Privacy Act of 1974; System of Records, 41398-41401 [2023-13512]
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41398
Federal Register / Vol. 88, No. 121 / Monday, June 26, 2023 / Notices
notice is hereby given by the U.S.
Environmental Protection Agency
(‘‘EPA’’), Region 2, of a proposed cost
recovery settlement agreement
(‘‘Settlement’’) pursuant to CERCLA
with Ljubow Melnitschenko (‘‘Settling
Party’’) for the Marko Engraving & Art
Corp. Site (‘‘Site’’), located at 429–439
Fairview Avenue, Fairview, New Jersey.
Comments must be submitted on
or before July 26, 2023.
Broadway, New York, New York 10007–
1866.
Pasquale Evangelista,
Director, Superfund & Emergency
Management Division, U.S. Environmental
Protection Agency, Region 2.
[FR Doc. 2023–13525 Filed 6–23–23; 8:45 am]
BILLING CODE 6560–50–P
DATES:
The proposed settlement is
available for public inspection at the
following website: https://
semspub.epa.gov/src/document/02/
677072. Requests for copies of the
proposed Settlement and submission of
comments must be via electronic mail to
Olga Pappas at pappas.olga@epa.gov.
Comments should reference the Marko
Engraving & Art Corp. Site, Index No.
CERCLA–02–2023–2024. For those
unable to communicate via electronic
mail, please contact Olga Pappas at the
telephone number identified below.
ADDRESSES:
Olga
Pappas, Assistant Regional Counsel,
Office of Regional Counsel, U.S.
Environmental Protection Agency, 290
Broadway, 17th Floor, New York, NY
10007–1866. Email: pappas.olga@
epa.gov. Telephone: 212–637–3138.
FOR FURTHER INFORMATION CONTACT:
Under the
proposed Settlement, Settling Party will
pay $225,000 to the EPA Hazardous
Substance Superfund to resolve her
potential liability for EPA’s past
response costs paid in connection with
the Site. Payment is to be made upon
Settling Party selling three properties.
Settling Party will pay EPA from the
proceeds of the sales. In exchange for
Settling Party’s payment, the Settlement
provides a covenant not to sue or take
administrative action against Settling
Party, and will release the Federal lien
on the Site property arising under
section 107(l) of CERCLA, 42 U.S.C.
9607(l).
For thirty (30) days following the date
of publication of this notice, EPA will
receive written comments relating to the
proposed Settlement. EPA will consider
all comments received and may modify
or withdraw its consent to the proposed
Settlement if comments received
disclose facts or considerations that
indicate that the proposed Settlement is
inappropriate, improper, or inadequate.
EPA’s response to any comments
received will be available for public
inspection at EPA Region 2, 290
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SUPPLEMENTARY INFORMATION:
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FEDERAL COMMUNICATIONS
COMMISSION
[FR ID: 149975]
Privacy Act of 1974; System of
Records
Federal Communications
Commission.
ACTION: Notice of a modified system of
records.
AGENCY:
The Federal Communications
Commission (FCC, Commission, or
Agency) proposes to modify an existing
system of records, FCC/OIG–3,
Investigative and Audit Files (formerly:
FCC/OIG–3, Investigative Files) subject
to the Privacy Act of 1974, as amended.
This action is necessary to meet the
requirements of the Privacy Act to
publish in the Federal Register notice of
the existence and character of records
maintained by the agency. The FCC uses
the investigative and audit files
contained in the records in this system
to carry out its duties and
responsibilities under the Inspector
General Act of 1978, as amended. This
modification changes the scope of this
system of records to add new routine
uses, to update the exemptions the FCC
claims for this system, and to make
other changes.
DATES: This modified system of records
will become effective on June 26, 2023.
Written comments on the routine uses
are due by July 26, 2023. The routine
uses will become effective on July 26,
2023, unless written comments are
received that require a contrary
determination.
SUMMARY:
Send comments to
Katherine C. Clark, Federal
Communications Commission (FCC), 45
L Street NE, Washington, DC 20554.
FOR FURTHER INFORMATION CONTACT:
Katherine C. Clark, (202) 418–1773, or
privacy@fcc.gov (and to obtain a copy of
the Narrative Statement and the
Supplementary Document, which
includes details of the proposed
alterations to this system of records).
SUPPLEMENTARY INFORMATION: As
required by the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4) and
(e)(11), this document sets forth notice
ADDRESSES:
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of the proposed modification of a
system of records maintained by the
FCC. This notice modifies a system of
records (FCC/OIG–3) maintained by the
FCC. The FCC previously provided
notice of the system of records FCC/
OIG–3, Investigative and Audit Files, by
publication in the Federal Register on
August 26, 2011 (76 FR 53454). The FCC
Office of Inspector General (OIG)
created this system of records in 2011
by combining into a single system of
records the OIG’s criminal and civil
investigative files and its audit files.
OIG uses the records in this system to
carry out its duties and responsibilities
under the Inspector General Act of 1978,
as amended.
