Wednesday, 

January 2, 2008 

Part IV 

Federal Election 

Commission 

Privacy Act of 1974; Systems of Records; 

Notice 

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

FEDERAL ELECTION COMMISSION 

[Notice 2007–28] 

Privacy Act of 1974; Systems of 

Records 

AGENCY: Federal Election Commission. 

ACTION: Notice of New and Revised 

Systems of Records. 

SUMMARY: In accordance with the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a, the Federal Election 

Commission (‘‘the FEC’’ or ‘‘the 

Commission’’ or ‘‘the agency’’) is 

publishing for comment new and 

revised systems of records that are 

maintained by the Commission. These 

systems have been proposed or revised 

as a result of a reevaluation of the 

manner in which the Commission 

maintains records. The Commission is 

deleting an obsolete system of records 

entitled FEC 4, Mailing Lists, and a 

duplicative system of records entitled 

FEC 5, Personnel Records. The four new 

proposed systems of records that have 

been added are entitled: FEC 13, Travel 

Records of Employees; FEC 14, 

Alternative Dispute Resolution Program; 

FEC 15, Freedom of Information Act 

System; and FEC 16, HSPD–12: Identity 

Management, Personnel Security, 

Physical and Logical Access Files. With 

the exception of FEC 12, all other 

systems have been revised to 

incorporate administrative changes that 

have taken place since the last complete 

publication of FEC systems of records 

on December 15, 1997. 

DATES: Comments on the establishment 

of the new systems of records, as well 

as the revisions to existing records 

systems, must be received no later than 

February 1, 2008. The new systems of 

records and revisions will be effective 

February 11, 2008 unless the 

Commission receives comments that 

would result in a contrary 

determination. 

ADDRESSES: Comments should be 

addressed in writing to Lawrence L. 

Calvert, Acting Co-Chief Privacy Officer, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463, by 

close of business on February 1, 2008. 

Comments may also be sent via 

electronic mail to Privacy@fec.gov. 

SUPPLEMENTARY INFORMATION: The 

Privacy Act regulates the collection, 

maintenance, use and dissemination of 

information about individuals by 

Federal agencies. Its basic rule generally 

prohibits the disclosure of any 

individual’s ‘‘record,’’ if contained in a 

‘‘system of records’’ to a third party 

without the individual’s consent. See 5 

U.S.C. 552a(b). A ‘‘system of records’’ is 

any group of records in which records 

can be retrieved by the individual’s 

name, or by a unique identifier assigned 

to the individual. See 5 U.S.C. 

552a(a)(5). 

There are a number of exceptions to 

the basic rule of nondisclosure without 

consent. Among them is an exception 

that permits nonconsensual disclosure 

for a ‘‘routine use’’—that is, a use 

compatible with the purposes for which 

the record was collected. 5 U.S.C. 

552a(b)(3). Individuals are also, again 

with exceptions, guaranteed access to 

their records, and the right to request 

amendment of their records if they 

believe the records are inaccurate. See 

generally 5 U.S.C. 552a(d). 

To facilitate these provisions, each 

agency must periodically review its 

systems of records and publish a notice 

in the Federal Register containing 

certain specified information about 

them. The FEC has undertaken and 

completed such a review. As a result of 

this review, the Commission determined 

that its Privacy Act notices required 

extensive modifications to more 

accurately describe the records systems 

currently maintained by the 

Commission. Rather than making 

numerous, piecemeal revisions, the 

Commission decided to draft and 

republish updated notices for all of its 

Privacy Act systems of records. By 

doing so, the Commission hopes to 

make these notices as clear and 

accessible to the public as possible. 

The public is advised that the 

‘‘routine uses’’ described herein are not 

the exclusive list of circumstances in 

which the Commission may share 

Privacy Act protected information with 

a third party without the consent of the 

individual to whom the records pertain. 

The ‘‘routine use’’ exception, 5 U.S.C. 

552a(b)(3), is only one of twelve specific 

exceptions to the rule of nondisclosure 

contained within the Privacy Act 

itself—one of the most important of 

which is information for which 

disclosure is required pursuant to the 

Freedom of Information Act, 5 U.S.C. 

552. See 5 U.S.C. 552a(b)(2). Another 

exception to the rule of nondisclosure is 

disclosure to either House of Congress, 

or a committee of the Congress when the 

inquiry concerns a matter within the 

committee’s jurisdiction. See 5 U.S.C. 

552a(b)(9). The proposed changes to the 

FEC’s routine uses do not limit or alter 

these other exceptions. Conversely, the 

inclusion of a ‘‘routine use’’ in this 

notice does not necessarily mean that 

information will always be disclosed 

under all circumstances described as a 

‘‘routine use.’’ For instance, records in 

FEC 3, Compliance Actions, may not be 

disclosed even pursuant to a routine use 

if disclosure is prohibited by 2 U.S.C. 

437g(a)(12) (covering enforcement 

matters still open) or 2 U.S.C. 437g(a)(4) 

(covering information derived from 

conciliation attempts in any matter). 

Similarly, records in FEC 12, Inspector 

General Investigative Files, may not be 

disclosed if a matter is pending. 

The proposed changes to the system 

entitled FEC 1, Advisory Opinions 

Process include: Revising the ‘‘System 

name,’’ adding data elements ‘‘Security 

classification,’’ ‘‘Purpose(s),’’ 

‘‘Disclosure to consumer reporting 

agencies,’’ and ‘‘Exemptions claimed for 

the system’’ to comply with Office of 

Management and Budget (OMB) and 

Federal Register requirements; 

expanding the ‘‘Categories of 

individuals covered by the system’’ and 

‘‘Record source categories;’’ adding 

routine uses Nos. 3 through 13; 

updating ‘‘Storage,’’ ‘‘Retrievability,’’ 

‘‘Safeguards,’’ ‘‘Retention and disposal,’’ 

and ‘‘System manager(s) and address;’’ 

clarifying ‘‘Notification procedure,’’ 

‘‘Record access procedures,’’ and 

‘‘Contesting record procedures;’’ and 

technical revisions. 

The proposed changes to the system 

entitled FEC 2, Audits and 

Investigations include: Adding data 

elements ‘‘Security classification,’’ 

‘‘Purpose(s),’’ ‘‘Disclosure to consumer 

reporting agencies,’’ and ‘‘Exemptions 

claimed for the system’’ to comply with 

OMB and Federal Register 

requirements; expanding the 

‘‘Categories of individuals covered by 

the system’’ and ‘‘Record source 

categories;’’ clarifying the ‘‘Categories of 

records in the system;’’ adding routine 

uses Nos. 3 through 9; updating 

‘‘Storage,’’ ‘‘Retrievability,’’ 

‘‘Safeguards,’’ and ‘‘Retention and 

disposal;’’ clarifying ‘‘Notification 

procedure;’’ ‘‘Record access 

procedures,’’ and ‘‘Contesting record 

procedures;’’ and technical revisions. 

The proposed changes to the system 

entitled FEC 3, Compliance Actions 

include: Adding data elements 

‘‘Security classification,’’ ‘‘Purpose(s),’’ 

and ‘‘Disclosure to consumer reporting 

agencies;’’ expanding the ‘‘Categories of 

individuals covered by the system’’ and 

‘‘Categories of records in the system;’’ 

adding routine uses Nos. 3 through 15; 

updating ‘‘Storage,’’ ‘‘Retrievability,’’ 

‘‘Safeguards,’’ ‘‘Retention and disposal,’’ 

and ‘‘System manager(s) and address;’’ 

clarifying ‘‘Notification procedure,’’ 

‘‘Record access procedures,’’ and 

‘‘Contesting record procedures;’’ and 

technical revisions. 

The FEC is deleting the system 

entitled FEC 4, Mailing Lists, because 

the system of records is no longer 

searchable by name or other unique 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 337 

identifier, and thus, does not require a 

System of Records Notice. The FEC is 

also deleting FEC 5, Personnel Records, 

because the system is covered by Office 

of Personnel Management governmentwide systems of records (OPM/GOVT–1, 

2, 3, 5 and 10). 

The proposed changes to the system 

entitled FEC 6, Candidate Reports and 

Designations include: Adding data 

elements ‘‘Security classification,’’

‘‘Purpose(s),’’ ‘‘Disclosure to consumer 

reporting agencies,’’ and ‘‘Exemptions 

claimed for the system’’ to comply with 

OMB and Federal Register 

requirements; expanding ‘‘Categories of 

individuals covered by the system;’’

clarifying ‘‘Categories of records in the 

system;’’ deleting routine uses; updating 

‘‘System location,’’ ‘‘Storage,’’

‘‘Retrievability,’’ ‘‘Safeguards,’’

‘‘Retention and disposal,’’ and ‘‘System 

manager(s) and address;’’ clarifying 

‘‘Notification procedure,’’ ‘‘Record 

access procedures,’’ ‘‘Contesting record 

procedures;’’ and ‘‘Record source 

categories;’’ and technical revisions. 

The proposed changes to the system 

entitled FEC 7, Certification for Primary 

Matching Funds and General Elections 

Campaign Funds include: Adding data 

elements ‘‘Security classification,’’

‘‘Purpose(s),’’ ‘‘Disclosure to consumer 

reporting agencies,’’ and ‘‘Exemptions 

claimed for the system;’’ updating 

‘‘System location;’’ expanding 

‘‘Categories of individuals covered by 

the system;’’ clarifying ‘‘Categories of 

records in the system,’’ adding routine 

uses Nos. 3 through 10; updating 

‘‘Storage,’’ ‘‘Retrievability,’’

‘‘Safeguards,’’ ‘‘Retention and disposal,’’

and ‘‘System manager(s) and address;’’

clarifying ‘‘Notification procedure,’’

‘‘Record access procedures,’’ and 

‘‘Contesting record procedures;’’ and 

technical revisions. 

The proposed changes to the system 

entitled FEC 8, Payroll Records include: 

Adding data elements ‘‘Security 

classification,’’ ‘‘Categories of 

individuals covered by the system,’’

‘‘Purpose(s),’’ ‘‘Disclosure to consumer 

reporting agencies;’’ and ‘‘Exemptions 

claimed for the system’’ to comply with 

OMB and Federal Register 

requirements; updating ‘‘System 

location;’’ expanding ‘‘Categories of 

records in the system;’’ re-numbering 

and adding routine uses Nos. 1 through 

33; updating ‘‘Storage;’’

‘‘Retrievability,’’ ‘‘Safeguards,’’ and 

‘‘System manager(s) and address;’’

clarifying ‘‘Notification procedure,’’

‘‘Record access procedures’’ and 

‘‘Contesting record procedures;’’ and 

technical revisions. 

The proposed changes to the system 

entitled FEC 9, Litigation Actions 

include: Adding data elements 

‘‘Security classification,’’ ‘‘Purpose(s),’’

‘‘Disclosure to consumer reporting 

agencies,’’ and ‘‘Exemptions claimed for 

the system’’ to comply with Federal 

Register requirements; expanding the 

‘‘Categories of individuals covered by 

the system’’ and ‘‘Categories of records 

in the system;’’ adding routine uses Nos. 

