Disclosure of Certain Documents in Enforcement and Other Matters, 50702-50704 [2016-18190]

Download as PDF mstockstill on DSK3G9T082PROD with NOTICES 50702 Federal Register / Vol. 81, No. 148 / Tuesday, August 2, 2016 / Notices PRA that does not display a valid OMB control number. DATES: Written comments should be submitted on or before September 1, 2016. If you anticipate that you will be submitting comments, but find it difficult to do so within the period of time allowed by this notice, you should advise the contacts below as soon as possible. ADDRESSES: Direct all PRA comments to Nicholas A. Fraser, OMB, via email Nicholas_A._Fraser@omb.eop.gov; and to Cathy Williams, FCC, via email PRA@ fcc.gov and to Cathy.Williams@fcc.gov. Include in the comments the OMB control number as shown in the SUPPLEMENTARY INFORMATION section below. FOR FURTHER INFORMATION CONTACT: For additional information or copies of the information collection, contact Cathy Williams at (202) 418–2918. To view a copy of this information collection request (ICR) submitted to OMB: (1) Go to the Web page http://www.reginfo.gov/ public/do/PRAMain, (2) look for the section of the Web page called ‘‘Currently Under Review,’’ (3) click on the downward-pointing arrow in the ‘‘Select Agency’’ box below the ‘‘Currently Under Review’’ heading, (4) select ‘‘Federal Communications Commission’’ from the list of agencies presented in the ‘‘Select Agency’’ box, (5) click the ‘‘Submit’’ button to the right of the ‘‘Select Agency’’ box, (6) when the list of FCC ICRs currently under review appears, look for the OMB control number of this ICR and then click on the ICR Reference Number. A copy of the FCC submission to OMB will be displayed. SUPPLEMENTARY INFORMATION: OMB Control No.: 3060–0192. Title: Section 87.103, Posting Station License. Form No.: N/A. Type of Review: Extension of a currently approved collection. Respondents: Business or other forprofit, not-for-profit institutions, and state, local and tribal government. Number of Respondents and Responses: 33,622 respondents, 33,622 responses. Estimated Time per Response: .25 hours. Frequency of Response: Recordkeeping requirement. Obligation to Respond: Required to obtain or retain benefits. The statutory authority for this collection is contained in 47 U.S.C. 303. Total Annual Burden: 8,406 hours. Annual Cost Burden: No cost. Privacy Act Impact Assessment: No impacts. VerDate Sep<11>2014 18:35 Aug 01, 2016 Jkt 238001 Nature and Extent of Confidentiality: There is no need for confidentiality with this collection of information. Needs and Uses: Section 87.103 states the following: (a) Stations at fixed locations. The license or a photocopy must be posted or retained in the station’s permanent records. (b) Aircraft radio stations. The license must be either posted in the aircraft or kept with the aircraft registration certificate. If a single authorization covers a fleet of aircraft, a copy of the license must be either posted in each aircraft or kept with each aircraft registration certificate. (c) Aeronautical mobile stations. The license must be retained as a permanent part of the station records. The recordkeeping requirement contained in Section 87.103 is necessary to demonstrate that all transmitters in the Aviation Service are properly licensed in accordance with the requirements of Section 301 of the Communications Act of 1934, as amended, 47 U.S.C. 301, No. 2020 of the International Radio Regulation, and Article 30 of the Convention on International Civil Aviation. Federal Communications Commission. Marlene H. Dortch, Secretary, Office of the Secretary. [FR Doc. 2016–18209 Filed 8–1–16; 8:45 am] BILLING CODE 6712–01–P FEDERAL ELECTION COMMISSION [NOTICE 2016–06] Disclosure of Certain Documents in Enforcement and Other Matters Federal Election Commission. Statement of policy. AGENCY: ACTION: The Commission is adopting a policy with respect to placing certain documents on the public record in enforcement, administrative fines, and alternative dispute resolution cases, as well as administrative matters. The categories of records that will be included in the public record are described below. DATES: Effective on September 1, 2016. FOR FURTHER INFORMATION CONTACT: