[Federal Register Volume 75, Number 125 (Wednesday, June 30, 2010)]
[Notices]
[Pages 37842-37856]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-15872]
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PENSION BENEFIT GUARANTY CORPORATION
Privacy Act of 1974; Systems of Records
AGENCY: Pension Benefit Guaranty Corporation.
ACTION: Notice of changes to systems of records and addition of routine
use.
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SUMMARY: The Pension Benefit Guaranty Corporation (PBGC) is proposing a
new routine use applicable to all of its existing systems of records
maintained pursuant to the Privacy Act of 1974, as amended (5 U.S.C.
552a), adding a new routine use to an existing system of records, and
is amending its systems of records to make technical and clarifying
changes.
DATES: Comments on the proposed routine uses must be received on or
before July 30, 2010. The routine uses and amendments to PBGC's system
of
[[Page 37843]]
records will become effective August 9, 2010, without further notice,
unless comments results in a contrary determination and a notice is
published to that effect.
ADDRESSES: You may submit written comments to PBGC by any of the
following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the Web site instructions for submitting comments.
E-mail: [email protected].
Fax: 202-326-4224.
Mail or Hand Delivery: Legislative and Regulatory
Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Comments received, including personal information provided, will be
posted to http://www.pbgc.gov. Copies of comments may also be obtained
by writing to Disclosure Division, Office of General Counsel, Pension
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026, or calling 202-326-4040 during normal business hours. (TTY and
TDD users may call the Federal relay service toll-free at 1-800-877-
8339 and ask to be connected to 202-326-4040.)
FOR FURTHER INFORMATION CONTACT: Margaret E. Drake, Attorney, Pension
Benefit Guaranty Corporation, Office of the General Counsel, 1200 K
Street, NW., Washington, DC 20005-4026, 202-326-4400, extension 3228
(TTY and TDD users may call the Federal relay service toll-free at 1-
800-877-8339 and ask to be connected to 202-326-4400). For access to
any of the PBGC's systems of records, contact E. William FitzGerald,
Disclosure Officer, Office of the General Counsel, Disclosure Division,
at the above address, 202-326-4040. (These are not toll-free numbers.)
SUPPLEMENTARY INFORMATION: PBGC is proposing to alter each of its
systems of records maintained pursuant to the Privacy Act of 1974, as
amended, by establishing a new general routine use and adding a new
routine use to an existing system of records, PBGC-6, Plan Participant
and Beneficiary Data-PBGC (last updated at 68 FR 12389 (March 14,
2003)). PBGC is also amending its systems of records to make technical
and clarifying changes after undertaking a periodic review of those
systems as required under Appendix 1 to the Office of Management and
Budget (OMB) Circular A-130, Management of Federal Information
Resources (Nov. 28, 2000). The systems of records being amended are:
PBGC-1, Correspondence Between the PBGC and Persons Outside of the
PBGC--PBGC (last published at 60 FR 57464 (Nov. 15, 1995), PBGC-2,
Disbursements--PBGC (last published at 60 FR 57464 (Nov. 15, 1995),
PBGC-3, Employee Payroll, Leave and Attendance Records--PBGC (last
updated at 61 FR 18184 (April 24, 1996)), PBGC-4, Employee Travel
Records--PBGC (last published at 60 FR 57465 (Nov. 15, 1995)), PBGC-5,
Personnel Files--PBGC, (last published at 60 FR 57466 (Nov. 15, 1995)),
PBGC-6, Plan Participant and Beneficiary Data--PBGC (last updated at 68
FR 12389 (March 14, 2003)), PBGC-8, Employee Relations Files--PBGC
(last published at 60 FR 57467 (Nov. 15, 1995)), PBGC-9, Plan
Participant and Beneficiary Address Identification File--PBGC (last
published at 60 FR 57468 (Nov. 15, 1995)), PBGC-10, Administrative
Appeals File--PBGC (last published at 60 FR 57469 (Nov. 15, 1995)),
PBGC-11, Call Detail Records--PBGC (last published at 60 FR 57469 (Nov.