The substantive changes and
modifications to the previously
published version of FCC/OIG–3
include:
1. Renaming this SORN as
‘‘Investigative and Audit Files’’;
2. Modifying the language in the
Categories of Individuals and Categories
of Records to be consistent with the
language and phrasing now used in FCC
SORNs;
3. Updating and/or revising language
in the following routine uses: Law
Enforcement and Investigation,
Adjudication and Litigation, Disclosure
to the Council of Inspectors General on
Integrity and Efficiency (CIGIE),
Disclosure for Qualitative Assessment
Reviews, and Breach Notification;
4. Adding four new routine uses: (a)
Assistance to Federal Agencies and
Entities Related to Breaches—to assist
with other Federal agencies’ data breach
situations, which is required by OMB
Memorandum No. M–17–12; (b) NonFederal Personnel—to allow contractors,
grantees, and volunteers who have been
engaged to assist the FCC in the
performance of a contract service, grant,
cooperative agreement with access to
information; (c) To provide information
to a Congressional member’s office from
the record of an individual in response
to an inquiry from that Congressional
office made at the request of that
individual; and (d) Congress,
congressional committees, or the staffs
thereof—to provide Congress,
congressional committees and
congressional staff access to final FCC–
OIG reports or management alerts when
the Inspector General (IG) determines
that its disclosure is necessary to fulfill
the IG’s responsibilities under the IG
Act of 1978, as amended;
5. Updating the existing records
retention and disposal schedule with a
new National Archives and Records
Administration (NARA) Records
Schedule: Office of Inspector General
(OIG)—Investigative Files, N1–173–07–
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002, which was approved by NARA in
May 2017;
6. Expanding the scope of the system
to expressly include materials related to
OIG audits that may contain information
about individuals; and
7. Updating the reference to the
exemptions claimed under subsections
(j) and (k) of the Privacy Act.
The system of records is also updated
to reflect various administrative changes
related to the system managers and
system addresses; policies and practices
for storage and retrieval of the
information; administrative, technical,
and physical safeguards; and updated
notification, records access, and
contesting records procedures.
SYSTEM NAME AND NUMBER:
FCC/OIG–3, Investigative and Audit
Files.
SECURITY CLASSIFICATION:
Sensitive, but not Classified.
SYSTEM LOCATION:
OIG, FCC, 45 L Street NE,
Washington, DC 20554, and OIG, FCC,
9201 Farm House Lane, Columbia, MD
21046.
SYSTEM MANAGER(S):
Johnny Drake, OIG, FCC, 45 L Street
NE, Washington, DC 20554.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as
amended. 5 U.S.C. app.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
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PURPOSE(S) OF THE SYSTEM:
This system will collect, pursuant to
the Inspector General Act of 1978:
1. Files and documents for
investigations initiated and/or referred
by or to the OIG or other investigative
agencies regarding FCC programs and
operations; and reports regarding the
results of investigations to other Federal
agencies, other public authorities, or
professional organizations that have the
authority to bring criminal prosecutions
or civil or administrative actions, or to
impose other disciplinary sanctions;
2. Files and documents for
documenting the outcome of OIG
investigations;
3. Records of the activities that were
the subject of investigations;
4. Reports, files, and documents for
investigative findings to the
Commission management about
problems and deficiencies in the FCC’s
programs and operations or to suggest
corrective action in reference to
identified irregularities, problems, or
deficiencies;
5. Records of complaints and
allegations received relative to FCC
programs and operations and
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documenting the outcome of OIG
reviews of those complaints and
allegations;
6. Files and documents for
coordinating relationships with other
Federal agencies, State and local
governmental agencies, and
nongovernmental entities in matters
relating to the statutory responsibilities
of the OIG;
7. Files and documents providing the
information necessary to fulfill the
reporting requirements of the Inspector
General Act of 1978;
8. Files and documents for audits,
inspections and evaluations, and
surveys conducted by the OIG regarding
FCC programs and operations; and
9. Documents for the results of audits,
inspections, evaluations and surveys
initiated internally or mandated or
requested by Congress or other
regulatory agencies regarding FCC
programs and operations and reporting
the results of audits to Congress, Office
of Management and Budget (OMB),
Government Accountability Office
(GAO), and other regulatory and
oversight agencies.
Collecting and maintaining these
types of information is necessary for key
activities discussed in this SORN,
including analyzing the effectiveness
and efficiency of FCC programs,
informing future rulemaking and
policymaking activity, and improving
staff efficiency.
1. Individuals who are or have been
the subjects of investigations conducted
by the OIG;
2. Individuals who are: witnesses,
complainants, informants, suspects,
defendants, parties identified by the
OIG or by other agencies, constituent
units of the FCC and members of the
general public in connection with the
authorized functions of the OIG; and
3. Individuals who provide
information during interviews,
walkthroughs, questionnaires,
demonstrations, and simulations during
OIG audits, inspections, and
evaluations.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Files developed during
investigations of: known or alleged
fraud, waste, and abuse; other
irregularities; or violations of laws,
regulations, orders, or requirements;
2. Files related to programs and
operations administered or financed by
the FCC, including contractors and
others doing business with the FCC;
3. Files relating to FCC employees’
hotline complaints and other
miscellaneous complaints;
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4. Investigative reports and related
documents, such as correspondence,
notes, attachments, and working papers;
and
5. Audit reports and supporting
documentation, such as
correspondence, memoranda,
transcripts, notes, computations,
flowcharts, illustrations and summaries.