Adav Noti, Acting Associate General Counsel, 999 E Street NW., Washington, DC 20463, 202–694–1650 or 1–800– 424–9530. SUPPLEMENTARY INFORMATION: The ‘‘confidentiality provision’’ of the Federal Election Campaign Act, 52 U.S.C. 30101 et seq. (FECA), provides that: ‘‘Any notification or investigation under [Section 30109] shall not be made public by the Commission . . . without SUMMARY: PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 the written consent of the person receiving such notification or the person with respect to whom such investigation is made.’’ 52 U.S.C. 30109(a)(12)(A). For approximately the first 25 years of its existence, the Commission viewed the confidentiality requirement as ending with the termination of a case. The Commission placed on its public record the documents that had been considered by the Commissioners in their determination of a case, minus those materials exempt from disclosure under the FECA or under the Freedom of Information Act, 5 U.S.C. 552 (FOIA). See 11 CFR 5.4(a)(4). In AFL–CIO v. FEC, 177 F. Supp. 2d 48 (D.D.C. 2001), the district court disagreed with the Commission’s interpretation of the confidentiality provision and found that the protection of section 30109(a)(12)(A) does not lapse at the time the Commission terminates an investigation. 177 F. Supp. 2d at 56. Following that district court decision, the Commission placed on the public record only those documents that reflected the agency’s ‘‘final determination’’ with respect to enforcement matters. Such disclosure is required under 52 U.S.C. 30109(a)(4)(B)(ii) and section (a)(2)(A) of the FOIA. In all cases, the final determination is evidenced by a certification of Commission vote. The Commission also continued to disclose documents that explained the basis for the final determination. Depending upon the nature of the case, those documents consisted of General Counsel’s Reports (frequently in redacted form); Probable Cause to Believe Briefs; conciliation agreements; Statements of Reasons issued by one or more of the Commissioners; or, a combination of the foregoing. The district court indicated that the Commission was free to release these categories of documents. See 177 F. Supp. 2d at 54 n.11. In administrative fines cases, the Commission began placing on the public record only the Final Determination Recommendation and certification of vote on final determination. In alternative dispute resolution cases, the public record consisted of the certification of vote and the negotiated agreement. Although it affirmed the judgment of the district court in AFL–CIO, the Court of Appeals for the District of Columbia Circuit differed with the lower court’s restrictive interpretation of the confidentiality provision of 52 U.S.C. 30109(a)(12)(A). The Court of Appeals stated that: ‘‘the Commission may well be correct that . . . Congress merely intended to prevent disclosure of the fact that an investigation is pending,’’ E:\FR\FM\02AUN1.SGM 02AUN1 mstockstill on DSK3G9T082PROD with NOTICES Federal Register / Vol. 81, No. 148 / Tuesday, August 2, 2016 / Notices and that: ‘‘deterring future violations and promoting Commission accountability may well justify releasing more information than the minimum disclosures required by section [30109](a).’’ See AFL–CIO v. FEC, 333 F.3d 168, 174, 179 (D.C. Cir. 2003). However, the Court of Appeals warned that, in releasing enforcement information to the public, the Commission must ‘‘attempt to avoid unnecessarily infringing on First Amendment interests where it regularly subpoenas materials of a ‘delicate nature . . . represent[ing] the very heart of the organism which the first amendment was intended to nurture and protect.’ ’’ Id. at 179 (citation omitted). The decision suggested that, with respect to materials of this nature, a ‘‘balancing’’ of competing interests is required—on one hand, consideration of the Commission’s interest in promoting its own accountability and in deterring future violations and, on the other, consideration of the respondent’s interest in the privacy of association and belief guaranteed by the First Amendment. Noting that the Commission had failed to tailor its disclosure policy to avoid unnecessarily burdening the First Amendment rights of the political organizations it investigates, id. at 178, the Court found the agency’s disclosure regulation at 11 CFR 5.4(a)(4) to be impermissible, id. at 179. In December 2003, the Commission issued an interim disclosure policy. See Statement of Policy Regarding Disclosure of Closed Enforcement or Related Files, 68 FR 70423 (Dec. 20, 2003) (‘‘Interim Disclosure Policy’’). The Commission is issuing this policy statement to identify several categories of documents integral to its decisionmaking process that will be disclosed upon termination of an enforcement matter, as well as documents integral to its administrative functions. This policy replaces the Interim Disclosure Policy as the Commission’s permanent disclosure policy. The categories of documents that the Commission intends to disclose as a matter of regular practice either do not implicate the Court’s concerns or, because they play a critical role in the resolution of a matter, the balance tilts decidedly in favor of public disclosure, even if the documents reveal some confidential information. In addition, the Commission will make certain other documents available on a case by case basis which will assist the public in understanding the record without intruding upon the associational interests of the respondents. VerDate Sep<11>2014 18:35 Aug 01, 2016 Jkt 238001 Enforcement With respect to enforcement matters, the Commission will place the following categories of documents on the public record: 1. Complaint (including supplements and amendments thereto); 2. Internal agency referral where the Commission opens a Matter Under Review; 3. Response (including supplements and amendments thereto) to complaint; 4. General Counsel’s Reports 1 (including supplements 2 thereto) that recommend dismissal, reason to believe, no reason to believe, no action at this time, probable cause to believe, no probable cause to believe, no further action, or acceptance of a conciliation agreement; 5. Notification of reason to believe findings; 6. Factual and Legal Analyses identified as the subject of a vote in a Commission certification; 7. Respondent’s response to reason to believe findings; 8. Briefs (General Counsel’s Brief and Respondent’s Brief); 9. Statements of Reasons issued by one or more Commissioners; 10. Conciliation Agreements; 11. Evidence of payment of civil penalty or of disgorgement; 12. Certifications of Commission votes; 13. Attachments to complaints and attachments to responses to complaints; 14. Memoranda and reports (including supplements 2 thereto) from the Office of the General Counsel prepared for the Commission in connection with a specific pending Matter Under Review circulated through the Office of the Secretary for the consideration and deliberation of the Commission; 15. Complaint notification letters, and correspondence from respondents submitted in response to them; 16. Notifications to respondents that were previously identified as ‘‘Unknown Respondents,’’ and correspondence from respondents submitted in response to them; 1 This category of documents does not include General Counsel’s Reports that have been withdrawn by the Office of the General Counsel. The Commission may, upon the affirmative vote of four or more Commissioners, place such documents on the public record on a case by case basis. 2 Supplements are documents that contain new or additional substantive analysis from the Office of the General Counsel prepared for the Commission in connection with a specific pending Matter Under Review circulated through the Office of the Secretary for the consideration and deliberation of the Commission. Supplements do not include documents that solely transmit replacement pages to correct errors in circulated reports or memoranda. PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 50703 17. Designations of counsel; 18. Requests for extensions of time; 19. Responses to requests for extensions of time; 20. Tolling agreements; and 21. Closeout letters. The Commission is placing the foregoing categories of documents on the public record in all matters it closes on or after September 1, 2016, regardless of the outcome. By doing so, the Commission complies with the requirements