15, 1995)), PBGC-12, Security Investigation Records--PBGC (last updated
at 66 FR 17587 (April 2, 2001)), PBGC-13, Debt Collection--PBGC (last
updated at 65 FR 25398 (May 1, 2000)), PBGC-14, My Plan Administration
Account Authentication Records--PBGC (last published at 68 FR 74656
(Dec. 24, 2003)), PBGC-15, Emergency Notification Records--PBGC (last
published at 70 FR 30497 (May 26, 2005)), PBGC-16, Employee Online
Directory--PBGC (last published at 73 FR 51024 (Aug. 29, 2008)), and
PBGC-17, Office of Inspector General Investigative File System--PBGC
(last published at 74 FR 14168 (March 30, 2009)).
General Routine Uses
PBGC is proposing to amend its Prefatory Statement of General
Routine Uses by establishing a new general routine use that will apply
to all its systems of records. PBGC's Prefatory Statement of General
Routine Uses was last published at 60 FR 57462, 57563-57564 (Nov. 15,
1995).
Proposed routine use G9 will permit PBGC to respond effectively to
a suspected or confirmed data breach by allowing for the disclosure of
information to those individuals affected by the breach, as well as to
others who are in a position to assist in PBGC's response efforts,
either by a role in preventing, minimizing or remedying harms from the
breach. PBGC is proposing to establish the routine use to comply with
the guidance issued by OMB in memorandum M-07-16, Safeguarding Against
and Responding to the Breach of Personally Identifiable Information
(May 22, 2007), and the President's Identity Theft Task Force's
Strategic Plan (April 11, 2007), published at http://www.identitytheft.gov/reports/StrategicPlan.pdf.
The Privacy Act authorizes PBGC to adopt routine uses that are
consistent with the purpose for which information is collected. 5
U.S.C. 552a(a)(7) and (b)(3). OMB, in its initial Privacy Act guidance,
also recognized routine uses that are necessary and proper for the
efficient conduct of the government and in the best interest of both
the individual and the public. 40 FR 28948, 28953 (July 9, 1975). A
routine use to provide for disclosure in connection with response and
remedial efforts in the event of a breach of federal data would qualify
as a necessary and proper use of information. Proposed routine use G9
will apply to all systems of records.
Revising Routine Uses in PBGC System of Records PBGC-3 and PBGC-6
PBGC-3
For PBGC-3, PBGC is deleting a routine use for disclosure to the
Department of Labor that is no longer necessary.
PBGC-6
PBGC is proposing to revise routine use 9 under its system of
records entitled PBGC-6, Plan Participant and Beneficiary Data--PBGC
that was last revised at 68 FR 12389, 12390 (Mar. 14, 2003). The
revised routine use will permit PBGC to periodically disclose the names
and addresses of participants and beneficiaries to licensees of the
United States Postal Service (USPS) to update the address records from
change-of-address information submitted to USPS by customers who are
relocating. The existing routine use limits disclosure of names and
addresses to USPS licensees when ``mail sent to the individual at the
last known address is returned as undeliverable.''
This revision is necessary because of a change in USPS mailing
standards that require bulk mailers such as PBGC to update addresses
within 95 days before any mailing from change-of-address information
submitted to USPS. See 39 CFR 111.1 (2009), incorporating by reference
the Mailing Standards of the United States Postal Service, Domestic
Mail Manual (DMM) Sec. 443.3.9.1, at http://pe.usps.com/text/dmm300/443.htm. To meet the revised mailing standard, PBGC will use the
National Change of Address Linkage System (NCOA \Link\) offered through
licensees of the USPS. NCOA \Link\ is a USPS-
[[Page 37844]]
approved method for updating addresses. See DMM Sec. 443.3.9.2.