RECORD SOURCE CATEGORIES:
Under the authority granted to heads
of agencies by 5 U.S.C. 552a(j)–(k), the
FCC has determined that this system of
records is exempt from disclosing the
categories of sources of records for this
system of records, 47 CFR 0.561.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed to authorized entities, as is
determined to be relevant and
necessary, outside of the FCC as a
routine use pursuant to 5 U.S.C.
552a(b)(3) as follows:
1. Law Enforcement and
Investigation—Where there is an
indication of a violation or potential
violation of a statute, regulation, rule,
order, or other requirements, records
from this system may be shared with
appropriate Federal, State, Tribal, or
local authorities for purposes of either
obtaining additional information
relevant to a FCC decision or referring
the record for investigation,
enforcement, or prosecution by another
agency.
2. Disclosure to Public and Private
Entities to Obtain Information Relevant
to FCC Functions and Duties—The OIG
may disclose information from this
system to public or private sources to
the extent necessary to obtain
information from those sources relevant
to an OIG investigation, inspection, or
audit.
3. Litigation—To disclose records to
the Department of Justice (DOJ) when:
(a) the FCC or any component thereof;
(b) any employee of the FCC in his or
her official capacity; (c) any employee of
the FCC in his or her individual
capacity where the DOJ or the FCC has
agreed to represent the employee; or (d)
the United States Government is a party
to litigation or has an interest in such
litigation, and by careful review, the
FCC determines that the records are
both relevant and necessary to the
litigation, and the use of such records by
the Department of Justice is for a
purpose that is compatible with the
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Federal Register / Vol. 88, No. 121 / Monday, June 26, 2023 / Notices
purpose for which the FCC collected the
records.
4. Adjudication—To disclose records
in a proceeding before a court or
adjudicative body, when: (a) the FCC or
any component thereof; or (b) any
employee of the FCC in his or her
official capacity; or (c) any employee of
the FCC in his or her individual
capacity; or (d) the United States
Government, is a party to litigation or
has an interest in such litigation, and by
careful review, the FCC determines that
the records are both relevant and
necessary to the litigation, and that the
use of such records is for a purpose that
is compatible with the purpose for
which the agency collected the records.
5. Disclosure to Contractors and
Consultants—OIG may disclose a record
from this system to the employees of
any entity or individual with whom the
FCC contracts for the purpose of
performing any functions or analyses
that facilitate or are relevant to an OIG
investigation, audit, inspection, or other
inquiry. Before entering into such a
contract, the OIG shall require the
contractor to maintain Privacy Act
safeguards, including as required under
the Federal Acquisition Regulations
(FAR) Privacy Act provisions (subparts
24.1 and 24.2) and include the specified
contract clauses (parts 52.224–1 and
52.224–2), as appropriate, to ensure that
personal information by contractors
who work on FCC-owned systems of
records and the system data are
protected as mandated.
6. Debarment and Suspension
Disclosure—The OIG may disclose
information from this system to the FCC
or another Federal agency considering
suspension or debarment action if the
information is relevant to the
suspension or debarment action. The
OIG also may disclose information to
the FCC or another agency to gain
information in support of the FCC’s own
debarment and suspension actions.
7. Government-Wide Program
Management and Oversight—The OIG
may disclose a record from this system
to the Department of Justice (DOJ) to
obtain that department’s advice
regarding disclosure obligations under
the Freedom of Information Act (FOIA);
or the OMB to obtain that office’s advice
regarding obligations under the Privacy
Act.
8. Prevention of Fraud, Waste, and
Abuse Disclosure—The OIG may
disclose a record from this system to
Federal agencies, non-Federal entities,
their employees, and agents (including
contractors, their agents or employees;
employees or contractors of the agents
or designated agents); or contractors,
their employees or agents with whom
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the FCC has a contract, service
agreement, cooperative agreement, or
computer matching agreement for the
purpose of: (1) detection, prevention,
and recovery of improper payments; (2)
detection and prevention of fraud,
waste, and abuse in Federal programs
administered by a Federal agency or
non-Federal entity; (3) detection of
fraud, waste, and abuse by individuals
in their operations and programs, but
only to the extent that the information
shared is necessary and relevant to
verify pre-award and prepayment
requirements prior to the release of
Federal funds, prevent and recover
improper payments for services
rendered under programs of the FCC or
of those Federal agencies and nonFederal entities to which the FCC
provides information under this routine
use.
9. Disclosure to CIGIE—The OIG may
disclose a record from this system to
members and employees of CIGIE for
the preparation of reports to the
President and Congress on the activities
of the Inspectors General.