of 52 U.S.C. 30109(a)(4)(B)(ii) and 5 U.S.C. 552(a)(2)(A). Conciliation Agreements are placed on the public record pursuant to 52 U.S.C. 30109(a)(4)(B)(ii). On a case by case basis, the Commission may place on the public record other documents that edify public understanding of a closed matter. The Commission will place these documents on the public record as soon as practicable, and will endeavor to do so within 30 days of the date on which notifications are sent to complainant and respondent. See 11 CFR 111.20(a). In the event a Statement of Reasons is required, but has not been issued before the date proposed for the release of the remainder of the documents in a matter, those documents will be placed on the public record and the Statement of Reasons will be added to the file when issued. The Commission is not placing on the public record certain other materials from its investigative files, such as subpoenaed records, deposition transcripts, and other records produced in discovery, even if those evidentiary documents are referenced in, or attached to, documents specifically subject to release under this policy. The Commission also will not place the following categories of documents on the public record: 1. Sua sponte submissions and accompanying attachments; 2. External referrals from other agencies and law enforcement sources in which the Commission declines to open a Matter Under Review; 3. Documents (other than notification letters) related to debt settlement plans and proposed administrative terminations in which the Commission does not approve the debt settlement plan or administrative termination. Administrative Fines With respect to administrative fines cases, the Commission will place the entire administrative file on the public record, which includes the following: 1. Reason to Believe recommendation; 2. Respondent’s response; 3. Reviewing Officer’s memoranda to the Commission; E:\FR\FM\02AUN1.SGM 02AUN1 50704 Federal Register / Vol. 81, No. 148 / Tuesday, August 2, 2016 / Notices 4. Final Determination recommendation; 5. Certifications of Commission votes; 6. Statements of Reasons; 7. Evidence of payment of fine; and 8. Referral to Department of the Treasury. Alternative Dispute Resolution With respect to alternative dispute resolution (ADR) cases, the Commission will place the following categories of documents on the public record: 1. Complaint or internal agency referral; 2. Response to complaint; 3. ADR Office’s informational memorandum on assignment to the Commission; 4. Notification to respondent that case has been assigned to ADR; 5. Letter or Commitment Form from respondent participating in the ADR program; 6. ADR Office recommendation as to settlement or dismissal; 7. Certifications of Commission votes; 8. Settlement agreement executed by the respondent and Commission; and 9. Evidence of compliance with terms of settlement. When disclosing documents in administrative fines and alternative dispute resolution cases, the Commission will release publicly available records that are referenced in, or attached to, documents specifically subject to release under this policy. mstockstill on DSK3G9T082PROD with NOTICES Administrative Functions The Commission will also place on the public record the following nonexclusive list of documents integral to its administrative functions: 1. Statistics related to number of EPS dismissals by fiscal year and current quarter; 2. Statistics related to number of cases opened and closed by fiscal year and current quarter, average number of days to close a matter, and total civil penalties assessed; 3. Case closing processing statistics; 4. Monthly reports from the Department of the Treasury of the balance available in the Presidential Election Campaign Fund; 5. Yearly Long Term Budget Estimates for the Presidential Election Campaign Fund; 6. Memoranda from the Office of the General Counsel prepared for the Commission in connection with debt settlement plans and proposed administrative terminations circulated through the Office of the Secretary for the consideration and deliberation of the Commission in which the Commission ultimately approves the VerDate Sep<11>2014 18:35 Aug 01, 2016 Jkt 238001 debt settlement plan or