3–13; updating ‘‘Storage,’’

‘‘Retrievability,’’ ‘‘Safeguards,’’

‘‘Retention and disposal,’’ and ‘‘System 

manager(s) and address;’’ clarifying the 

‘‘Notification procedure,’’ ‘‘Record 

access procedures,’’ and ‘‘Contesting 

record procedures;’’ and technical 

revisions. 

The proposed changes to the system 

entitled FEC 10, Letter File. Public 

Communications include: Adding data 

elements ‘‘Security classification,’’

‘‘Purpose(s),’’ ‘‘Disclosure to consumer 

reporting agencies,’’ ‘‘Safeguards,’’ and 

‘‘Exemptions claimed for the system’’ to 

comply with OMB and Federal Register 

requirements; updating ‘‘System 

location;’’ expanding the ‘‘Categories of 

individuals covered by the system;’’

clarifying the ‘‘Categories of records in 

the system,’’ adding routine uses Nos. 3 

through 12; updating ‘‘Retrievability,’’

‘‘Retention and disposal,’’ and ‘‘System 

manager(s) and address;’’ clarifying 

‘‘Notification procedure;’’ ‘‘Record 

access procedures,’’ ‘‘Contesting record 

procedures,’’ and ‘‘Record source 

categories;’’ and technical revisions. 

The proposed changes to the system 

entitled FEC 11, Contributor Name 

Index System include: Adding data 

elements ‘‘Security classification,’’

‘‘Purpose(s),’’ ‘‘Disclosure to consumer 

reporting agencies,’’ and ‘‘Exemptions 

claimed for the system’’ to comply with 

OMB and Federal Register 

requirements; updating ‘‘System 

location;’’ expanding ‘‘Categories of 

individuals covered by the system;’’

clarifying ‘‘Categories of records in the 

system;’’ deleting routine uses; updating 

‘‘Storage,’’ ‘‘Retrievability,’’

‘‘Safeguards,’’ ‘‘Retention and disposal,’’

and ‘‘System manager(s) and address;’’

clarifying ‘‘Notification procedure,’’

‘‘Record access procedures,’’ and 

‘‘Contesting record procedures,’’

expanding ‘‘Record source categories;’’

and technical revisions. 

The Commission recently published a 

proposed notice of revised system of 

records covering the system entitled 

FEC 12, Inspector General Investigative 

Files. 72 FR 3141 (January 24, 2007). 

Thus, changes to FEC 12 include only 

technical revisions. 

The FEC proposes to establish the 

system of records entitled FEC 13, 

Travel Records of Employees. FEC 13 

would cover travel records of FEC 

employees. 

The FEC proposes to establish the 

system of records entitled FEC 14, 

Alternative Dispute Resolution Program. 

FEC 14 would cover documents 

generated by the FEC’s Alternative 

Dispute Resolution (ADR) program. The 

ADR program was established to 

provide parties in enforcement actions 

with an alternative method for resolving 

complaints filed against them or for 

addressing issues identified in the 

course of an FEC audit. The resolution 

process is designed to promote 

compliance with the Federal Election 

Campaign Act, as amended and 

Commission regulations and to reduce 

the cost of processing complaints by 

encouraging settlements outside the 

FEC’s normal enforcement track. 

The FEC proposes to establish the 

System of Records entitled FEC 15, FEC 

Freedom of Information Act System. 

The Freedom of Information Act (FOIA), 

5 U.S.C. 552, generally provides any 

person with the right to obtain access to 

agency records unless the information is 

protected from disclosure by any of the 

nine exemptions or special law 

enforcement exclusions. FEC 15 would 

cover records of FEC compliance with 

the Freedom of Information Act (FOIA), 

such as FOIA requests, responses, and 

appeals. 

The FEC proposes to establish FEC 16, 

HSPD–12: Identity Management, 

Personal Security, Physical and Logical 

Access Files. Homeland Security 

Presidential Directive 12 (HSPD–12) 

requires federal agencies to use a 

common identification credential for 

both logical and physical access to 

federally controlled facilities and 

information systems. The FEC plans to 

enter into a shared services support 

agreement with an approved shared 

service provider to automate the process 

of issuing credentials to all agency 

employees, contractors, volunteers, and 

other individuals who require routine, 

long-term access to agency facilities, 

systems, and networks. Credentials are 

issued based on sound criteria to verify 

an individual’s identity, that are 

strongly resistant to fraud, tampering, 

counterfeiting, and terrorist 

exploitation, and that provide for rapid, 

electronic authentication of personal 

identity by a provider whose reliability 

has been established through an official 

accreditation process. 

As required by 5 U.S.C. 552a(r) of the 

Privacy Act of 1974, as amended, and 

OMB Circular A–130, the FEC has 

submitted a report describing the new 

and altered systems of records covered 

by this notice to the Office of 

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

Management and Budget and to 

Congress. 

Dated: December 19, 2007. 

Robert D. Lenhard, 

Chairman, Federal Election Commission. 

Table Of Contents 

FEC 1 Advisory Opinions Process. 

FEC 2 Audits and Investigations. 

FEC 3 Compliance Actions. 

FEC 6 Candidate Reports and Designations. 

FEC 7 Certification for Primary Matching 

Funds and General Election Campaign 

Funds. 

FEC 8 Payroll Records. 

FEC 9 Litigation Actions. 

FEC 10 Letter File. Public Communications. 

FEC 11 Contributor Name Index System. 

FEC 12 Inspector General Investigative 

Files. 

FEC 13 Travel Records of Employees. 

FEC 14 Alternative Dispute Resolution 

Program. 

FEC 15 FEC Freedom of Information Act 

System. 

FEC 16 HSPD–12: Identity Management, 

Personnel Security, Physical and Logical 

Access Files. 

FEC 1 

SYSTEM NAME: 

Advisory Opinions Process. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

records are public. 

SYSTEM LOCATION: 

Federal Election Commission, Office 

of General Counsel, Policy Division, 999 

E Street, NW., Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who have submitted 

correspondence to the FEC requesting 

an advisory opinion under the Federal 

Election Campaign Act and FEC 

regulations; individuals who have 

submitted comments regarding advisory 

opinion drafts; current and former FEC 

staff assigned to handle requests. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

The records in this system include 

paper and electronic correspondence, 

staff notes, Commissioners’ comments, 

and advisory opinion drafts. May 

include the name, address, telephone 

number, e-mail address, employment 

information, political activity, and 

financial records of the correspondents. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 437d(a)(7) and 437f. 

PURPOSE(S): 

The Federal Election Campaign Act of 

1971, as amended, requires that the FEC 

render advisory opinions to persons 

with regard to subjects arising under the 

Act. See 2 U.S.C. 437f. The FEC gathers 

or creates the records in this system in 

the course of accepting and responding 

to requests for such advisory opinions. 

Commissioners and staff use this system 

to respond to requests for advisory 

opinions, and the documents are 

maintained for use as a reference in 

subsequent requests for advisory 

opinions. Advisory opinions issued 

before 2001 are available to the public 

online at Commission’s Public Records 

Office. Advisory opinions, requests, 

draft opinions, amendments considered 

by the Commission in public session, 

public comments, and similar 

documents issued after 2001 are 

available to the public at e Public 

Records Office. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To the news media or the general 

public, factual information the 

disclosure of which would be in the 

public interest and which would not 

constitute an unwarranted invasion of 

personal privacy. 

4. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

6. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

7. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

8. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

9. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 339 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

10. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

management programs and functions) 

and in their role as an investigation 

agency. 

11. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

12. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

13. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper records; microfilm; electronic 

format on agency computer networks. 

RETRIEVABILITY: 

Microfilm and paper records are 

indexed and retrievable by name of 

requester, date of opinion, request 

number, subject, citation, or phrase, 

and, as applicable, by microfilm roll and 

frame number. 

Records maintained in electronic form 

on agency computer networks may be 

retrieved by agency personnel using 

Case Management System software, the 

Office of General Counsel (OGC) 

Internal Index, or the Commission’s 

Web site and are retrievable by name of 

requestor, request number, date of 

opinion, subject, citation, phrase, and 

name of current or former staff who 

handled the request. 

The Commission’s published advisory 

opinions are available for public review 

in the Commission’s Public Records 

Office and on the FEC’s Internet web 

page and are indexed by request number 

and are full-text searchable. All advisory 

opinions and many requests and draft 

opinions are also available on 

microfilm. Members of the public may 

retrieve any advisory opinion online. 

For opinions issued after 2001, members 

of the public may view in the Public 

Records Office, the requests, draft 

opinions, and amendments considered 

by the Commission in public session, 

public comments, and similar 

documents. These documents are also 

available on the Commission’s Web site. 

SAFEGUARDS: 

Records in this system of records are 

under the custody of designated 

employees of the Commission. Access to 

the records is limited to employees 

requiring access to the information 

contained therein to further the agency’s 

mission. Electronic records that are not 

available on the Commission’s Web site 

are protected from unauthorized access 

through appropriate administrative, 

physical, and technical safeguards. 

These safeguards include the 

application of appropriate access 

control mechanisms to ensure the 

confidentiality, integrity, and 

availability of those records and that 

they are only accessed by those with a 

need to know and dictated by their 

official duties. 

RETENTION AND DISPOSAL: 

Paper copies are retained for at least 

four years from date of receipt and 

subject to disposal thereafter. Electronic 

and microfilm copies are available 

indefinitely. 

SYSTEM MANAGER(S) AND ADDRESS: 

Associate General Counsel for Policy, 

Office of General Counsel, Federal 

Election Commission, 999 E Street, 

NW., Washington, DC 20463, (202/694–

1650). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Associate 

General Counsel for Policy, Office of 

General Counsel, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Associate General 

Counsel for Policy, Office of General 

Counsel, Federal Election Commission 

at the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Associate 

General Counsel for Policy, Office of 

General Counsel, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Information is provided by individual 

requesters of advisory opinions, persons 

submitting comments to the FEC with 

regard to the request, and FEC staff. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 2 

SYSTEM NAME: 

Audits and Investigations. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

records are public. 

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

SYSTEM LOCATION: 

Federal Election Commission, Audit 

Division, 999 E Street, NW., 

Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Candidates required to file statements 

and reports under the Federal Election 

Campaign Act; treasurers or other 

representatives of political committees. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Documents related to audits and 

investigations. The records contained in 

this system may include the name, 

address, telephone number, and 

financial data of the subjects of audits 

and investigations. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 437d(a)(9), 437g(a)(2), (5) and 

438(a)(8), (9); 26 U.S.C. 9007, 9038. 

PURPOSE(S): 

The information contained in the 

records maintained in this system is 

used to verify compliance with the 

Federal Election Campaign Act and to 

verify compliance with, and eligibility 

for, funds pursuant to the Presidential 

Campaign Matching Fund Act and the 

Presidential Primary Matching Payment 

Account Act. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To disclose them to the Department 

of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To the general public but only to 

the extent the information is contained 

in, or relates to, a proposed Final Audit 

Report considered by the Commission 

in public session or is contained in an 

approved Final Audit Report. 

4. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

6. To any source from which 

information is requested in the course of 

an investigation, to the extent necessary 

to identify the individual, inform the 

source of the nature and purpose of the 

investigation, and to identify the type of 

information requested. 

7. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

8. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

9. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper records; CD-Rom storage; and 

electronic format on agency networks. 

RETRIEVABILITY: 

Indexed by name of auditee. The 

public may retrieve approved Final 

Audit Reports from a page on the 

Commission’s Web site. 

SAFEGUARDS: 

Paper records are retained in locked 

safes in limited access locations. Access 

is limited to FEC staff on a restricted 

basis and to appropriate law 

enforcement agencies as directed by the 

Commission. Auditors in the field keep 

their audit documents under personal 

supervision or in locked cases. CDROMs are kept in locked file cabinets. 

All electronic records are protected from 

unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. 

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RETENTION AND DISPOSAL: 

Records are maintained and disposed 

of in accordance with FEC records 

control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Staff Director for Audit, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463, 

(202/694–1200). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Assistant 

Staff Director for Audit, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Assistant Staff Director for 

Audit, Federal Election Commission at 

the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Assistant 

Staff Director for Audit, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Information is provided by the 

candidate’s authorized campaign 

committee, political committees, and 

political action committees. Information 

also may be obtained by subpoena from 

vendors and other individuals. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

With respect to open audits, this 

system is exempt pursuant to the 

provisions of 5 U.S.C 552a(k)(2). See 11 

CFR 1.14. When the audit is closed, 

copies of final reports are available on 

the public record. 

FEC 3 

SYSTEM NAME: 

Compliance Actions. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

material is public. 

SYSTEM LOCATION: 

Federal Election Commission, Office 

of General Counsel, Complaints 

Examinations & Legal Administration 

Division, 999 E Street, NW., 

Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who have filed 

complaints under the Federal Election 

Campaign Act (2 U.S.C. 431 et seq.) 

(complainants); individuals who are the 

subjects of complaints (respondents), 

including treasurers of respondent 

political committees, and counsel; 

candidates filing late or inaccurate 

reports, or no reports; witnesses and 

other individuals providing information 

with respect to a compliance matter; 

and current and former FEC personnel, 

including RAD analysts, auditors, 

attorneys and investigators. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Complaints, sua-sponte submissions, 

referrals, and responses thereto; 

documents generated in the course of 

internally-generated investigations of 

reports on file at the Commission; 

documents generated and received in 

the course of investigations of 

complaints and referrals, including 

General Counsel’s Reports, briefs, 

deposition and transcripts, 

interrogatories and responses thereto, 

hearing records, Subpoenas and orders, 

documents received from other 

government agencies, other 

documentary evidence, documents in 

the course of conciliation, and 

memoranda and notes created by agency 

personnel with respect to investigations. 

May include the name, address, Social 

Security Number, telephone number, email address, employment information, 

education, political activity records, tax 

records, travel records, and financial 

records of the subjects of compliance 

actions or other individuals covered by 

the system. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 437g(a)(1), (2), (4) and (5); 

438(a)(7) and 438(b); 26 U.S.C. 9006 and 

9038. 

PURPOSE(S): 

The Federal Election Campaign Act of 

1971, as amended, requires that the FEC 

enforce the provisions of the Act. The 

FEC gathers or creates the records in 

this system in the course of 

investigating and acting as civil 

prosecutor for alleged violations of the 

Act. While any compliance action is 

active, these records are maintained as 

the agency’s working or investigative 

file for the Matter Under Review (MUR). 

Based upon information contained in 

the file, recommendations are made to 

the Commission as to the disposition of 

a case, and the Commission acts upon 

those recommendations. The Associate 

General Counsel assigns compliance 

actions to an attorney and/or to 

appropriate staff for investigation. 

Administrative action pursuant to 2 

U.S.C. 437g and civil litigation are 

handled by the General Counsel’s 

Office. Upon the closing of the 

compliance matter, certain documents 

are placed on the public record. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

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use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To the Attorney General of the 

United States to refer evidence of 

knowing and willful violations of the 

law. 

4. Upon the closing of the compliance 

matter, to place certain documents on 

the public record of the agency, 

pursuant to guidance promulgated by 

the Commission. Before the documents 

are released to the public, Commission 

personnel review and redact 

information that is not disclosable 

under the Freedom of Information Act, 

such as personal information (i.e., home 

addresses, home telephone numbers, 

and bank account numbers). 

5. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law for purposes 

of reporting the information to those 

authorities pursuant to 2 U.S.C. 

437d(a)(9) or as otherwise necessary to 

facilitate parallel investigations or to 

assist the other agency with the 

investigation or prosecution of a matter 

within its jurisdiction. 

6. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

7. To any source from which 

information is requested in the course of 

an investigation, to the extent necessary 

to identify the individual, inform the 

source of the nature and purpose of the 

investigation, and to identify the type of 

information requested. 

8. To a Federal, State, local, foreign, 

tribal or other public authority of the 

fact that this system of records contains 

information relevant to the retention of 

an employee, the retention of a security 

clearance, the letting of a contract, or 

the issuance or retention of a license, 

grant, or other benefit. The other agency 

or licensing organization may then make 

a request supported by written consent 

of the individual for the entire record if 

it so chooses. No disclosure will be 

made unless the information has been 

determined to be sufficiently reliable to 

support a referral to another office 

within the agency or to another Federal 

agency for criminal, civil, 

administrative, personnel, or regulatory 

action. 

9. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

10. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

11. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

12. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

management programs and functions) 

and in their role as an investigation 

agency. 

13. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

14. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

15. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

Pursuant to 5 U.S.C. 552a(b)(12), 

records can be disclosed to consumer 

reporting agencies as they are defined in 

the Fair Credit Reporting Act. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are maintained in electronic 

form on agency computer networks, on 

RETRIEVABILITY: 

Microfilm and paper records are 

indexed and retrievable by name of 

complainant or respondent, by 

compliance action number, or by 

microfilm roll and frame number, as 

appropriate. 

Electronic records are maintained on 

agency computer networks and may be 

retrieved using software systems that 

support the agency’s compliance 

mission. The Case Management System 

(CMS), Concordance, and Docs open 

databases are available only to agency 

personnel. When a compliance matter 

has been closed, certain records are 

placed on the agency’s public record, 

and may be retrieved by the public 

through the agency’s Web site using the 

Enforcement Query System. 

SAFEGUARDS: 

Records in this system of records are 

under the custody of designated 

employees of the Commission. Access to 

the records is limited to employees 

requiring access to the information 

contained therein to further the agency’s 

compliance mission. Paper and 

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microfilm records in this system are 

kept in locked filing cabinets in limited 

access areas under personal surveillance 

during working hours, and in locked 

filing cabinets in locked rooms at other 

times. All electronic records are 

protected from unauthorized access 

through appropriate administrative, 

physical, and technical safeguards. 

These safeguards include the 

application of appropriate access 

control mechanisms to ensure the 

confidentiality, integrity, and 

availability of those records and that 

they are only accessed by those with a 

need to know and dictated by their 

official duties. Prior to making 

documents publicly available through 

the Electronic Query System, the Office 

of General Counsel thoroughly reviews 

each record to remove information 

deemed to be exempt under the 

Freedom of Information Act. 

RETENTION AND DISPOSAL: 

Records are maintained and disposed 

of in accordance with FEC records 

control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Special Counsel for Complaints 

Examinations & Legal Administration, 

Office of General Counsel, Federal 

Election Commission, 999 E Street, 

NW., Washington, DC 20463, (202/694–

1650). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Special 

Counsel for Complaints Examinations & 

Legal Administration, Office of General 

Counsel, Federal Election Commission, 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s access regulations 

at 11 CFR parts 1.1–1.5, 41 FR 43064 

(1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Special Counsel for 

Complaints Examinations & Legal 

Administration, Office of General 

Counsel, Federal Election Commission 

at the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Special 

Counsel for Complaints Examinations & 

Legal Administration, Office of General 

Counsel, Federal Election Commission 

at the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s regulations for contesting 

initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Information is obtained from a variety 

of sources, including but not limited to 

complainants, respondents, third parties 

who have been requested, or 

subpoenaed, to produce relevant 

information, referrals, other Federal, 

State, or local authorities, financial 

institutions, and the Federal Election 

Commission. Information is also 

obtained from individuals covered by 

the system. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

With respect to open investigations, 

the system is exempt pursuant to 5 

U.S.C. 552a(k)(2). See 11 CFR part 1.14. 

FEC 6 

SYSTEM NAME: 

Candidate Reports and Designations. 

SECURITY CLASSIFICATION: 

Public. 

SYSTEM LOCATION: 

Federal Election Commission, Public 

Disclosure Division, 999 E Street, NW., 

Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Candidates for Federal office required 

to file reports of contributions and 

expenditures; sources of receipts and 

recipients of disbursements, including 

contributors and vendors; and treasurers 

of Candidate Committees. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Reports and Statements of candidates; 

reports by delegates and other persons 

making contributions or independent 

expenditures; and designations on 

behalf of a Federal candidate but not 

through a political committee, 

candidate, or authorized committee or 

agent of a candidate. May include the 

name, address, telephone number, email address, employment information, 

political affiliation and financial records 

of the candidate or treasurer. May 

include the name, address, occupation, 

name of employer, and amounts of 

contribution of any person who 

contributes more than $200 in a 

calendar year to a Federal political 

committee (or $200 in an election cycle, 

in the case of contributors to the 

authorized committee of candidates for 

Federal office). 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 432(e), 434, 437b(a)(1), and 

438(a)(4). 

PURPOSE(S): 

The information contained in the 

records maintained in this system is 

used to inform the public of the 

amounts raised and spent by authorized 

committees of candidates for Federal 

office and other Federal political 

committees as well as the sources from 

which the amounts are raised and the 

recipients of the amounts spent; also, to 

verify compliance with the Federal 

Election Campaign Act. The 

Commission is required to make this 

information public pursuant to 2 U.S.C. 

438(a)(4). 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

None involving nonpublic 

information. All records in this system 

are public pursuant to 2 U.S.C. 

438(a)(4). 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper records, microfilm, electronic 

format on agency computer networks, 

and on the Internet at the FEC’s web 

page. 

RETRIEVABILITY: 

Paper and microfilm records are 

retrievable by candidate name, 

candidate identification (ID) number, 

committee name, committee ID number, 

or by the State in which candidate seeks 

election; electronic records are 

retrievable by candidate name, 

candidate ID number, committee name, 

committee ID number, or by the State or 

district in which the candidate seeks 

election. 

All electronic searches may be 

conducted by any member of the public 

using the Commission’s Web site. 

SAFEGUARDS: 

Original copies of records in this 

system are located in locked filing 

cabinets or are maintained on password 

protected agency computer networks. 