10. Disclosure for Qualitative
Assessment Reviews—The OIG may
disclose a record from this system to
members of CIGIE, the DOJ, the U.S.
Marshals Service, or any Federal agency
for the purpose of conducting
qualitative assessment reviews of the
investigative operations of the OIG to
ensure that adequate internal safeguards
and management procedures are
maintained.
11. Breach Notification—To
appropriate agencies, entities, and
persons when: (a) the Commission
suspects or has confirmed that there has
been a breach of PII maintained in the
system of records; (b) the Commission
has determined that as a result of the
suspected or confirmed compromise
there is a risk of harm to individuals,
the Commission (including its
information systems, programs, and
operations), the Federal Government, or
national security; and (c) the disclosure
made to such agencies, entities, and
persons is reasonably necessary to assist
in connection with the Commission’s
efforts to respond to the suspected or
confirmed breach or to prevent,
minimize, or remedy such harm.
12. Assistance to Federal Agencies
and Entities Related to Breaches—To
another Federal agency or Federal
entity, when the Commission
determines that information from this
system is reasonably necessary to assist
the recipient agency or entity in: (a)
responding to a suspected or confirmed
breach or (b) preventing, minimizing, or
remedying the risk of harm to
individuals, the recipient agency or
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entity (including its information
systems, program, and operations), the
Federal Government, or national
security, resulting from a suspected or
confirmed breach.
13. Non-Federal Personnel—To
disclose information to non-Federal
personnel, including contractors,
grantees, and volunteers who have been
engaged to assist the FCC 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 their activity.
14. To provide information to a
Congressional member’s office from the
record of an individual in response to
an inquiry from that Congressional
office made at the request of that
individual.
15. To Congress, congressional
committees, or the staffs thereof once an
FCC–OIG report or management alert
has become final and the IG determines
that its disclosure is necessary to fulfill
the IG’s responsibilities under the IG
Act of 1978, as amended.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Information in this system consists of
paper records, documents, and files in
file folders and electronic records, files,
and data that are stored in the OIG
databases that are part of the FCC’s
computer network. Electronic records
may also be contained in databases that
are not part of FCC’s computer network,
and also are stored in removable drives,
computers, and other electronic
databases.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records in this system of records can
be retrieved by any category field, e.g.,
first name or email address, or by a
unique file number assigned to each
matter.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
The information in this system is
maintained and disposed of in
accordance with the National Archives
and Records Administration (NARA)
Records Schedule: Office of Inspector
General (OIG)—Investigative Files, N1–
173–07–002, Item 1.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
The paper, diskette, and records
contained in other media are password
protected or kept in locked storage that
is further secured at the end of each
business day. Limited access to these
records is permitted by those persons
whose official duties require such
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Federal Register / Vol. 88, No. 121 / Monday, June 26, 2023 / Notices
access; thus, unauthorized examination
during business hours would be easily
detected.
The electronic records, files, and data
are maintained in the FCC computer
network databases. Access to the
electronic files is restricted to
authorized OIG supervisors and staff.
Authorized OIG staff and OIG
contractors and authorized staff and
contractors in the FCC’s Information
Technology Center (ITC) have access to
the electronic files on an ‘‘as needed’’
basis. Backup media are stored on-site
and at a secured, off-site location. The
FCC’s computer network databases are
protected by the FCC’s security
protocols, which include controlled
access, passwords, and other security
features to prevent unauthorized users
from gaining access to the data and
system resources. This comprehensive
and dynamic set of IT safety and
security protocols and features is
designed to meet all Federal privacy
standards, including those required by
the Federal Information Security
Modernization Act of 2014 (FISMA),
OMB, and the National Institute of
Standards and Technology (NIST).
RECORD ACCESS PROCEDURES:
Under the authority granted to heads
of agencies by 5 U.S.C. 552a(j)–(k), the
FCC has determined that this system of
records is exempt from disclosing its
record access procedures for this system
of records, 47 CFR 0.561.
CONTESTING RECORD PROCEDURES:
Under the authority granted to heads
of agencies by 5 U.S.C. 552a(j)–(k), the
FCC has determined that this system of
records is exempt from disclosing its
contesting record procedures for this
system of records, 47 CFR 0.561.
NOTIFICATION PROCEDURES:
Under the authority granted to heads
of agencies by 5 U.S.C. 552a(j)–(k), the
FCC has determined that this system of
records is exempt from the notification
procedure for this system of records. 47
CFR 0.561.
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EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to subsection 0.561 of the
Commission’s rules, 47 CFR 0.561, this
system of records is exempt from
§§ (c)(3), (c)(4), (d), (e)(1) through(3),
(e)(4)(G) through(I), (e)(5), (e)(8), (f), and
(g) of the Privacy Act and from 47 CFR
0.554–0.557 of the Commission’s rules.
These provisions concern individuals’
rights to access and amend information
about themselves, and an agency’s
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duties to provide notice about how
individuals can access information
about themselves. The system is exempt
from these provisions because it
contains the types of materials
described in subsections (j)(2) and
(k)(1)–(2) of the Privacy Act.