administrative termination; 7. Certifications of Commission votes in which the Commission approves a debt settlement plan or administrative termination; 8. Service Contract Inventory Reports submitted by the Commission to the Office of Federal Procurement Policy pursuant to section 743 of Division C of the 2010 Consolidated Appropriations Act; 9. Annual reports of activities performed by the agency that in the judgment of the agency head are not inherently governmental submitted by the Commission to the Office of Management and Budget pursuant to the Federal Activities Inventory Reform Act of 1998; 10. Reports of official travel paid for by non-government sources made to the U.S. Office of Government Ethics pursuant to 31 U.S.C. 1353; 11. Annual reports of the receipt and disposition of gifts and decorations tendered by foreign governments to federal employees, spouses, and dependents submitted by the Commission to the State Department pursuant to Public Law 95–105; 12. Annual reports made by the Commission pursuant to Equal Employment Opportunity Commission Management Directive 715; and 13. Annual reports on the agency’s privacy management program submitted by the Commission to the Office of Management and Budget. With this policy, the Commission intends to provide guidance to outside counsel, the news media, and others seeking to understand the Commission’s disposition of enforcement, administrative fines, and alternative dispute resolution cases and administrative functions. This will enhance their ability to assess particular matters in light of past decisions. This policy does not alter any existing regulation or policy requiring or permitting the Commission to redact documents, including those covered by this policy, to comply with the FECA, the principles set forth by the court of appeals in AFL–CIO, and the FOIA. In appropriate cases implicating the law enforcement privilege, an entire document may be withheld. Dated: July 25, 2016. On behalf of the Commission. Matthew S. Petersen, Chairman, Federal Election Commission. [FR Doc. 2016–18190 Filed 8–1–16; 8:45 am] BILLING CODE 6715–01–P PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 FEDERAL RESERVE SYSTEM Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Holding Company The notificants listed below have applied under the Change in Bank Control Act (12 U.S.C. 1817(j)) and § 225.41 of the Board’s Regulation Y (12 CFR 225.41) to acquire shares of a bank or bank holding company. The factors that are considered in acting on the notices are set forth in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)). The notices are available for immediate inspection at the Federal Reserve Bank indicated. The notices also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing to the Reserve Bank indicated for that notice or to the offices of the Board of Governors. Comments must be received not later than August 17, 2016. A. Federal Reserve Bank of Kansas City (Dennis Denney, Assistant Vice President) 1 Memorial Drive, Kansas City, Missouri 64198–0001: 1. Richard Michael Howard and Patricia A. Turner Howard, both of Gulf Shores, Alabama; as members of the Vision Bancshares, Inc. Shareholders Agreement to acquire shares of Vision Bancshares, Inc., parent of Vision Bank, N.A., both in Ada, Oklahoma. Board of Governors of the Federal Reserve System, July 28, 2016. Michele T. Fennell, Assistant Secretary of the Board. [FR Doc. 2016–18243 Filed 8–1–16; 8:45 am] BILLING CODE 6210–01–P FEDERAL RESERVE SYSTEM Formations of, Acquisitions by, and Mergers of Bank Holding Companies The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841 et seq.) (BHC Act), Regulation Y (12 CFR part 225), and all other applicable statutes and regulations to become a bank holding company and/or to acquire the assets or the ownership of, control of, or the power to vote shares of a bank or bank holding company and all of the banks and nonbanking companies owned by the bank holding company, including the companies listed below. The applications listed below, as well as other related filings required by the Board, are available for immediate inspection at the Federal Reserve Bank indicated. The applications will also be E:\FR\FM\02AUN1.SGM 02AUN1