To protect the privacy of individuals, disclosure of PBGC records
under the routine use will be made under a contract that subjects
licensees of the Postal Service and its employees to criminal penalties
under the Privacy Act. The contract will provide that the records
disclosed by PBGC will be used exclusively for updating addresses under
NCOA \Link\ and must be returned to PBGC or destroyed when the process
is completed. The records will be exchanged electronically in an
encrypted format.
Technical and Clarifying Amendments
In addition to establishing new general routine use G9, PBGC is
amending PBGC-1, Correspondence Between the PBGC and Persons Outside of
the PBGC--PBGC, PBGC-2, Disbursements--PBGC, PBGC-3, Employee Payroll,
Leave and Attendance Records--PBGC, PBGC-4, Employee Travel Records--
PBGC, PBGC-5, Personnel Files--PBGC, PBGC-6, Plan Participant and
Beneficiary Data--PBGC, PBGC-8, Employee Relations Files--PBGC, PBGC-9,
Plan Participant and Beneficiary Address Identification File--PBGC,
PBGC-10, Administrative Appeals File--PBGC, PBGC-11, Call Detail
Records--PBGC, PBGC-12, Security Investigation Records--PBGC, PBGC-13,
Debt Collection--PBGC, PBGC-14, My Plan Administration Account
Authentication Records--PBGC, PBGC-15, Emergency Notification Records--
PBGC, PBGC-16, Employee Online Directory--PBGC, and PBGC-17, Office of
Inspector General Investigative File System--PBGC, to correct and
update the categories of individuals covered by the system, categories
of records in the system, purposes, storage, retrievability,
safeguards, retention and disposal, records in the system, and record
source categories. The amendments clarify the nature and purposes of
the systems of records and reflect changes that have occurred since
they were last published.
For the convenience of the public, PBGC's Prefatory Statement of
General Routine Uses with proposed general routine use G9 and the
amended systems of records are published in full below with changes
italicized.
Issued in Washington, DC, this 24 day of June 2010.
Vincent Snowbarger,
Acting Director, Pension Benefit Guaranty Corporation.
Prefatory Statement of General Routine Uses
The following routine uses are incorporated by reference into
various systems of records, as set forth below.
G1. Routine Use--Law Enforcement: In the event that a system of
records maintained by PBGC to carry out its functions indicates a
violation or potential violation of law, whether criminal, civil, or
regulatory in nature, and whether arising by general statute or
particular program pursuant thereto, the relevant records in the system
of records may be disclosed to the appropriate agency, whether federal,
state, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation, or order issued
pursuant thereto.
G2. Routine Use--Disclosure When Requesting Information: A record
from this system of records may be disclosed to a federal, state, or
local agency or to another public or private source maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, if and to the extent necessary to obtain information
relevant to a PBGC decision concerning the hiring or retention of an
employee, the retention of a security clearance, or the letting of a
contract.
G3. Routine Use--Disclosure of Existence of Record Information:
With the approval of the Director, Human Resources Department (or his
or her designee), the fact that this system of records includes
information relevant to a federal agency's decision in connection with
the hiring or retention of an employee, the retention of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit may be disclosed to that federal agency.
G4. Routine Use--Disclosure in Litigation: A record from this
system of records may be disclosed in a proceeding before a court or
other adjudicative body in which PBGC, an employee of the PBGC in his
or her official capacity, or an employee of PBGC in his or her
individual capacity if the PBGC (or the Department of Justice (DOJ))
has agreed to represent him or her is a party, or the United States or
any other federal agency is a party and the PBGC determines that it has
an interest in the proceeding, if the PBGC determines that the record
is relevant to the proceeding and that the use is compatible with the
purpose for which PBGC collected the information.
G5. Routine Use--Disclosure to the Department of Justice in
Litigation: When PBGC, an employee of PBGC in his or her official
capacity, or an employee of PBGC in his or her individual capacity whom
PBGC has agreed to represent is a party to a proceeding before a court
or other adjudicative body, or the United States or any other federal
agency is a party and PBGC determines that it has an interest in the
proceeding, a record from this system of records may be disclosed to
the DOJ if PBGC is consulting with the DOJ regarding the proceeding or
has decided that the DOJ will represent PBGC, or its interest, in the
proceeding and PBGC determines that the record is relevant to the
proceeding and that the use is compatible with the purpose for which
PBGC collected the information.