HISTORY:
The FCC created this system of
records (OIG–3) in 2011 by combining
into a single system of records the OIG’s
criminal and civil investigative files, 76
FR 53454 (Aug. 26, 2011).
Federal Communications Commission.
Marlene Dortch,
Secretary.
[FR Doc. 2023–13512 Filed 6–23–23; 8:45 am]
BILLING CODE 6712–01–P
FEDERAL ELECTION COMMISSION
[Notice 2023–11]
Filing Dates for the Utah Special
Election in the 2nd Congressional
District
Federal Election Commission.
ACTION: Notice of filing dates for special
election.
AGENCY:
Utah has scheduled a Special
General Election on November 21, 2023,
to fill the U.S. House of Representatives
seat in the 2nd Congressional District
being vacated by Representative Chris
Stewart. A Special Primary Election, if
necessary, will be held on September 5,
2023. Under Utah law, partisan
candidates can seek nomination at their
party’s convention and/or gather
signatures to appear on the primary
election ballot. Political committees
participating in the Utah special
elections are required to file pre- and
post-election reports. Filing deadlines
for these reports are affected by whether
one or two elections are held.
FOR FURTHER INFORMATION CONTACT: Ms.
Elizabeth S. Kurland, Information
Division, 1050 First Street NE,
Washington, DC 20463; Telephone:
(202) 694–1100; Toll Free (800) 424–
9530.
SUMMARY:
SUPPLEMENTARY INFORMATION:
Special Primary Election
All principal campaign committees of
candidates only participating in the
Utah Special Primary, if necessary, shall
file a Pre-Primary Report on August 24,
2023. (See charts below for the closing
date for the report).
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41401
Special Primary and General Elections
If two elections are held, all principal
campaign committees of candidates
participating in the Utah Special
Primary and Special General Elections
shall file a Pre-Primary Report on
August 24, 2023; a Pre-General Report
on November 9, 2023; and a PostGeneral Report on December 21, 2023.
(See charts below for the closing date for
each report).
Special General Election
All principal campaign committees of
candidates only participating in the
Utah Special General shall file a PreGeneral Report on November 9, 2023;
and a Post-General Report on December
21, 2023. (See charts below for the
closing date for each report.)
Note that these reports are in addition
to the campaign committee’s regular
quarterly filings. (See charts below for
the closing date for each report).
Unauthorized Committees (PACs and
Party Committees)
Political committees not filing
monthly are subject to special election
reporting if they make previously
undisclosed contributions or
expenditures in connection with the
Utah Special Primary or Special General
Election by the close of books for the
applicable report(s). (See charts below
for the closing date for each report.)
Committees filing monthly that make
contributions or expenditures in
connection with the Utah Special
Primary or Special General Election will
continue to file according to the
monthly reporting schedule.
Additional disclosure information for
the Utah special elections may be found
on the FEC website at https://
www.fec.gov/help-candidates-andcommittees/dates-and-deadlines/.
Disclosure of Lobbyist Bundling
Activity
Principal campaign committees, party
committees and leadership PACs that
are otherwise required to file reports in
connection with the special elections
must simultaneously file FEC Form 3L
if they receive two or more bundled
contributions from lobbyists/registrants
or lobbyist/registrant PACs that
aggregate in excess of $21,800 during
the special election reporting periods.
(See charts below for closing date of
each period.) 11 CFR 104.22(a)(5)(v), (b),
110.17(e)(2), (f).
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Agencies
[Federal Register Volume 88, Number 121 (Monday, June 26, 2023)]
[Notices]
[Pages 41398-41401]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-13512]
=======================================================================
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
[FR ID: 149975]
Privacy Act of 1974; System of Records
AGENCY: Federal Communications Commission.
ACTION: Notice of a modified system of records.
-----------------------------------------------------------------------
SUMMARY: The Federal Communications Commission (FCC, Commission, or
Agency) proposes to modify an existing system of records, FCC/OIG-3,
Investigative and Audit Files (formerly: FCC/OIG-3, Investigative
Files) subject to the Privacy Act of 1974, as amended. This action is
necessary to meet the requirements of the Privacy Act to publish in the
Federal Register notice of the existence and character of records
maintained by the agency. The FCC uses the investigative and audit
files contained in the records in this system to carry out its duties
and responsibilities under the Inspector General Act of 1978, as
amended. This modification changes the scope of this system of records
to add new routine uses, to update the exemptions the FCC claims for
this system, and to make other changes.
DATES: This modified system of records will become effective on June
26, 2023. Written comments on the routine uses are due by July 26,
2023. The routine uses will become effective on July 26, 2023, unless
written comments are received that require a contrary determination.
ADDRESSES: Send comments to Katherine C. Clark, Federal Communications
Commission (FCC), 45 L Street NE, Washington, DC 20554.
FOR FURTHER INFORMATION CONTACT: Katherine C. Clark, (202) 418-1773, or
[email protected] (and to obtain a copy of the Narrative Statement and
the Supplementary Document, which includes details of the proposed
alterations to this system of records).