Agencies

[Federal Register Volume 81, Number 148 (Tuesday, August 2, 2016)]
[Notices]
[Pages 50702-50704]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-18190]


=======================================================================
-----------------------------------------------------------------------

FEDERAL ELECTION COMMISSION

[NOTICE 2016-06]


Disclosure of Certain Documents in Enforcement and Other Matters

AGENCY: Federal Election Commission.

ACTION: Statement of policy.

-----------------------------------------------------------------------

SUMMARY: The Commission is adopting a policy with respect to placing 
certain documents on the public record in enforcement, administrative 
fines, and alternative dispute resolution cases, as well as 
administrative matters. The categories of records that will be included 
in the public record are described below.

DATES: Effective on September 1, 2016.

FOR FURTHER INFORMATION CONTACT: Adav Noti, Acting Associate General 
Counsel, 999 E Street NW., Washington, DC 20463, 202-694-1650 or 1-800-
424-9530.

SUPPLEMENTARY INFORMATION: The ``confidentiality provision'' of the 
Federal Election Campaign Act, 52 U.S.C. 30101 et seq. (FECA), provides 
that: ``Any notification or investigation under [Section 30109] shall 
not be made public by the Commission . . . without the written consent 
of the person receiving such notification or the person with respect to 
whom such investigation is made.'' 52 U.S.C. 30109(a)(12)(A). For 
approximately the first 25 years of its existence, the Commission 
viewed the confidentiality requirement as ending with the termination 
of a case. The Commission placed on its public record the documents 
that had been considered by the Commissioners in their determination of 
a case, minus those materials exempt from disclosure under the FECA or 
under the Freedom of Information Act, 5 U.S.C. 552 (FOIA). See 11 CFR 
5.4(a)(4). In AFL-CIO v. FEC, 177 F. Supp. 2d 48 (D.D.C. 2001), the 
district court disagreed with the Commission's interpretation of the 
confidentiality provision and found that the protection of section 
30109(a)(12)(A) does not lapse at the time the Commission terminates an 
investigation. 177 F. Supp. 2d at 56.
    Following that district court decision, the Commission placed on 
the public record only those documents that reflected the agency's 
``final determination'' with respect to enforcement matters. Such 
disclosure is required under 52 U.S.C. 30109(a)(4)(B)(ii) and section 
(a)(2)(A) of the FOIA. In all cases, the final determination is 
evidenced by a certification of Commission vote. The Commission also 
continued to disclose documents that explained the basis for the final 
determination. Depending upon the nature of the case, those documents 
consisted of General Counsel's Reports (frequently in redacted form); 
Probable Cause to Believe Briefs; conciliation agreements; Statements 
of Reasons issued by one or more of the Commissioners; or, a 
combination of the foregoing. The district court indicated that the 
Commission was free to release these categories of documents. See 177 
F. Supp. 2d at 54 n.11. In administrative fines cases, the Commission 
began placing on the public record only the Final Determination 
Recommendation and certification of vote on final determination. In 
alternative dispute resolution cases, the public record consisted of 
the certification of vote and the negotiated agreement.
    Although it affirmed the judgment of the district court in AFL-CIO, 
the Court of Appeals for the District of Columbia Circuit differed with 
the lower court's restrictive interpretation of the confidentiality 
provision of 52 U.S.C. 30109(a)(12)(A). The Court of Appeals stated 
that: ``the Commission may well be correct that . . . Congress merely 
intended to prevent disclosure of the fact that an investigation is 
pending,''

[[Page 50703]]

and that: ``deterring future violations and promoting Commission 
accountability may well justify releasing more information than the 
minimum disclosures required by section [30109](a).'' See AFL-CIO v. 
FEC, 333 F.3d 168, 174, 179 (D.C. Cir. 2003). However, the Court of 
Appeals warned that, in releasing enforcement information to the 
public, the Commission must ``attempt to avoid unnecessarily infringing 
on First Amendment interests where it regularly subpoenas materials of 
a `delicate nature . . . represent[ing] the very heart of the organism 
which the first amendment was intended to nurture and protect.' '' Id. 
at 179 (citation omitted). The decision suggested that, with respect to 
materials of this nature, a ``balancing'' of competing interests is 
required--on one hand, consideration of the Commission's interest in 
promoting its own accountability and in deterring future violations 
and, on the other, consideration of the respondent's interest in the 
privacy of association and belief guaranteed by the First Amendment. 
Noting that the Commission had failed to tailor its disclosure policy 
to avoid unnecessarily burdening the First Amendment rights of the 
political organizations it investigates, id. at 178, the Court found 
the agency's disclosure regulation at 11 CFR 5.4(a)(4) to be 
impermissible, id. at 179. In December 2003, the Commission issued an 
interim disclosure policy. See Statement of Policy Regarding Disclosure 
of Closed Enforcement or Related Files, 68 FR 70423 (Dec. 20, 2003) 
(``Interim Disclosure Policy'').
    The Commission is issuing this policy statement to identify several 
categories of documents integral to its decisionmaking process that 
will be disclosed upon termination of an enforcement matter, as well as 
documents integral to its administrative functions. This policy 
replaces the Interim Disclosure Policy as the Commission's permanent 
disclosure policy.
    The categories of documents that the Commission intends to disclose 
as a matter of regular practice either do not implicate the Court's 
concerns or, because they play a critical role in the resolution of a 
matter, the balance tilts decidedly in favor of public disclosure, even 
if the documents reveal some confidential information. In addition, the 
Commission will make certain other documents available on a case by 
case basis which will assist the public in understanding the record 
without intruding upon the associational interests of the respondents.

