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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.FEDERAL ELECTION COLLECTION


                            Table of Contents

       FEC 1  Requests for Advisory Opinions.
       FEC 2  Audits and Investigations.
       FEC 3  Compliance Actions.
       FEC 4  Mailings Lists.
       FEC 5  Personnel Records.
       FEC 6  Candidate Reports and Designations.
       FEC 7  Certification for Primary Matching Funds and General 
   Elections Campaign Funds.
       FEC 8  Payroll Records.
       FEC 9  Litigation Actions.
       FEC 10  Letter File. Public Communications.
       FEC 11  Contributor Name Index System.
       FEC 12  Inspector General Investigative Files.

   #..FEC 1

   #..System name: 

       Requests for advisory opinions.
     System location: 
       Federal Election Commission. Washington, DC 20463.
     Categories of individuals covered by the system:  
       Individuals who have submitted a letter to the FEC that qualifies 
   as an advisory opinion request under FEC regulations.
     Categories of records in the system:  
       Letters requesting advisory opinions and responses thereto from 
   the FEC.
     Authority for maintenance of the system: 
       2 U.S.C. 437d(a)(7) and 437f.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Documents maintained for historical purposes and for use as 
   precedent in subsequent requests for advisory opinions. Commissioners 
   and staff use this system to respond to requests for opinions. These 
   documents are available to the public for information and so that 
   interested parties may submit comments to the Commission.
       Routine use for disclosure to the Department of Justice for use 
   in litigation:
       It shall be a routine use of the records in this system of 
   records to disclose them to the Department of Justice when:
       (a) The agency, or any component thereof; or
       (b) Any employee of the agency in his or her official capacity; 
   or
       (c) Any employee of the agency in his or her individual capacity 
   where the Department of Justice has agreed to represent the employee; 
   or
       (d) The United States, where the agency determines that 
   litigation is likely to affect the agency or any of its components, 
   is a party to litigation or has an interest in such litigation, and 
   the use of such reports by the Department of Justice is deemed by the 
   Federal Election Commission to be relevant and necessary to the 
   litigation provided, however, that in each case the agency determines 
   that disclosure of the records to the Department of Justice is a use 
   of the information contained in the records that is compatible with 
   the purpose for which the records were collected.
       Routine use for agency disclosure in litigation:
       It shall be a routine use of records maintained by this agency to 
   disclose them in a proceeding before a court or adjudicative body 
   before which the agency is authorized to appear when:
       (a) The agency, or any component thereof; or
       (b) Any employee of the agency in his or her official capacity; 
   or
       (c) Any employee of the agency in his or her individual capacity 
   where the agency has agreed to represent the employee; or
       (d) The United States, where the agency determines that 
   litigation is likely to affect the agency, or any of its components, 
   is a party to litigation or has an interest in such litigation, and 
   the Federal Election Commission determines that, on a case-by-case 
   basis, use of such records is relevant and necessary to the 
   litigation, provided, however, that the agency determines that 
   disclosure of the records is compatible with the purpose for which 
   the records were collected.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:
     Storage: 
       Paper records and/or microfilm, on-line disk storage, and 
   electronic data processing system.
     Retrievability: 
       Indexed and retrievable by name of requester, date of opinion, 
   request number, and, as applicable, by microfilm roll and frame 
   number.
     Safeguards: 
       Originals are kept in locked filing cabinets in limited access 
   areas under personal surveillance during working hours and in locked 
   rooms at other times. Copies are freely available.
     Retention and disposal: 
       Retained for at least four years from date of receipt and subject 
   to disposal thereafter. Current disposal process generally results in 
   retention of records until seven years after receipt.
     System manager(s) and address:
       The General Counsel, Federal Election Commission, Washington, DC 
   20463, (202/219-3690).
     Notification procedure:
       Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 
   FR 43064 (1976).
     Record access procedures: 
       Same as above.
     Contesting record procedures: 
       Same as above.
     Record source categories: 
       Individual requester, persons submitting comments and the Federal 
   Election Commission.

   #..FEC 2

   #....System name: 

       Audits and investigations.
     System location: 
       Federal Election Commission. Washington, DC 20463.
     Categories of individuals covered by the system: 
       Candidates required to file statements and reports under the 
   Federal Election Campaign Act.
     Categories of records in the system: 
       Audit and investigation data.
     Authority for maintenance of the system: 
       2 U.S.C. 437d(a)(10), 437g(a)(2), (5) and 438(a)(8), (9); 26 
   U.S.C. 9007, 9038.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       The General Counsel, Assistant Staff Directors, Commissioners, 
   and their staffs may use audit and investigation data for informal 
   hearings, administrative compliance, civil litigation, voluntary 
   compliance or to refer matters to appropriate law enforcement 
   authorities.
       Routine use for disclosure to the Department of Justice for use 
   in litigation:
       It shall be a routine use of the records in this system of 
   records to disclose them to the Department of Justice when:
       (a) The agency, or any component thereof; or
       (b) Any employee of the agency in his or her official capacity; 
   or
       (c) Any employee of the agency in his or her individual capacity 
   where the Department of Justice has agreed to represent the employee; 
   or
       (d) The United States, where the agency determines that 
   litigation is likely to affect the agency or any of its components, 
   is a party to litigation or has an interest in such litigation, and 
   the use of such reports by the Department of Justice is deemed by the 
   Federal Election Commission to be relevant and necessary to the 
   litigation provided, however, that in each case the agency determines 
   that disclosure of the records to the Department of Justice is a use 
   of the information contained in the records that is compatible with 
   the purpose for which the records were collected.
       Routine use for agency disclosure in litigation:
       It shall be a routine use of records maintained by this agency to 
   disclose them in a proceeding before a court or adjudicative body 
   before which the agency is authorized to appear when:
       (a) The agency, or any component thereof; or
       (b) Any employee of the agency in his or her official capacity; 
   or
       (c) Any employee of the agency in his or her individual capacity 
   where the agency has agreed to represent the employee; or
       (d) The United States, where the agency determines that 
   litigation is likely to affect the agency, or any of its components, 
   is a party to litigation or has an interest in such litigation, and 
   the Federal Election Commission determines that, on a case-by-case 
   basis, use of such records is relevant and necessary to the 
   litigation, provided, however, that the agency determines that 
   disclosure of the records is compatible with the purpose for which 
   the records were collected.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage:  
       Paper records.
     Retrievability:  
       Indexed by name.
     Safeguards:  
       Locked safes in limited access locations. Access is limited to 
   FEC staff on a restricted basis and to appropriate law enforcement 
   agencies as directed by the Commission.
     Retention and disposal:  
       Indefinite.
     System manager(s) and address: 
       Assistant Staff Director for Audit, Federal Election Commission, 
   Washington, DC 20463 (202/219-3440).
     Notificatiobn procedure:
       Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 
   FR 43064 (1976).
     Record access procedures:  
       Same as above.
     Contesting record procedures:  
       Same as above.
     Record source categories:  
       With respect to open audits, the foregoing system is exempt 
   pursuant to the provisions of 5 U.S.C. 552a(k)(2). See 11 CFR 1.14.