SUPPLEMENTARY INFORMATION: As required by the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4) and (e)(11), this document sets forth
notice of the proposed modification of a system of records maintained
by the FCC. This notice modifies a system of records (FCC/OIG-3)
maintained by the FCC. The FCC previously provided notice of the system
of records FCC/OIG-3, Investigative and Audit Files, by publication in
the Federal Register on August 26, 2011 (76 FR 53454). The FCC Office
of Inspector General (OIG) created this system of records in 2011 by
combining into a single system of records the OIG's criminal and civil
investigative files and its audit files. OIG uses the records in this
system to carry out its duties and responsibilities under the Inspector
General Act of 1978, as amended.
The substantive changes and modifications to the previously
published version of FCC/OIG-3 include:
1. Renaming this SORN as ``Investigative and Audit Files'';
2. Modifying the language in the Categories of Individuals and
Categories of Records to be consistent with the language and phrasing
now used in FCC SORNs;
3. Updating and/or revising language in the following routine uses:
Law Enforcement and Investigation, Adjudication and Litigation,
Disclosure to the Council of Inspectors General on Integrity and
Efficiency (CIGIE), Disclosure for Qualitative Assessment Reviews, and
Breach Notification;
4. Adding four new routine uses: (a) Assistance to Federal Agencies
and Entities Related to Breaches--to assist with other Federal
agencies' data breach situations, which is required by OMB Memorandum
No. M-17-12; (b) Non-Federal Personnel--to allow contractors, grantees,
and volunteers who have been engaged to assist the FCC in the
performance of a contract service, grant, cooperative agreement with
access to information; (c) To provide information to a Congressional
member's office from the record of an individual in response to an
inquiry from that Congressional office made at the request of that
individual; and (d) Congress, congressional committees, or the staffs
thereof--to provide Congress, congressional committees and
congressional staff access to final FCC-OIG reports or management
alerts when the Inspector General (IG) determines that its disclosure
is necessary to fulfill the IG's responsibilities under the IG Act of
1978, as amended;
5. Updating the existing records retention and disposal schedule
with a new National Archives and Records Administration (NARA) Records
Schedule: Office of Inspector General (OIG)--Investigative Files, N1-
173-07-
[[Page 41399]]
002, which was approved by NARA in May 2017;
6. Expanding the scope of the system to expressly include materials
related to OIG audits that may contain information about individuals;
and
7. Updating the reference to the exemptions claimed under
subsections (j) and (k) of the Privacy Act.
The system of records is also updated to reflect various
administrative changes related to the system managers and system
addresses; policies and practices for storage and retrieval of the
information; administrative, technical, and physical safeguards; and
updated notification, records access, and contesting records
procedures.
SYSTEM NAME AND NUMBER:
FCC/OIG-3, Investigative and Audit Files.
SECURITY CLASSIFICATION:
Sensitive, but not Classified.
SYSTEM LOCATION:
OIG, FCC, 45 L Street NE, Washington, DC 20554, and OIG, FCC, 9201
Farm House Lane, Columbia, MD 21046.
SYSTEM MANAGER(S):
Johnny Drake, OIG, FCC, 45 L Street NE, Washington, DC 20554.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Inspector General Act of 1978, as amended. 5 U.S.C. app.
PURPOSE(S) OF THE SYSTEM:
This system will collect, pursuant to the Inspector General Act of
1978:
1. Files and documents for investigations initiated and/or referred
by or to the OIG or other investigative agencies regarding FCC programs
and operations; and reports regarding the results of investigations to
other Federal agencies, other public authorities, or professional
organizations that have the authority to bring criminal prosecutions or
civil or administrative actions, or to impose other disciplinary
sanctions;
2. Files and documents for documenting the outcome of OIG
investigations;
3. Records of the activities that were the subject of
investigations;
4. Reports, files, and documents for investigative findings to the
Commission management about problems and deficiencies in the FCC's
programs and operations or to suggest corrective action in reference to
identified irregularities, problems, or deficiencies;
5. Records of complaints and allegations received relative to FCC
programs and operations and documenting the outcome of OIG reviews of
those complaints and allegations;
6. Files and documents for coordinating relationships with other
Federal agencies, State and local governmental agencies, and
nongovernmental entities in matters relating to the statutory
responsibilities of the OIG;
7. Files and documents providing the information necessary to
fulfill the reporting requirements of the Inspector General Act of
1978;
8. Files and documents for audits, inspections and evaluations, and
surveys conducted by the OIG regarding FCC programs and operations; and
9. Documents for the results of audits, inspections, evaluations
and surveys initiated internally or mandated or requested by Congress
or other regulatory agencies regarding FCC programs and operations and
reporting the results of audits to Congress, Office of Management and
Budget (OMB), Government Accountability Office (GAO), and other
regulatory and oversight agencies.