Enforcement

    With respect to enforcement matters, the Commission will place the 
following categories of documents on the public record:
    1. Complaint (including supplements and amendments thereto);
    2. Internal agency referral where the Commission opens a Matter 
Under Review;
    3. Response (including supplements and amendments thereto) to 
complaint;
    4. General Counsel's Reports \1\ (including supplements \2\ 
thereto) that recommend dismissal, reason to believe, no reason to 
believe, no action at this time, probable cause to believe, no probable 
cause to believe, no further action, or acceptance of a conciliation 
agreement;
---------------------------------------------------------------------------

    \1\ This category of documents does not include General 
Counsel's Reports that have been withdrawn by the Office of the 
General Counsel. The Commission may, upon the affirmative vote of 
four or more Commissioners, place such documents on the public 
record on a case by case basis.
    \2\ Supplements are documents that contain new or additional 
substantive analysis from the Office of the General Counsel prepared 
for the Commission in connection with a specific pending Matter 
Under Review circulated through the Office of the Secretary for the 
consideration and deliberation of the Commission. Supplements do not 
include documents that solely transmit replacement pages to correct 
errors in circulated reports or memoranda.
---------------------------------------------------------------------------

    5. Notification of reason to believe findings;
    6. Factual and Legal Analyses identified as the subject of a vote 
in a Commission certification;
    7. Respondent's response to reason to believe findings;
    8. Briefs (General Counsel's Brief and Respondent's Brief);
    9. Statements of Reasons issued by one or more Commissioners;
    10. Conciliation Agreements;
    11. Evidence of payment of civil penalty or of disgorgement;
    12. Certifications of Commission votes;
    13. Attachments to complaints and attachments to responses to 
complaints;
    14. Memoranda and reports (including supplements \2\ thereto) from 
the Office of the General Counsel prepared for the Commission in 
connection with a specific pending Matter Under Review circulated 
through the Office of the Secretary for the consideration and 
deliberation of the Commission;
    15. Complaint notification letters, and correspondence from 
respondents submitted in response to them;
    16. Notifications to respondents that were previously identified as 
``Unknown Respondents,'' and correspondence from respondents submitted 
in response to them;
    17. Designations of counsel;
    18. Requests for extensions of time;
    19. Responses to requests for extensions of time;
    20. Tolling agreements; and
    21. Closeout letters.
    The Commission is placing the foregoing categories of documents on 
the public record in all matters it closes on or after September 1, 
2016, regardless of the outcome. By doing so, the Commission complies 
with the requirements of 52 U.S.C. 30109(a)(4)(B)(ii) and 5 U.S.C. 
552(a)(2)(A). Conciliation Agreements are placed on the public record 
pursuant to 52 U.S.C. 30109(a)(4)(B)(ii). On a case by case basis, the 
Commission may place on the public record other documents that edify 
public understanding of a closed matter.
    The Commission will place these documents on the public record as 
soon as practicable, and will endeavor to do so within 30 days of the 
date on which notifications are sent to complainant and respondent. See 
11 CFR 111.20(a). In the event a Statement of Reasons is required, but 
has not been issued before the date proposed for the release of the 
remainder of the documents in a matter, those documents will be placed 
on the public record and the Statement of Reasons will be added to the 
file when issued.
    The Commission is not placing on the public record certain other 
materials from its investigative files, such as subpoenaed records, 
deposition transcripts, and other records produced in discovery, even 
if those evidentiary documents are referenced in, or attached to, 
documents specifically subject to release under this policy. The 
Commission also will not place the following categories of documents on 
the public record:
    1. Sua sponte submissions and accompanying attachments;
    2. External referrals from other agencies and law enforcement 
sources in which the Commission declines to open a Matter Under Review;
    3. Documents (other than notification letters) related to debt 
settlement plans and proposed administrative terminations in which the 
Commission does not approve the debt settlement plan or administrative 
termination.