   #..FEC 3

   #....System name:  

       Compliance actions.
     System location:  
       Federal Election Commission, Washington, DC 20463.
     Categories of individuals covered by the system:  
       Individuals who have filed complaints (complainants) and persons 
   complained about (respondents), candidates filing late reports, or no 
   reports, and cases internally generated through review and audit of 
   reports and statements filed by candidates.
     Categories of records in the system:  
       Complaints, referrals, and responses thereto; internal 
   investigations of reports on file at the Commission, depositions, 
   interrogatories and responses thereto.
     Authority for maintenance of the system: 
       2 U.S.C. 437g(a) (1), (2), (4) and (5); 438(a)(7) and 438(b); 26 
   U.S.C. 9006 and 9038.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses:  
       While any case is active, these documents are maintained as the 
   agency's working or investigative file. Based upon information 
   contained in the file, recommendations are made to the Commission as 
   to the disposition of a case, and the Commission acts upon those 
   recommendation. Compliance actions are assigned by the Associate 
   General Counsel to an attorney and/or to appropriate staff for 
   investigation. Administrative action and civil litigation are handled 
   by the General Counsel's office. Evidence of knowing and willful 
   violations of the law may be referred to the Attorney General.
       Routine use for disclosure to the Department of Justice for use 
   in litigation:
       It shall be a routine use of the records in this system of 
   records to disclose them to the Department of Justice when:
       (a) The agency, or any component thereof; or
       (b) Any employee of the agency in his or her official capacity; 
   or
       (c) Any employee of the agency in his or her individual capacity 
   where the Department of Justice has agreed to represent the employee; 
   or
       (d) The United States, where the agency determines that 
   litigation is likely to affect the agency or any of its components, 
   is a party to litigation or has an interest in such litigation, and 
   the use of such reports by the Department of Justice is deemed by the 
   Federal Election Commission to be relevant and necessary to the 
   litigation provided, however, that in each case the agency determines 
   that disclosure of the records to the Department of Justice is a use 
   of the information contained in the records that is compatible with 
   the purpose for which the records were collected.
       Routine use for agency disclosure in litigation:
       It shall be a routine use of records maintained by this agency to 
   disclose them in a proceeding before a court or adjudicative body 
   before which the agency is authorized to appear when:
       (a) The agency, or any component thereof; or
       (b) Any employees of the agency in his or her official capacity; 
   or
       (c) Any employee of the agency in his or her individual capacity 
   where the agency has agreed to represent the employee; or
       (d) The United States, where the agency determines that 
   litigation is likely to affect the agency, or any of its components, 
   is a party to litigation or has an interest in such litigation, and 
   the Federal Election Commission determines that, on a case-by-case 
   basis, use of such records is relevant and necessary to the 
   litigation, provided, however, that the agency determines that 
   disclosure of the records is compatible with the purpose for which 
   the records were collected.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       Paper records. Closed compliance cases are duplicated, stored on 
   microfilm and are available to the public, minus information deemed 
   to be exempted under the Freedom of Information Act.
     Retrievability: 
       This system is indexed and retrievable by name of complainant or 
   respondent by compliance action number or by mocrofilm roll and frame 
   number, as appropriate.
     Safeguards: 
       This system is kept in locked filing cabinets in limited access 
   areas under personal surveillance during working hours, and in locked 
   filing cabinets in locked rooms at other times.
     Retention and disposal: 
       Indefinite.
     System manager(s) and address:
       The General Counsel, Federal Election Commission, Washington, DC 
   20463, (202/219-3690).
     Notification procedure:
       Refer to Commission access regulations at 11 CFR 1.1 et seq., 41 
   FR 43064 (1976).
     Record access procedures: 
       Same as above.
     Contesting record procedures: 
       Same as above.
     Record source categories: 
       Complainants, respondents, third parties who have been requested 
   or subpoenaed, to produce relevant information, and the Federal 
   Election Commission.
     Systems exempted from certain provisions of the act: 
       With respect to open investigations, the system is exempt 
   pursuant to 5 U.S.C. 552a(k)(2). See 11 CFR 1.14.

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