All electronic records are protected from 

unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. 

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

RETENTION AND DISPOSAL: 

Reports are preserved for a 10-year 

period except that reports relating solely 

to candidates for the House of 

Representative are preserved for 5 years 

from the date of receipt. Microfilm and 

electronic records are maintained and 

disposed of in accordance with FEC 

records control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Staff Director for Disclosure, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463, 

(202/694–1120). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Assistant 

Staff Director for Disclosure, Federal 

Election Commission, 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Assistant Staff Director for 

Disclosure, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s access regulations 

at 11 CFR parts 1.1–1.5, 41 FR 43064 

(1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Assistant 

Staff Director for Disclosure, Federal 

Election Commission at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Candidate committee disclosure 

reports and designations filed with the 

FEC. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 7 

SYSTEM NAME: 

Certification for primary matching 

funds and general election campaign 

funds. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

records are public. 

SYSTEM LOCATION: 

Federal Election Commission, Audit 

Division, 999 E Street, NW., 

Washington, DC 20463. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Candidates for nomination or election 

to the Office of President of the United 

States and contributors whose 

contributions are matched under the 

Matching Payment Act. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Certification forms and supporting 

data requesting matching funds or 

election funds including the candidate 

agreement. May include the name, 

address, telephone number, e-mail 

address, employment information, 

political activity or affiliations and 

financial records of the candidates. May 

include the names, addresses, 

occupations, names of employers, and 

dates and amounts of contributions of 

contributors. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

26 U.S.C. 9003, 9006; 26 U.S.C. 9033, 

9036, 9037. 

PURPOSE(S): 

To assist the Commission in 

facilitating the primary matching funds 

and general election campaign funds 

programs for Presidential primary 

candidates and nominees. Presidential 

candidates who seek matching funds 

must submit information about 

matchable contributions to the FEC for 

review. These files are available to the 

public and are placed on the FEC’s 

Internet site. Before receiving matching 

funds, candidates must also provide a 

letter of agreement (candidate 

agreement) stating they accept the 

conditions for receiving matching 

grants. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To the news media or the general 

public, factual information the 

disclosure of which would be in the 

public interest and which would not 

constitute an unwarranted invasion of 

personal privacy. However, under 2 

U.S.C. 438a(4), any information copied 

from financial disclosure reports shall 

not be sold or utilized by any person for 

the purposes of soliciting contributions 

or for any commercial purpose. 

4. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 345 

activities that disrupt the operation of 

Commission facilities. 

6. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

7. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

8. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

9. To the Department of Treasury in 

connection with issuing matching funds 

to qualified recipients. 

10. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

Pursuant to 5 U.S.C. 552a(b)(12), 

records can be disclosed to consumer 

reporting agencies as they are defined in 

the Fair Credit Reporting Act. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper records; CD-Rom storage; 

electronic format on agency computer 

networks. 

RETRIEVABILITY: 

Indexed and retrievable by name of 

candidate, committee ID, and candidate 

ID. Matching funds submissions are 

retrievable by members of the public on 

a page on the agency’s public Web site. 

SAFEGUARDS: 

Paper records and CD-ROMs are kept 

in locked file cabinets in limited access 

areas under personal surveillance 

during working hours and in locked 

rooms at other times. All electronic 

records are protected from unauthorized 

access through appropriate 

administrative, physical, and technical 

safeguards. These safeguards include 

the application of appropriate access 

control mechanisms to ensure the 

confidentiality, integrity, and 

availability of those records and that 

they are only accessed by those with a 

need to know and dictated by their 

official duties. 

RETENTION AND DISPOSAL: 

Records are maintained and disposed 

of in accordance with FEC records 

control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Staff Director for Audit, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463, 

(202/694–3440). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Assistant 

Staff Director for Audit, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Assistant Staff Director for 

Audit, Federal Election Commission at 

the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Assistant 

Staff Director for Audit, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Certification reports and candidate 

agreements filed with the Commission. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 8 

SYSTEM NAME: 

Payroll records. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

Federal Election Commission, 

Finance Division, 999 E Street, NW., 

Washington, DC 20463 and on a 

computer system located in the 

Department of Agriculture’s National 

Finance Center, New Orleans, 

Louisiana. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

All FEC employees. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Varied payroll records, including, 

among other documents, time and 

attendance cards; payment vouchers; 

comprehensive listing of employees; 

health and other benefit records; 

requests for deductions; tax forms; W–

2 forms; headcount data; overtime 

requests; leave data; and retirement 

records. May include names, addresses, 

telephone numbers, marital status, date 

of birth, e-mail addresses, employment 

and education history, health and 

financial information. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

31 U.S.C., generally. Also, 2 U.S.C. 

437c(f). 

PURPOSE(S): 

Records in this system are used by the 

Commission to maintain adequate 

payroll information on Commission 

employees, to measure employee 

performance, record time and 

attendance, and file reports with 

appropriate authorities. 

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

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

4. To a Federal agency, in response to 

its request, in connection with the 

hiring or retention of an employee, the 

issuance of a security clearance, the 

reporting of an investigation of an 

employee, the letting of a contract, or 

the issuance of a license, grant or other 

benefit by the requesting agency, to the 

extent that the information is relevant 

and necessary to the requesting agency’s 

decision in the matter. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

6. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

7. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

8. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. 

Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

9. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

10. To the Office of Personnel 

Management in accordance with the 

agency’s responsibility for evaluation 

and oversight of Federal personnel 

management. 

11. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

12. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

13. To debt collection contractors to 

collect debts owed to the Government, 

as authorized under the Debt Collection 

Act of 1982, 31 U.S.C. 3718, and subject 

to the Privacy Act safeguards. 

14. To the Office of Child Support 

Enforcement Administration for 

Children and Families, Department of 

Health and Human Services Federal 

Parent Locator Service (FPLS) and 

Federal Tax Offset System for use in 

locating individuals and identifying 

their income sources to establish 

paternity, establish and modify orders of 

support and for enforcement action. 

15. To the Office of Child Support 

Enforcement for release to the Social 

Security Administration for verifying 

Social Security Numbers in connection 

with the operation of the FPLS by the 

Office of Child Support Enforcement. 

16. To the Office of Child Support 

Enforcement for release to the 

Department of Treasury for purposes of 

administering the Earned Income Tax 

Credit Program (Section 32, Internal 

Revenue Code of 1986) and verifying a 

claim with respect to employment in a 

tax return. 

17. To officers and employees of a 

Federal agency for purposes of an audit. 

18. To the General Accounting Office 

for audits; to the Internal Revenue 

Service for investigation; and to 

individual representatives, pursuant to a 

power of attorney. 

19. To audit firms or other contractors 

conducting audits or studies of FEC’s 

financial or computer systems or 

processes in accordance with the 

Accountability of Tax Dollars Act of 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 347 

2002, other laws, or special studies 

requested by management. 

20. To a State and city, or other local 

jurisdiction that is authorized to tax the 

employee’s compensation, a copy of an 

employee’s Department of Treasury 

form W–2, wage and tax statement. The 

record will be provided in accordance 

with a withholding agreement between 

the State, city, or other local jurisdiction 

and the Department of the Treasury, 

pursuant to 5 U.S.C. 5516, 5517, or 

5520, or, in the absence thereof, in 

response to a written request from an 

appropriate official of the taxing 

jurisdiction to the Accounting Officer, 

Federal Election Commission, 

Washington, DC 20463. The request 

must include a copy of the applicable 

statute or ordinance authorizing the 

taxation of compensation and should 

indicate whether the authority of the 

jurisdiction to tax the employee is based 

on place of residence, place of 

employment, or both. 

a. Pursuant to a withholding 

agreement between a city and the 

Department of Treasury (5 U.S.C. 5520), 

copies of executed city tax withholding 

certificates shall be furnished to the city 

in response to a written request from an 

appropriate city official to the 

Accounting Officer. 

b. In the absence of a withholding 

agreement, the Social Security Number 

will be furnished only to a taxing 

jurisdiction that has furnished this 

agency with evidence of its independent 

authority to compel disclosure of the 

Social Security Number, in accordance 

with Section 7 of the Privacy Act. 

21. To the Department of Agriculture, 

National Finance Center, to credit Thrift 

Savings Plan deductions and loan 

payments to employee accounts. 

22. To the Department of Treasury to 

issue checks, make payments, make 

electronic funds transfers, and issue 

U.S. Savings Bonds. 

23. To the Department of Labor in 

connection with a claim filed by an 

employee for compensation due to a job 

connected injury or illness. 

24. To the Internal Revenue Service; 

Social Security Administration; and 

State and local tax authorities in 

connection with the withholding of 

employment taxes. 

25. To the Combined Federal 

Campaign in connection with payroll 

deductions for charitable contributions. 

26. To State Unemployment Offices in 

connection with a claim filed by former 

employees for unemployment benefits. 

27. To the Office of Personnel 

Management and to Health Benefit 

carriers in connection with enrollment 

and payroll deductions. 

28. To the Office of Personnel 

Management in connection with 

employee retirement and life insurance 

deductions. 

29. To the Office of Management and 

Budget and Department of the Treasury 

to provide required reports on financial 

management responsibilities. 

30. To provide information as 

necessary to other Federal, State, local 

or foreign agencies conducting 

computer matching programs to help 

eliminate fraud and abuse and to detect 

unauthorized overpayments made to 

individuals. When disclosures are made 

as part of computer matching programs, 

FEC will comply with the Computer 

Matching and Privacy Protection Act of 

1988. 

31. To the Internal Revenue Service in 

connection with withholdings for tax 

levies. 

32. To the General Services 

Administration, which has been 

engaged to assist the agency in 

processing and administering certain 

functions related to this system of 

records. 

33. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper records and electronic format 

on agency computer networks. Primary 

computer files stored on server harddrives with tape backup for all records 

located at 999 E Street, NW., 

Washington, DC and at the National 

Finance Center in New Orleans, 

Louisiana. 

RETRIEVABILITY: 

Records are accessible via last name 

or Social Security Number. Employees 

have online access to portions of their 

own files via their last name and/or 

Social Security Number and/or PIN 

through the National Finance Center 

Web site. 

SAFEGUARDS: 

Paper Records are kept in locked file 

cabinets located in a cipher-locked 

room. All electronic records are 

protected from unauthorized access 

through appropriate administrative, 

physical, and technical safeguards. 

These safeguards include the 

application of appropriate access 

control mechanisms to ensure the 

confidentiality, integrity, and 

availability of those records and that 

they are only accessed by those with a 

need to know and dictated by their 

official duties. 

RETENTION AND DISPOSAL: 

Disposition of records shall be in 

accordance with the HB GSA Records 

Maintenance and Disposition System 

(OAD P 1820.2). 