Collecting and maintaining these types of information is necessary
for key activities discussed in this SORN, including analyzing the
effectiveness and efficiency of FCC programs, informing future
rulemaking and policymaking activity, and improving staff efficiency.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
1. Individuals who are or have been the subjects of investigations
conducted by the OIG;
2. Individuals who are: witnesses, complainants, informants,
suspects, defendants, parties identified by the OIG or by other
agencies, constituent units of the FCC and members of the general
public in connection with the authorized functions of the OIG; and
3. Individuals who provide information during interviews,
walkthroughs, questionnaires, demonstrations, and simulations during
OIG audits, inspections, and evaluations.
CATEGORIES OF RECORDS IN THE SYSTEM:
1. Files developed during investigations of: known or alleged
fraud, waste, and abuse; other irregularities; or violations of laws,
regulations, orders, or requirements;
2. Files related to programs and operations administered or
financed by the FCC, including contractors and others doing business
with the FCC;
3. Files relating to FCC employees' hotline complaints and other
miscellaneous complaints;
4. Investigative reports and related documents, such as
correspondence, notes, attachments, and working papers; and
5. Audit reports and supporting documentation, such as
correspondence, memoranda, transcripts, notes, computations,
flowcharts, illustrations and summaries.
RECORD SOURCE CATEGORIES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from disclosing the categories of sources of records for this
system of records, 47 CFR 0.561.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed to authorized
entities, as is determined to be relevant and necessary, outside of the
FCC as a routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
1. Law Enforcement and Investigation--Where there is an indication
of a violation or potential violation of a statute, regulation, rule,
order, or other requirements, records from this system may be shared
with appropriate Federal, State, Tribal, or local authorities for
purposes of either obtaining additional information relevant to a FCC
decision or referring the record for investigation, enforcement, or
prosecution by another agency.
2. Disclosure to Public and Private Entities to Obtain Information
Relevant to FCC Functions and Duties--The OIG may disclose information
from this system to public or private sources to the extent necessary
to obtain information from those sources relevant to an OIG
investigation, inspection, or audit.
3. Litigation--To disclose records to the Department of Justice
(DOJ) when: (a) the FCC or any component thereof; (b) any employee of
the FCC in his or her official capacity; (c) any employee of the FCC in
his or her individual capacity where the DOJ or the FCC has agreed to
represent the employee; or (d) the United States Government is a party
to litigation or has an interest in such litigation, and by careful
review, the FCC determines that the records are both relevant and
necessary to the litigation, and the use of such records by the
Department of Justice is for a purpose that is compatible with the
[[Page 41400]]
purpose for which the FCC collected the records.
4. Adjudication--To disclose records in a proceeding before a court
or adjudicative body, when: (a) the FCC or any component thereof; or
(b) any employee of the FCC in his or her official capacity; or (c) any
employee of the FCC in his or her individual capacity; or (d) the
United States Government, is a party to litigation or has an interest
in such litigation, and by careful review, the FCC determines that the
records are both relevant and necessary to the litigation, and that the
use of such records is for a purpose that is compatible with the
purpose for which the agency collected the records.
5. Disclosure to Contractors and Consultants--OIG may disclose a
record from this system to the employees of any entity or individual
with whom the FCC contracts for the purpose of performing any functions
or analyses that facilitate or are relevant to an OIG investigation,
audit, inspection, or other inquiry. Before entering into such a
contract, the OIG shall require the contractor to maintain Privacy Act
safeguards, including as required under the Federal Acquisition
Regulations (FAR) Privacy Act provisions (subparts 24.1 and 24.2) and
include the specified contract clauses (parts 52.224-1 and 52.224-2),
as appropriate, to ensure that personal information by contractors who
work on FCC-owned systems of records and the system data are protected
as mandated.
6. Debarment and Suspension Disclosure--The OIG may disclose
information from this system to the FCC or another Federal agency
considering suspension or debarment action if the information is
relevant to the suspension or debarment action. The OIG also may
disclose information to the FCC or another agency to gain information
in support of the FCC's own debarment and suspension actions.
7. Government-Wide Program Management and Oversight--The OIG may
disclose a record from this system to the Department of Justice (DOJ)
to obtain that department's advice regarding disclosure obligations
under the Freedom of Information Act (FOIA); or the OMB to obtain that
office's advice regarding obligations under the Privacy Act.
8. Prevention of Fraud, Waste, and Abuse Disclosure--The OIG may
disclose a record from this system to Federal agencies, non-Federal
entities, their employees, and agents (including contractors, their
agents or employees; employees or contractors of the agents or
designated agents); or contractors, their employees or agents with whom
the FCC has a contract, service agreement, cooperative agreement, or
computer matching agreement for the purpose of: (1) detection,
prevention, and recovery of improper payments; (2) detection and
prevention of fraud, waste, and abuse in Federal programs administered
by a Federal agency or non-Federal entity; (3) detection of fraud,
waste, and abuse by individuals in their operations and programs, but
only to the extent that the information shared is necessary and
relevant to verify pre-award and prepayment requirements prior to the
release of Federal funds, prevent and recover improper payments for
services rendered under programs of the FCC or of those Federal
agencies and non-Federal entities to which the FCC provides information
under this routine use.
