in FEC 12,
Office of Inspector General Investigative Files, are exempt from the
provisions of 5 U.S.C. 552a, except subsections (b), (c)(1) and (2),
(e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11) and (f) , and
the corresponding provisions of 11 CFR part 1, to the extent this system
of records relates in any way to the enforcement of criminal laws.
(2) Pursuant to 5 U.S.C. 552a(k)(2), FEC 12, Office of Inspector
General Investigative Files, is exempt from 552a (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I), and (f), and the corresponding provisions of 11
CFR part 1, to the extent the system of records consists of
investigatory material compiled for law enforcement purposes, except for
material that falls within the exemption included in paragraph (b)(1) of
this section.
(c) The provisions of paragraph (a) of this section shall not apply to
the extent that application of the subsection would deny any individual
any right, privilege or benefit to which he or she would otherwise be
entitled to receive.
[41 FR 43064, Sept. 29, 1976, as amended at 45 FR 21209, Apr. 1, 1980;
60 FR 4073, Jan. 20, 1995]