SYSTEM MANAGER(S) AND ADDRESS: 

Accounting Officer, Office of the 

Chief Financial Officer, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/694–1230). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Accounting 

Officer, Office of the Chief Financial 

Officer, Federal Election Commission, 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s access regulations 

at 11 CFR parts 1.1–1.5, 41 FR 43064 

(1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Accounting Officer, Office 

of the Chief Financial Officer, Federal 

Election Commission at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s access 

regulations at 11 CFR parts 1.1–1.5, 41 

FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the 

Accounting Officer, Office of the Chief 

Financial Officer, Federal Election 

Commission at the following address: 

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

999 E Street, NW., Washington DC, 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

The subject individual; the Federal 

Election Commission. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 9 

SYSTEM NAME: 

Litigation Actions. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

material may be made public as part of 

court filings or other judicial 

proceedings. 

SYSTEM LOCATION: 

Federal Election Commission, Office 

of General Counsel, Litigation Division, 

999 E Street, NW., Washington, DC 

20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals, and their counsel, who 

have brought judicial action against the 

Commission and individuals, and their 

counsel, against whom the Commission 

has brought judicial action pursuant to 

2 U.S.C. 437g or 437h, 26 U.S.C. 9011 

or 9041, 5 U.S.C. 552 or any other 

statute; witnesses, and their counsel; 

individuals or organizations filing 

amicus briefs; current and former FEC 

staff assigned to handle the matter. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

All documents incident to a lawsuit, 

including pleadings, discovery 

materials, motions, briefs, inter-office 

communications, memoranda, orders, 

and correspondence with opposing 

counsel, joint counsel or the Department 

of Justice. May include the name, 

address, telephone number, e-mail 

address, employment information, 

political activity or affiliations and 

financial records of any individual 

covered by the system. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 437g(a)(6), 437g(a)(8), 

437g(a)(11), and 437h; Bipartisan 

Campaign Reform Act of 2002, Pub. L. 

107–155, 116 Stat. 81, sec. 403. 

PURPOSE(S): 

The Federal Election Campaign Act of 

1971, as amended, authorizes the FEC to 

prosecute and defend certain litigation 

in the Federal courts. See, e.g., 2 U.S.C. 

437g(a). The FEC gathers or creates the 

records in this system in the course of 

prosecuting or defending such litigation. 

These records are maintained for 

historical purposes and for consultation 

as precedent in subsequent judicial or 

administrative actions. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To the news media or the general 

public, factual information the 

disclosure of which would be in the 

public interest and which would not 

constitute an unwarranted invasion of 

personal privacy. 

4. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

6. To any source or potential source 

from which information is requested in 

the course of an investigation 

concerning the retention of an employee 

or other personnel action (other than 

hiring), or the retention of a security 

clearance, contract, grant, license, or 

other benefit, to the extent necessary to 

identify the individual, inform the 

source of the nature and purpose of the 

investigation, and to identify the type of 

information requested. 

7. To a Federal, State, local, foreign, 

tribal or other public authority of the 

fact that this system of records contains 

information relevant to the retention of 

an employee, the retention of a security 

clearance, the letting of a contract, or 

the issuance or retention of a license, 

grant, or other benefit. The other agency 

or licensing organization may then make 

a request supported by written consent 

of the individual for the entire record if 

it so chooses. No disclosure will be 

made unless the information has been 

determined to be sufficiently reliable to 

support a referral to another office 

within the agency or to another Federal 

agency for criminal, civil, 

administrative, personnel, or regulatory 

action. 

8. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

9. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 349 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

10. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

11. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

12. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

13. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper record; microfilm; electronic 

form on agency computer networks or 

other electronic recording media. 

RETRIEVABILITY: 

Microfilm and paper records are 

indexed by name of party litigant and, 

as applicable, by microfilm roll and 

frame number. 

Electronic records may be retrieved 

using the agency computer network and 

shared drawers, Case Management 

System (CMS), LSI Imaging system, 

Docs open, DVDs, and Concordance 

databases. 

SAFEGUARDS: 

Access to the records is limited to 

employees with a need to know the 

information to conduct civil litigation 

on behalf of the agency or to ensure 

legal consistency in other proceedings. 

Microfilm and paper records are kept 

in locked filing cabinets or in limited 

access areas under personal surveillance 

during working hours, and in locked 

rooms at other times. 

All electronic records are protected 

from unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. 

RETENTION AND DISPOSAL: 

Records are maintained and disposed 

of in accordance with FEC records 

control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Associate General Counsel for 

Litigation, Office of General Counsel, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463, 

(202/694–1650). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Associate 

General Counsel for Litigation, Office of 

General Counsel, 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Associate General 

Counsel for Litigation, Office of General 

Counsel, Federal Election Commission 

at the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Associate 

General Counsel for Litigation, Office of 

General Counsel, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Information is obtained from a variety 

of sources, including but not limited to 

individual party litigants and counsel, 

witnesses, third parties, other agencies, 

court personnel and the Federal 

Election Commission. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

Records in this system are exempt 

from individual access under 5 U.S.C. 

552a(d)(5). 

FEC 10 

SYSTEM NAME: 

Letter File. Public Communications. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

Federal Election Commission, 

Information Division, 999 E Street, NW., 

Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who have written to the 

FEC requesting answers to specific 

questions related to the Federal Election 

Campaign Act, as amended; current and 

former FEC staff assigned to handle 

requests for information. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Requests for information and FEC 

responses thereto. May include name, 

address, telephone number, e-mail 

address of the requestors. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 438(a). 

PURPOSE(S): 

Commission staff maintain these 

records to respond to and manage 

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

inquiries directed to the Commission. 

The documents are also retained for use 

as a reference in subsequent requests for 

information and to keep track of the 

types of inquiries received by the 

Commission. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

4. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

5. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

6. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

7. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

8. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

9. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

management programs and functions) 

and in their role as an investigation 

agency. 

10. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

11. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

12. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are maintained in electronic 

form on agency computer networks and 

as paper records. 

SAFEGUARDS: 

Records are under the custody of 

designated employees of the 

Commission. Access to the records is 

limited to employees requiring access. 

All electronic records are protected from 

unauthorized access through 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 351 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. 

RETRIEVABILITY: 

Records may be retrieved by name of 

the requester. 

RETENTION AND DISPOSAL: 

Retained in-house for one year; 

shipped afterward to general storage in 

accordance with FEC records control 

schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Assistant Staff Director for 

Information, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/694–1100). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Assistant 

Staff Director for Information, Federal 

Election Commission, 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Assistant Staff Director for 

Information, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s access regulations 

at 11 CFR parts 1.1–1.5, 41 FR 43064 

(1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Assistant 

Staff Director for Information, Federal 

Election Commission at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Individuals who submit requests for 

information to the Commission in 

writing. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 11 

SYSTEM NAME: 

Contributor Name Index System. 

SECURITY CLASSIFICATION: 

Public. 

SYSTEM LOCATION: 

Federal Election Commission, 

Information Technology Division, 999 E 

Street, NW., Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who have been listed on 

campaign finance reports as having 

given an aggregate amount in excess of 

$200 or more in a calendar year to a 

candidate for Federal office required to 

file reports of contributions and 

expenditures, sources of receipts and 

recipients of disbursements. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Names of contributors, City, State and 

zip code, occupation, employer, and 

contribution amount. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 434 and 441a. 

PURPOSE(S): 

The information contained in this 

system of records is used to inform the 

public of the amounts raised and spent 

by candidates for Federal office, as well 

as the source from which the amounts 

are raised and the recipients of the 

amounts spent; also to verify 

compliance with the Federal Election 

Campaign Act. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

None involving nonpublic 

information. All records in this system 

are public. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Electronic format on agency computer 

networks on the Internet at the FEC’s 

web page. 

RETRIEVABILITY: 

Indexed by last name of contributor 

and by name of recipient committee. 

Retrieval may be accomplished by any 

member of the public using the 

Commission’s Web site. 

SAFEGUARDS: 

All electronic records are protected 

from unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. 

RETENTION AND DISPOSAL: 

Records are maintained and disposed 

of in accordance with FEC records 

control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Deputy Staff Director/Chief 

Information Officer, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/694–1250). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Deputy Staff 

Director/Chief Information Officer, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Deputy Staff Director/ 

Chief Information Officer, Federal 

Election Commission at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s access 

regulations at 11 CFR parts 1.1–1.5, 41 

FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Deputy 

Staff Director/Chief Information Officer, 

Federal Election Commission at the 

following address: 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

regulations for contesting initial denials 

for access to or amendment of records, 

11 CFR parts 1.7–1.9, 41 FR 43064 

(1976). 

RECORD SOURCE CATEGORIES: 

Individual contributors, candidate 

and political committees. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 12 

SYSTEM NAME: 

Inspector General Investigative Files. 

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

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

Federal Election Commission, Office 

of the Inspector General (OIG), 999 E 

Street, NW., Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who are the subjects of 

complaints relating to the programs and 

operations of the Commission. Subjects 

include, but are not limited to, current 

and former FEC employees; current and 

former employees of contractors and 

subcontractors in their personal 

capacity, where applicable; and other 

persons whose actions affect the FEC, its 

programs or operations. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Complaints, referrals from other 

agencies, correspondence, investigative 

notes, interviews, statements from 

witnesses, transcripts taken during 

investigation, affidavits, copies of all 

subpoenas issued and responses thereto, 

interrogatories and responses thereto, 

reports, internal staff memoranda, staff 

working papers and other documents 

and records or copies obtained or 

relating to complaints and 

investigations. May include the name, 

address, telephone number, e-mail 

address, employment information, and 

financial records of the subjects. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Inspector General Act Amendments of 

1988, Pub. L. 100–504, amending the 

Inspector General Act of 1978, Pub. L. 

95–452, 5 U.S.C. app. 3. 

PURPOSE(S): 

These records are used to document 

the conduct and outcome of inquiries, 

complaints, and investigations 

concerning allegations of fraud, waste, 

and abuse that affect the FEC. The 

information is used to report the results 

of investigations to FEC management, 

contractors, prosecutors, law 

enforcement agencies, Congress, and 

others for an action deemed appropriate. 

These records are used also to retain 

sufficient information to fulfill reporting 

requirements and to maintain records 

related to the OIG’s activities. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed by the 

Inspector General, after careful review, 

to be relevant and necessary to the 

litigation, provided, however, that in 

each case the Inspector General 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Inspector General determines that, 

after careful review, the use of such 

records is relevant and necessary to the 

litigation, provided, however, that the 

Inspector General determines that 

disclosure of the records is compatible 

with the purpose for which the records 

were collected. 

3. To the appropriate Federal, foreign, 

State, local, tribal, or other public 

authority responsible for enforcing, 

investigating or prosecuting such 

violation or charged with enforcing or 

implementing the statute, rule, 

regulation, or order issued pursuant 

thereto, when information indicates a 

violation or potential violation of law, 

whether civil, criminal or regulatory in 

nature, and whether arising by general 

statute or particular program statute, or 

by regulation, rule, or order issued 

pursuant thereto, if the information 

disclosed is relevant to any 

enforcement, regulatory, investigative or 

prosecutorial responsibility of the 

receiving entity. 