9. Disclosure to CIGIE--The OIG may disclose a record from this
system to members and employees of CIGIE for the preparation of reports
to the President and Congress on the activities of the Inspectors
General.
10. Disclosure for Qualitative Assessment Reviews--The OIG may
disclose a record from this system to members of CIGIE, the DOJ, the
U.S. Marshals Service, or any Federal agency for the purpose of
conducting qualitative assessment reviews of the investigative
operations of the OIG to ensure that adequate internal safeguards and
management procedures are maintained.
11. Breach Notification--To appropriate agencies, entities, and
persons when: (a) the Commission suspects or has confirmed that there
has been a breach of PII maintained in the system of records; (b) the
Commission has determined that as a result of the suspected or
confirmed compromise there is a risk of harm to individuals, the
Commission (including its information systems, programs, and
operations), the Federal Government, or national security; and (c) the
disclosure made to such agencies, entities, and persons is reasonably
necessary to assist in connection with the Commission's efforts to
respond to the suspected or confirmed breach or to prevent, minimize,
or remedy such harm.
12. Assistance to Federal Agencies and Entities Related to
Breaches--To another Federal agency or Federal entity, when the
Commission determines that information from this system is reasonably
necessary to assist the recipient agency or entity in: (a) responding
to a suspected or confirmed breach or (b) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, program, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
13. Non-Federal Personnel--To disclose information to non-Federal
personnel, including contractors, grantees, and volunteers who have
been engaged to assist the FCC 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 their activity.
14. To provide information to a Congressional member's office from
the record of an individual in response to an inquiry from that
Congressional office made at the request of that individual.
15. To Congress, congressional committees, or the staffs thereof
once an FCC-OIG report or management alert has become final and the IG
determines that its disclosure is necessary to fulfill the IG's
responsibilities under the IG Act of 1978, as amended.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Information in this system consists of paper records, documents,
and files in file folders and electronic records, files, and data that
are stored in the OIG databases that are part of the FCC's computer
network. Electronic records may also be contained in databases that are
not part of FCC's computer network, and also are stored in removable
drives, computers, and other electronic databases.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records in this system of records can be retrieved by any category
field, e.g., first name or email address, or by a unique file number
assigned to each matter.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The information in this system is maintained and disposed of in
accordance with the National Archives and Records Administration (NARA)
Records Schedule: Office of Inspector General (OIG)--Investigative
Files, N1-173-07-002, Item 1.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The paper, diskette, and records contained in other media are
password protected or kept in locked storage that is further secured at
the end of each business day. Limited access to these records is
permitted by those persons whose official duties require such
[[Page 41401]]
access; thus, unauthorized examination during business hours would be
easily detected.
The electronic records, files, and data are maintained in the FCC
computer network databases. Access to the electronic files is
restricted to authorized OIG supervisors and staff. Authorized OIG
staff and OIG contractors and authorized staff and contractors in the
FCC's Information Technology Center (ITC) have access to the electronic
files on an ``as needed'' basis. Backup media are stored on-site and at
a secured, off-site location. The FCC's computer network databases are
protected by the FCC's security protocols, which include controlled
access, passwords, and other security features to prevent unauthorized
users from gaining access to the data and system resources. This
comprehensive and dynamic set of IT safety and security protocols and
features is designed to meet all Federal privacy standards, including
those required by the Federal Information Security Modernization Act of
2014 (FISMA), OMB, and the National Institute of Standards and
Technology (NIST).
RECORD ACCESS PROCEDURES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from disclosing its record access procedures for this system of
records, 47 CFR 0.561.
CONTESTING RECORD PROCEDURES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from disclosing its contesting record procedures for this system
of records, 47 CFR 0.561.
NOTIFICATION PROCEDURES:
Under the authority granted to heads of agencies by 5 U.S.C.
552a(j)-(k), the FCC has determined that this system of records is
exempt from the notification procedure for this system of records. 47
CFR 0.561.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to subsection 0.561 of the Commission's rules, 47 CFR
0.561, this system of records is exempt from Sec. Sec. (c)(3), (c)(4),
(d), (e)(1) through(3), (e)(4)(G) through(I), (e)(5), (e)(8), (f), and
(g) of the Privacy Act and from 47 CFR 0.554-0.557 of the Commission's
rules. These provisions concern individuals' rights to access and amend
information about themselves, and an agency's duties to provide notice
about how individuals can access information about themselves. The
system is exempt from these provisions because it contains the types of
materials described in subsections (j)(2) and (k)(1)-(2) of the Privacy
Act.
HISTORY:
The FCC created this system of records (OIG-3) in 2011 by combining
into a single system of records the OIG's criminal and civil
investigative files, 76 FR 53454 (Aug. 26, 2011).
Federal Communications Commission.
Marlene Dortch,
Secretary.
[FR Doc. 2023-13512 Filed 6-23-23; 8:45 am]
BILLING CODE 6712-01-P