Administrative Fines

    With respect to administrative fines cases, the Commission will 
place the entire administrative file on the public record, which 
includes the following:
    1. Reason to Believe recommendation;
    2. Respondent's response;
    3. Reviewing Officer's memoranda to the Commission;

[[Page 50704]]

    4. Final Determination recommendation;
    5. Certifications of Commission votes;
    6. Statements of Reasons;
    7. Evidence of payment of fine; and
    8. Referral to Department of the Treasury.

Alternative Dispute Resolution

    With respect to alternative dispute resolution (ADR) cases, the 
Commission will place the following categories of documents on the 
public record:
    1. Complaint or internal agency referral;
    2. Response to complaint;
    3. ADR Office's informational memorandum on assignment to the 
Commission;
    4. Notification to respondent that case has been assigned to ADR;
    5. Letter or Commitment Form from respondent participating in the 
ADR program;
    6. ADR Office recommendation as to settlement or dismissal;
    7. Certifications of Commission votes;
    8. Settlement agreement executed by the respondent and Commission; 
and
    9. Evidence of compliance with terms of settlement.
    When disclosing documents in administrative fines and alternative 
dispute resolution cases, the Commission will release publicly 
available records that are referenced in, or attached to, documents 
specifically subject to release under this policy.

Administrative Functions

    The Commission will also place on the public record the following 
non-exclusive list of documents integral to its administrative 
functions:
    1. Statistics related to number of EPS dismissals by fiscal year 
and current quarter;
    2. Statistics related to number of cases opened and closed by 
fiscal year and current quarter, average number of days to close a 
matter, and total civil penalties assessed;
    3. Case closing processing statistics;
    4. Monthly reports from the Department of the Treasury of the 
balance available in the Presidential Election Campaign Fund;
    5. Yearly Long Term Budget Estimates for the Presidential Election 
Campaign Fund;
    6. Memoranda from the Office of the General Counsel prepared for 
the Commission in connection with debt settlement plans and proposed 
administrative terminations circulated through the Office of the 
Secretary for the consideration and deliberation of the Commission in 
which the Commission ultimately approves the debt settlement plan or 
administrative termination;
    7. Certifications of Commission votes in which the Commission 
approves a debt settlement plan or administrative termination;
    8. Service Contract Inventory Reports submitted by the Commission 
to the Office of Federal Procurement Policy pursuant to section 743 of 
Division C of the 2010 Consolidated Appropriations Act;
    9. Annual reports of activities performed by the agency that in the 
judgment of the agency head are not inherently governmental submitted 
by the Commission to the Office of Management and Budget pursuant to 
the Federal Activities Inventory Reform Act of 1998;
    10. Reports of official travel paid for by non-government sources 
made to the U.S. Office of Government Ethics pursuant to 31 U.S.C. 
1353;
    11. Annual reports of the receipt and disposition of gifts and 
decorations tendered by foreign governments to federal employees, 
spouses, and dependents submitted by the Commission to the State 
Department pursuant to Public Law 95-105;
    12. Annual reports made by the Commission pursuant to Equal 
Employment Opportunity Commission Management Directive 715; and
    13. Annual reports on the agency's privacy management program 
submitted by the Commission to the Office of Management and Budget.
    With this policy, the Commission intends to provide guidance to 
outside counsel, the news media, and others seeking to understand the 
Commission's disposition of enforcement, administrative fines, and 
alternative dispute resolution cases and administrative functions. This 
will enhance their ability to assess particular matters in light of 
past decisions. This policy does not alter any existing regulation or 
policy requiring or permitting the Commission to redact documents, 
including those covered by this policy, to comply with the FECA, the 
principles set forth by the court of appeals in AFL-CIO, and the FOIA. 
In appropriate cases implicating the law enforcement privilege, an 
entire document may be withheld.

    Dated: July 25, 2016.

    On behalf of the Commission.

Matthew S. Petersen,
Chairman, Federal Election Commission.
[FR Doc. 2016-18190 Filed 8-1-16; 8:45 am]
 BILLING CODE 6715-01-P