4. To any source or potential source 

from which information is requested in 

the course of an investigation 

concerning the retention of an employee 

or other personnel action (other than 

hiring), or the retention of a security 

clearance, contract, grant, license, or 

other benefit, to the extent necessary to 

identify the individual, inform the 

source of the nature and purpose of the 

investigation, and to identify the type of 

information requested. 

5. To a Federal, State, local, foreign, 

tribal or other public authority of the 

fact that this system of records contains 

information relevant to the retention of 

an employee, the retention of a security 

clearance, the letting of a contract, or 

the issuance or retention of a license, 

grant, or other benefit. The other agency 

or licensing organization may then make 

a request supported by written consent 

of the individual for the entire record if 

it so chooses. No disclosure will be 

made unless the information has been 

determined to be sufficiently reliable to 

support a referral to another office 

within the agency or to another Federal 

agency for criminal, civil, 

administrative, personnel, or regulatory 

action. 

6. To the White House in response to 

an inquiry made at the written request 

of the individual about whom the record 

is maintained. Disclosure will not be 

made until the White House has 

furnished appropriate documentation of 

the individual’s request, such as a copy 

of the individual’s written request. 

7. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

8. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

9. To agency or OIG contractors 

(including employees of contractors), 

grantees, experts, or volunteers who 

have been engaged to assist the agency 

or OIG in the performance of a contract, 

service, grant, cooperative agreement, or 

other activity related to this system of 

records and who need to have access to 

the records in order to perform the 

activity for the agency or OIG. 

Recipients shall be required to comply 

with the requirements of the Privacy Act 

of 1974, as amended, 5 U.S.C. 552a. 

10. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 353 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

11. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

management programs and functions) 

and in their role as an investigation 

agency. 

12. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

13. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

14. To debt collection contractors to 

collect debts owed to the Government, 

as authorized under the Debt Collection 

Act of 1982, 31 U.S.C. 3718, and subject 

to the Privacy Act safeguards. 

15. To officials who have been 

engaged to assist the Office of Inspector 

General in the conduct of inquiries, 

complaints, and investigations who 

need to have access to the records in 

order to perform the work. This 

disclosure category includes members of 

the President’s Council on Integrity and 

Efficiency and the Executive Council on 

Integrity and Efficiency, and officials 

and administrative staff within their 

chain of command. Recipients shall be 

required to comply with the 

requirements of the Privacy Act. 

16. Information may be disclosed to 

officials charged with the responsibility 

to conduct qualitative assessment 

reviews of internal safeguards and 

management procedures employed in 

investigative operations. This disclosure 

category includes members of the 

President’s Council on Integrity and 

Efficiency, Executive Council on 

Integrity and Efficiency, and officials 

and administrative staff within their 

investigative chain of command, as well 

as authorized officials of the Department 

of Justice and the Federal Bureau of 

Investigation. Recipients shall be 

required to comply with the 

requirements of the Privacy Act. 

17. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

We may disclose the record or 

information from this system, pursuant 

to 5 U.S.C. 552a(b)(12), to consumer 

reporting agencies as defined in the Fair 

Credit Reporting Act, 15 U.S.C. 1681a(f) 

or the Federal Claims Collection Act of 

1966, as amended, 31 U.S.C. 3701(a)(3), 

in accordance with section 3711(f) of 

Title 31. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are stored in both a paper and 

electronic format. 

RETRIEVABILITY: 

The records may be retrieved by the 

name of the subject of the complaint/ 

investigation or by a unique control 

number assigned to each complaint/ 

investigation. 

SAFEGUARDS: 

The records are maintained in limited 

access areas within the building. Access 

is limited to Office of Inspector General 

employees whose official duties require 

access. The paper records and electronic 

information not stored on computers are 

maintained in lockable cabinets in a 

locked room. Information stored on 

computers is on a restricted access 

server located in a locked room. All 

electronic records are protected from 

unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. 

RETENTION AND DISPOSAL: 

These records will be maintained 

permanently until disposition authority 

is granted by the National Archives and 

Records Administration (NARA). Upon 

approval, the records will be retained in 

accordance with NARA’s schedule and 

disposed of in a secure manner. 

SYSTEM MANAGER(S) AND ADDRESS: 

Inspector General, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/694–1015). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the FEC 

Inspector General, 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the FEC Inspector General at 

the following address: 999 E Street, 

NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the FEC 

Inspector General at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Complaints, subjects, third parties 

who have been requested to produce 

relevant information, referring agencies, 

and OIG personnel assigned to handle 

complaints/investigations. 

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

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

System exempt under 5 U.S.C. 

552a(j)(2) and 5 U.S.C. 552a(k)(2). 

See 11 CFR 1.14. 

FEC 13 

SYSTEM NAME: 

Travel Records of Employees. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

Federal Election Commission, 

Administration Division, 999 E Street, 

NW., Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

All FEC employees who travel 

pursuant to authorized official agency 

business. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Travel authorizations; travel advance 

requests; E-travel profiles, and travel 

vouchers, including receipts for hotels, 

car rentals, meals, phone calls, mileage 

reimbursement and other allowable 

expenses. May include: Name, address, 

Social Security Number, telephone 

number, job title, grade salary level, 

security clearance, e-mail address, and 

government credit card information. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

Travel Expense Amendments Act of 

1975 (Pub. L. 94–22). 

PURPOSE(S): 

To facilitate the timely reimbursement 

to employees for authorized and official 

travel for the FEC. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

4. To any source or potential source 

from which information is requested in 

the course of an investigation 

concerning the retention of an employee 

or other personnel action (other than 

hiring), or the retention of a security 

clearance, contract, grant, license, or 

other benefit, to the extent necessary to 

identify the individual, inform the 

source of the nature and purpose of the 

investigation, and to identify the type of 

information requested. 

5. To a Federal, State, local, foreign, 

tribal or other public authority of the 

fact that this system of records contains 

information relevant to the retention of 

an employee, the retention of a security 

clearance, the letting of a contract, or 

the issuance or retention of a license, 

grant, or other benefit. The other agency 

or licensing organization may then make 

a request supported by written consent 

of the individual for the entire record if 

it so chooses. No disclosure will be 

made unless the information has been 

determined to be sufficiently reliable to 

support a referral to another office 

within the agency or to another Federal 

agency for criminal, civil, 

administrative, personnel, or regulatory 

action. 

6. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

7. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

8. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

9. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

10. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

11. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 355 

management programs and functions) 

and in their role as an investigation 

agency. 

12. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

13. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

14. To the General Services 

Administration, which has been 

engaged to assist the agency in 

processing and administering certain 

functions related to this system of 

records. 

15. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Paper and electronic records. 

RETRIEVABILITY: 

Indexed by employee name. 

SAFEGUARDS: 

Paper records are locked in file 

cabinets located in a cipher-locked 

room. All electronic records are 

protected from unauthorized access 

through appropriate administrative, 

physical, and technical safeguards. 

These safeguards include the 

application of appropriate access 

control mechanisms to ensure the 

confidentiality, integrity, and 

availability of those records and that 

they are only accessed by those with a 

need to know and dictated by their 

official duties. 

RETENTION AND DISPOSAL: 

Travel records are maintained for 

seven years and then disposed of in 

accordance with FEC records control 

schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Accounting Officer, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/694–1215). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Accounting 

Officer, Federal Election Commission, 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s access regulations 

at 11 CFR parts 1.1–1.5, 41 FR 43064 

(1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Accounting Officer, 

Federal Election Commission at the 

following address: 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the 

Accounting Officer, Federal Election 

Commission, at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

The subject individual; the Federal 

Election Commission. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 14 

SYSTEM NAME: 

Alternative Dispute Resolution 

Program. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

material may be made public after cases 

are closed. 

SYSTEM LOCATION: 

Federal Election Commission, 

Alternative Dispute Resolution Division, 

999 E Street, NW., Washington, DC 

20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Individuals who have filed 

complaints under the Federal Election 

Campaign Act (2 U.S.C. 431 et seq.) 

(complainants); individuals who are the 

subjects of complaints (respondents), 

including treasurers of respondent 

political committees, and counsel; 

candidates filing late or inaccurate 

reports, or no reports; witnesses and 

other individuals providing information 

with respect to a compliance matter; 

agency personnel, including attorneys 

and investigators. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Complaints, referrals, and responses 

thereto; documents generated in the 

course of internally-generated 

investigations of reports on file at the 

Commission; documents generated and 

received in the course of investigations 

of complaints and referrals, including 

depositions, interrogatories and 

responses thereto, other documentary 

evidence, and memoranda and notes 

created by agency personnel with 

respect to investigations. May include 

the name, address, telephone number, email address, employment information, 

political activity and financial or tax 

records of the subjects. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

2 U.S.C. 437g(a)(1), (2), (4) and (5); 

438(a)(7) and 438(b); 5 U.S.C. 572; 26 

U.S.C. 9006 and 9038. 

PURPOSE(S): 

The Alternative Dispute Resolution 

(ADR) Office maintains active files on 

complaints forwarded to it from 

Commissioners, the Reports Analysis 

Division, the Audit Division, or the 

Office of General Counsel, including 

matters stemming from audits for cause. 

The Commission determines whether 

the case is appropriate for the ADR 

program. Resolutions reached in 

negotiations are submitted to the 

Commissioners for final approval. If a 

resolution is not reached in bilateral 

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

negotiation, the case may proceed to 

mediation. Upon the closing of the ADR 

matter, certain documents are placed on 

the public record. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. Upon the closing of the ADR 

matter, to place certain documents on 

the public record of the agency, 

pursuant to guidance promulgated by 

the Commission. Personal information 

is redacted from documents before they 

are made public. 

4. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

6. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

7. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

8. To contractors (including 

employees of contractors), grantees, 

experts, mediators, or volunteers who 

have been engaged to assist the agency 

in the performance of a contract, 

service, grant, cooperative agreement, or 

other activity related to this system of 

records and who need to have access to 

the records in order to perform the 

activity for the agency. Recipients shall 

be required to comply with the 

requirements of the Privacy Act of 1974, 

as amended, 5 U.S.C. 552a. 

9. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

10. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

management programs and functions) 

and in their role as an investigation 

agency. 

11. To officials of labor organizations 

when relevant and necessary to their 

duties of exclusive representation 

concerning personnel policies, 

practices, and matters affecting work 

conditions. 

12. To agencies, offices, or 

establishments of the executive, 

legislative, or judicial branch of the 

Federal or State government after 

receipt of request and where the records 

or information is relevant and necessary 

to a decision on an employee’s 

disciplinary or other administrative 

action (excluding a decision on hiring). 

The agency will take reasonable steps to 

ensure that the records are timely, 

relevant, accurate, and complete enough 

to assure fairness to the employee 

affected by the disciplinary or 

administrative action. 

13. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are stored in both paper and 

electronic form and on microfilm. 

RETRIEVABILITY: 

By ADR case number or name of the 

respondent. 

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Federal Register / Vol. 73, No. 1 / Wednesday, January 2, 2008 / Notices 357 

SAFEGUARDS: 

This system is kept in locked filing 

cabinets in limited access areas under 

personal surveillance during working 

hours, and in locked filing cabinets in 

locked rooms at other times. All 

electronic records are protected from 

unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. 

RETENTION AND DISPOSAL: 

Records are maintained and disposed 

of on accordance with FEC records 

control schedules. 

SYSTEM MANAGER(S) AND ADDRESS: 

Director, Alternative Dispute 

Resolution Office, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/219–1670). 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Director, 

Alternative Dispute Resolution Office, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Director, Alternative 

Dispute Resolution at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s access 

regulations at 11 CFR parts 1.1–1.5, 41 

FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Director, 

Alternative Dispute Resolution, Federal 

Election Commission at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Complainants, respondents or 

committee treasurers, witnesses, and the 

Federal Election Commission. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

With respect to open investigations, 

the system is exempt pursuant to 5 

U.S.C. 552a(k)(2). See 11 CFR part 1.14. 

FEC 15 

SYSTEM NAME: 

FEC Freedom of Information Act 

System. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified; some 

material may become public under 5 

U.S.C. 552. 

SYSTEM LOCATION: 

Federal Election Commission, Office 

of General Counsel, General Law and 

Advice Division, 999 E Street, NW., 

Washington, DC 20463. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Persons requesting information from 

the Commission pursuant to provisions 

of the Freedom of Information Act 

(FOIA), 5 U.S.C. 552, and persons who 

are the subjects of FOIA requests. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Requests, response letters, appeals, 

appeal determinations and electronic 

tracking data. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 552; 5 U.S.C. 301; Executive 

Order 13392. 

PURPOSE(S): 

To enable Commission staff to process 

FOIA requests and appeals; and to 

prepare an annual report to the 

Department of Justice on the 

Commission’s FOIA activity. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and information 

contained in the records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. To employees of other Federal 

agencies when a FOIA request must be 

referred to such an agency for response. 

4. To appropriate Federal, foreign, 

State, local, tribal, or other public 

authorities responsible for enforcing, 

investigating or prosecuting civil or 

criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

5. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

6. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

7. To the National Archives and 

Records Administration or to the 

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

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

8. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

9. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

None. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are stored in both a paper and 

electronic format. Requests received by 

e-mail are stored on the FEC’s e-mail 

server. 

RETRIEVABILITY: 

Indexed by name of requester. 

SAFEGUARDS: 

Paper records are maintained in 

locked filing cabinets in limited access 

areas under personal surveillance 

during working hours and in locked 

rooms at other times. All electronic 

records are protected from unauthorized 

access through appropriate 

administrative, physical, and technical 

safeguards. These safeguards include 

the application of appropriate access 

control mechanisms to ensure the 

confidentiality, integrity, and 

availability of those records and that 

they are only accessed by those with a 

need to know and dictated by their 

official duties. 

RETENTION AND DISPOSAL: 

FOIA requests are retained in 

accordance with General Records 

Schedule 14, as approved by National 

Archives and Records Administration 

(NARA). 

SYSTEM MANAGER(S) AND ADDRESS: 

Chief FOIA Officer, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463, (202/694–1650) 

NOTIFICATION PROCEDURE: 

A request for notification of the 

existence of records may be made in 

person or in writing to the Chief FOIA 

Officer, Federal Election Commission, 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s access regulations 

at 11 CFR parts 1.1–1.5, 41 FR 43064 

(1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a record pertaining to him or 

her may make a request in person or in 

writing to the Chief FOIA Officer, 

Federal Election Commission at the 

following address: 999 E Street, NW., 

Washington, DC 20463. For additional 

information, refer to the Commission’s 

access regulations at 11 CFR parts 1.1–

1.5, 41 FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

records or the denial of access to such 

information should notify the Chief 

FOIA Officer, Federal Election 

Commission at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information, refer 

to the Commission’s regulations for 

contesting initial denials for access to or 

amendment of records, 11 CFR parts 

1.7–1.9, 41 FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Persons requesting information from 

the Commission pursuant to the 

Freedom of Information Act and 

employees processing the requests. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

FEC 16 

SYSTEM NAME: 

HSPD–12: Identity Management, 

Personnel Security, Physical and 

Logical Access Files. 

SECURITY CLASSIFICATION: 

Sensitive but unclassified. 

SYSTEM LOCATION: 

Data covered by this system is 

maintained at the Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463. 

CATGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

(1) Individuals who require regular, 

ongoing access to agency facilities, 

information technology systems and 

networks, including applicants for 

employment or contracts with the FEC, 

agency employees, contractors, 

students, interns, volunteers, affiliates, 

and individuals formerly in any of these 

positions. The system also includes 

individuals authorized to perform or use 

services provided in agency facilities 

(e.g., Health Unit). 

(2) Individuals who have been issued 

HSPD–12 compliant credentials from 

other Federal agencies who require 

access to agency facilities. 

(3) Visitors and other individuals who 

require infrequent access to agency 

facilities including services provided in 

agency facilities. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

(1) Copies of Forms SF–85, SF–85P, 

SF–86, SF–87A and FD 258 as supplied 

by individuals covered by the system. 

(2) Enrollment records to be 

maintained in the system on individuals 

applying for the Personal Identity 

Verification (PIV) program and a PIV 

credential. May include the following 

data fields: full name, former names, 

birth date, birth place, Social Security 

Number, signature, home address, 

phone numbers, employment history, 

residential history, education and 

degrees earned, applicant ID number, 

digital color photograph, names of 

associates and references and their 

contact information, citizenship, names 

of relatives, birthdates and places of 

relatives, citizenship of relatives, names 

of relatives who work for the Federal 

government, criminal history, mental 

health history, drug use, financial 

information, fingerprints, biometric 

template (two fingerprints), 

organization/office of assignment, 

employee affiliation, work e-mail 

address, work telephone number(s), 

office address, copies of identity source 

documents, employee status, military 

status, summary report of investigation, 

results of suitability decisions, 

Government agency code, requests for 

appeal and PIV issuance location. 

Additional records include copies of 

letters of transmittal between the FEC 

and the Office of Personnel Management 

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concerning the individual’s background 

investigation; copies of certification 

clearance status and briefing and/or 

copies of debriefing certificates signed 

by the individual, as appropriate and 

copies of PIV application forms as 

supplied by individuals covered by the 

system. 

(3) Records maintained on individuals 

issued credentials by the agency. May 

include the following data fields: hair 

color; eye color, height; weight; agency 

affiliation (i.e., employee, contractor, 

volunteer, etc.); telephone number; PIV 

card issuance and expiration dates, 

personal identification number (PIN); 

Cardholder Unique Identifier (CHUID); 

card management keys; results of 

background investigation; PIV request 

form; PIV registrar approval signature; 

PIV card serial number; digital 

certificate(s) serial number; copies of I–

9 documents used to verify 

identification or information derived 

from those documents such as 

document title, document issuing 

authority, document number, document 

expiration date, or document other 

information; computer system user 

name; user access and permission 

rights, authentication certificates; and 

digital signature information. 

(4) Individuals enrolled in the PIV 

managed service will be issued a PIV 

card. The PIV card contains the 

following mandatory visual personally 

identifiable information: name, 

photograph, employee affiliation, 

organizational affiliation, PIV card 

expiration date, agency card serial 

number, and color-coding for employee 

affiliation. Additional information may 

include cardholder physical 

characteristics (height, weight, and eye 

and hair color). The card also contains 

an integrated circuit chip which is 

encoded with the following mandatory 

data elements which comprise the 

standard data model for PIV logical 

credentials: PIV card PIN, cardholder 

unique identifier (CHUID), PIV 

authentication digital certificate, and 

two fingerprint biometric templates. The 

PIV data model may also include the 

following logical credentials: digital 

certificate for digital signature, digital 

certificate for key management, card 

authentication keys, and card 

management system keys. All PIV 

logical credentials can only be read by 

machine. 

(5) Records maintained on visitors 

and other individuals who require 

infrequent access to agency facilities. 

May include the following data fields: 

Name, signature, image (photograph), 

Social Security Number (or one of the 

following: driver’s license number, 

‘‘green card’’ number, visa number, or 

other ID number), images of relevant ID 

document(s), U.S. Citizenship (yes or 

no/logical data field), date of entry, time 

of entry, location of entry, time of exit, 

location of exit, purpose of entry, 

agency point of contact, company name, 

security access category, and access 

status. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

5 U.S.C. 301; Executive Order 10450; 

Homeland Security Presidential 

Directive 12 (HSPD–12), Policy for a 

Common Identification Standard for 

Federal Employees and Contractors, 

August 27, 2004; the Federal Property 

and Administrative Services Act of 

1949, as amended; and Presidential 

Memorandum on Upgrading Security at 

Federal Facilities, June 28, 1995. 

PURPOSE(S): 

The primary purposes of the system 

are: 

(1) To document and support 

decisions regarding: 

(a) Clearance for access to sensitive 

but unclassified information; 

(b) Suitability, eligibility, and fitness 

for service of applicants for Federal 

employment and contract positions, 

including students, interns, or 

volunteers to the extent their duties 

require access to Federal facilities and/ 

or information technology systems and 

their occupants and users; 

(2) To ensure the safety and security 

of agency facilities and/or information 

technology systems, and their occupants 

and users; 

(3) To verify that all persons entering 

agency facilities and/or agency 

information technology systems with or 

without smart cards are authorized to 

enter them; 

(4) To provide for interoperability and 

trust in allowing physical access to 

individuals entering Federal facilities; 

and 

(5) To allow logical access to Federal 

information systems, networks, and 

resources on a government-wide basis. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

These records and the information 

contained in these records may be 

disclosed as follows: 

1. To the Department of Justice when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

Department of Justice has agreed to 

represent the employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the use of such records by the 

Department of Justice is deemed, after 

careful review, by the Federal Election 

Commission to be relevant and 

necessary to the litigation, provided, 

however, that in each case the agency 

determines that disclosure of the 

records to the Department of Justice is 

a use of the information contained in 

the records that is compatible with the 

purpose for which the records were 

collected. 

2. To disclose them in a proceeding 

before a court or adjudicative body 

before which the agency is authorized to 

appear when: 

a. The agency, or any component 

thereof; or 

b. Any employee of the agency in his 

or her official capacity; or 

c. Any employee of the agency in his 

or her individual capacity where the 

agency has agreed to represent the 

employee; or 

d. The United States, where the 

agency determines that litigation is 

likely to affect the agency, or any of its 

components, is a party to litigation or 

has an interest in such litigation, and 

the Federal Election Commission 

determines that, after careful review, 

use of such records is relevant and 

necessary to the litigation, provided, 

however, that the agency determines 

that disclosure of the records is 

compatible with the purpose for which 

the records were collected. 

3. Except as noted on Forms SF–85, 

SF 85–P and SF–86, to appropriate 

Federal, foreign, State, local, tribal, or 

other public authorities responsible for 

enforcing, investigating or prosecuting 

civil or criminal violations of law or as 

necessary to facilitate parallel 

investigations or to assist the other 

agency with the investigation or 

prosecution of a matter within its 

jurisdiction. 

4. To any source or potential source 

from which information is requested in 

the course of an investigation 

concerning the retention of an employee 

or other personnel action (other than 

hiring), or the retention of a security 

clearance, contract, grant, license, or 

other benefit, to the extent necessary to 

identify the individual, inform the 

source of the nature and purpose of the 

investigation, and to identify the type of 

information requested. 

5. To a Federal, State, local, foreign, 

tribal or other public authority of the 

fact that this system of records contains 

information relevant to the retention of 

an employee, the retention of a security 

clearance, the letting of a contract, or 

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the issuance or retention of a license, 

grant, or other benefit. The other agency 

or licensing organization may then make 

a request supported by written consent 

of the individual for the entire record if 

it so chooses. No disclosure will be 

made unless the information has been 

determined to be sufficiently reliable to 

support a referral to another office 

within the agency or to another Federal 

agency for criminal, civil, 

administrative, personnel, or regulatory 

action. 

6. To Federal, State, and local law 

enforcement agencies and private 

security contractors, as appropriate, to 

enable them to protect the safety of 

Commission employees and visitors and 

the security of the Commission’s 

workplace; and to assist investigations 

or prosecutions with respect to activities 

that affect such safety and security or 

activities that disrupt the operation of 

Commission facilities. 

7. To a congressional office from the 

record of an individual in response to 

an inquiry from the congressional office 

made at the written request of the 

individual about whom the record is 

maintained (e.g., a constituent request). 

Disclosure will not be made until the 

congressional office has furnished 

appropriate documentation of the 

individual’s request, such as a copy of 

the individual’s written request. 

8. To the National Archives and 

Records Administration or to the 

General Services Administration for 

records management inspections 

conducted under 44 U.S.C. 2903 and 

2904. 

9. To contractors (including 

employees of contractors), grantees, 

experts, or volunteers who have been 

engaged to assist the agency in the 

performance of a contract, service, grant, 

cooperative agreement, or other activity 

related to this system of records and 

who need to have access to the records 

in order to perform the activity for the 

agency. Recipients shall be required to 

comply with the requirements of the 

Privacy Act of 1974, as amended, 5 

U.S.C. 552a. 

10. To an authorized appeal grievance 

examiner, formal complaints examiner, 

equal employment opportunity 

investigator, arbitrator or other person 

properly engaged in investigation or 

settlement of an administrative 

grievance, complaint, claim, or appeal 

filed by an employee or former 

employee, but only to the extent that 

information is relevant and necessary to 

the proceeding. Agencies that may 

obtain information under this routine 

use include, but are not limited to, the 

Office of Personnel Management, Office 

of Special Counsel, Merit Systems 

Protection Board, Federal Labor 

Relations Authority, Equal Employment 

Opportunity Commission, and Office of 

Government Ethics. 

11. To the Office of Personnel 

Management for matters concerned with 

oversight activities (necessary for the 

Office of Personnel Management to 

carry out its legally-authorized 

Government-wide personnel 

management programs and functions) 

and in their role as an investigation 

agency. 

12. To an official of another Federal 

agency to provide information needed 

in the performance of official duties 

related to reconciling or reconstructing 

data files, in support of the functions for 

which records were collected and 

maintained. 

13. To an approved shared service 

provider in fulfillment of the terms of 

the HSPD–12 shared services agreement. 

Note: Although the shared service 

provider will manage the system that 

produces the identity credentials used 

by the agency, the shared service 

provider will not have access to the 

content of the data provided by the 

agency except to the extent that is 

required to provide for its integrity, 

reliability and security. 

14. To other Federal agencies 

providing enrollment services to the 

shared service provider when the shared 

service provider has entered into 

agreements with these agencies to 

provide enrollment services to their 

employees, contractors, etc. but not 

identification credentials, through third 

party enrollment brokers serving as 

links in the secure chain of custody for 

the HSPD–12 process. 

15. To appropriate agencies, entities, 

and persons when (1) the agency 

suspects or has confirmed that the 

security or confidentiality of 

information in the system of records has 

been compromised; (2) the Commission 

has determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

Commission or another agency or entity) 

that rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the 

Commission’s efforts to respond to the 

suspected or confirmed compromise 

and prevent, minimize, or remedy such 

harm. 

16. To designated agency personnel 

for controlled access to specific records 

for the purposes of performing 

authorized audit or authorized oversight 

and administrative functions. All access 

is controlled systematically through 

authentication using PIV credentials 

based on access and authorization rules 

for specific audit and administrative 

functions. 

DISCLOSURE TO CONSUMER REPORTING

AGENCIES: 

Pursuant to 5 U.S.C. 552a(b)(12), 

records can be disclosed to consumer 

reporting agencies as they are defined in 

the Fair Credit Reporting Act. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are stored on paper and 

electronically in a secure location. 

RETRIEVABILITY: 

Records are retrievable by name of 

employee or covered individual, 

Cardholder Unique Identification 

Number, Applicant ID, Social Security 

Number, and/or by any other unique 

individual identifier. 

SAFEGUARDS: 

Access to records covered by the 

system will be permitted only to 

authorized personnel in accordance 

with requirements found in agency 

Privacy Act regulations. Persons given 

roles in the PIV process must complete 

training specific to their roles to ensure 

they are knowledgeable about how to 

protect individually identifiable 

information regardless of how and 

where it is stored. Paper records will be 

maintained in locked filing cabinets in 

limited access areas within the Office of 

Human Resources and Labor Relations 

under personal surveillance during 

working hours and in locked rooms at 

other times. Access to the records will 

be limited to those employees who have 

a need for them in the performance of 

their official duties. All agency 

electronic records will be protected 

from unauthorized access through 

appropriate administrative, physical, 

and technical safeguards. These 

safeguards include the application of 

appropriate access control mechanisms 

to ensure the confidentiality, integrity, 

and availability of those records and 

that they are only accessed by those 

with a need to know and dictated by 

their official duties. Should the shared 

service provider be another Federal 

agency, records maintained by that 

agency may also be subject to the 

safeguards outlined in that agency’s 

systems of records notice. 

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RETENTION AND DISPOSAL: 

(1) Paper personnel security records 

relating to individuals covered by the 

system are generally retained and 

disposed in accordance with General 

Records Schedule 18, Item No. 22, 

approved by the National Archives and 

Records Administration (NARA). 

(2) In accordance with HSPD–12, PIV 

cards are deactivated within 18 hours of 

cardholder separation, loss of card, or 

expiration. The information on PIV 

cards is maintained in accordance with 

General Records Schedule 11, Item No. 

4. PIV cards are destroyed by cross-cut 

shredding no later than 90 days after 

deactivation. 

(3) Building security records relating 

to persons covered by this system are 

retained in accordance with General 

Records Schedule 18, Item No. 17. 

Unless retained for specific ongoing 

security investigations: 

(a) Records relating to individuals 

other than employees are destroyed two 

years after ID security card expiration 

date; 

(b) Records relating to date and time 

of entry and exit of employees are 

destroyed two years after date of entry 

and exit; and 

(c) All other records relating to 

employees are destroyed two years after 

ID security card expiration date. 

SYSTEM MANAGER(S) AND ADDRESS: 

(1) For personnel security: Personnel 

Security Manager, Federal Election 

Commission, 999 E Street, NW., 

Washington, DC 20463. 

(2) For physical security: 

Administrative Services Manager, 

Federal Election Commission, 999 E 

Street, NW., Washington, DC 20463. 

(3) For logical security: Information 

Systems Security Officer, Federal 

Election Commission, 999 E Street, 

NW., Washington, DC 20463. 

NOTIFICATION PROCEDURES: 

A request for notification of the 

existence of personnel security records 

may be made in person or in writing 

and addressed to the FEC personnel 

security manager identified in (1), 

above. A request for notification of the 

existence of physical security records 

may be made in person or in writing 

and addressed to the FEC physical 

security manager identified in (2), 

above. A request for notification of the 

existence of logical security records may 

be made in person or in writing and 

addressed to the FEC logical security 

manager identified in (3), above. For 

additional information, refer to the 

Commission’s access regulations at 11 

CFR parts 1.1–1.5, 41 FR 43064 (1976). 

RECORD ACCESS PROCEDURES: 

An individual interested in gaining 

access to a personnel security record 

pertaining to him or her may make a 

request in person or in writing to the 

FEC personnel security manager 

identified in (1), above at the following 

address: 999 E Street, NW., Washington, 

DC 20463. An individual interested in 

gaining access to a physical security 

record pertaining to him or her may 

make a request in person or in writing 

to the FEC physical security manager 

identified in (2), above at the following 

address: 999 E Street, NW., Washington, 

DC 20463. An individual interested in 

gaining access to a logical security 

record pertaining to him or her may 

make a request in person or in writing 

to the FEC logical security manager 

identified in (3), above at the following 

address: 999 E Street, NW., Washington, 

DC 20463. For additional information, 

refer to the Commission’s access 

regulations at 11 CFR parts 1.1–1.5, 41 

FR 43064 (1976). 

CONTESTING RECORD PROCEDURES: 

Individuals interested in contesting 

the information contained in their 

personnel security records or the denial 

of access to such information should 

notify the FEC personnel security 

manager identified in (1), above at the 

following address: 999 E Street, NW., 

Washington, DC 20463. Individuals 

interested in contesting the information 

contained in their physical security 

records or the denial of access to such 

information should notify the FEC 

physical security manager identified in 

(2), above at the following address: 999 

E Street, NW., Washington, DC 20463. 

Individuals interested in contesting the 

information contained in their logical 

security records or the denial of access 

to such information should notify the 

FEC logical security manager identified 

in (3), above at the following address: 

999 E Street, NW., Washington, DC 

20463. For additional information 

regarding contesting initial denials for 

access to or amendments of Privacy Act 

records, refer to the Commission’s 

regulations at 11 CFR parts 1.7–1.9, 41 

FR 43064 (1976). 

RECORD SOURCE CATEGORIES: 

Information is obtained from a variety 

of sources including the employee, 

contractor, or applicant via the use of 

the SF–85, SF–85P, or SF–86 and 

personal interviews; employers’ and 

former employers’ records; other 

Federal agencies supplying data on 

covered individuals; FBI criminal 

history records and other databases; 

financial institutions and credit reports; 

medical records and health care 

providers; and educational institutions. 

Information is also obtained from 

individuals covered by the system, 

supervisors, and designated approving 

officials, as well as other Federal 

agencies issuing HSPD–12 compliant 

cards, and HSPD–12 compliant cards 

carried by individuals seeking access to 

Commission and other Federal facilities 

occupied by agency employees. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

[FR Doc. E7–25109 Filed 12–31–07; 8:45 am] 

BILLING CODE 6715–01–P 

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