G6. Routine Use--Disclosure to OMB: A record from this system of
records may be disclosed to the OMB in connection with the review of
private relief legislation as set forth in OMB Circular No. A-19 at any
stage of the legislative coordination and clearance process as set
forth in that Circular.
G7. Routine Use--Congressional Inquiries: A record from this system
of records may be disclosed to a congressional office from the record
of an individual in response to an inquiry from the congressional
office made at the request of the individual.
G8. Routine Use--Disclosure to Labor Organizations: A record from
this system of records may be disclosed to an official of a labor
organization recognized under 5 U.S.C. Chapter 71 when necessary for
the labor organization to perform properly its duties as the collective
bargaining representative of PBGC employees in the bargaining unit.
G9. Routine Use--Disclosure in Response to a Federal Data Breach. A
record from this system of records may be disclosed to appropriate
agencies, entities, and persons when (1) PBGC suspects or has confirmed
that the security or confidentiality of information in the system of
records has been compromised; (2) PBGC has determined that as a result
of the suspected or confirmed compromise there is a risk of harm to
economic or property interests, identity theft or fraud, or harm to the
security or integrity of this system or other systems or programs
(whether maintained by PBGC or another agency or entity) that rely upon
the compromised information; and (3) the disclosure made to such
agencies, entities, and
[[Page 37845]]
persons is reasonably necessary to assist in connection with PBGC's
efforts to respond to the suspected or confirmed compromise and
prevent, minimize, or remedy such harm.
PBGC-1
System name:
Correspondence Between PBGC and Persons Outside the PBGC--PBGC.
System classification:
Not Applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Individuals who have corresponded with PBGC and with components of
PBGC and individuals who have received replies in response to their
correspondence with PBGC.
Categories of records in the system:
Correspondence containing the name and address of the correspondent
and other information regarding various aspects of PBGC and Title IV of
the Employee Retirement Income Security Act of 1974, as amended.
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained for programmatic and
regulatory purposes (including use in adjudicatory proceedings).
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
General Routine Uses G1 through G7, and G9 (see Prefatory Statement
of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
electronic form.
Retrievability:
Records are indexed by name of correspondent or plan.
Safeguards:
Paper records are kept in file folders in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
General requests for information that do not involve administrative
action, policy decisions, or special research are destroyed 1 year
after reply. Correspondence with members of Congress is destroyed 1
year after the end of the fiscal year in which it is received or sent.
System manager(s) and address:
Correspondence is kept by the director of the department to which
the correspondence was addressed or the director of the department who
replied. These department directors are: General Counsel, Office of the
General Counsel; Inspector General, Office of Inspector General; Chief
Counsel, Office of Chief Counsel; Director, Policy and Research
Department; Director, Communications and Public Affairs Department;
Director, Financial Operations Department; Director, Budget and
Organizational Performance Department; Director, Procurement
Department; Director, Contract and Controls Review Department; Chief
Information Officer, Office of Information Technology; Director,
Department of Insurance Supervision and Compliance; Director,
Facilities and Services Department; Director, Human Resources
Department; Director, Benefits Administration and Payment Department.
Correspondence addressed to or replied to by the Office of the Director
is kept by the Deputy Director and Chief Operating Officer. PBGC's
address is: 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Individuals writing to PBGC and PBGC's responses.
Exemptions claimed for the system:
None.
PBGC-2
System name:
Disbursements--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Individuals who are consultants and vendors to PBGC.
Categories of records in the systems:
Payment vouchers, including SF 1082.
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained for use in determining amounts
to be paid and in effecting payments by the Department of the Treasury
to consultants and vendors.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be transmitted to the
United States Department of Treasury to effect payments to consultants
and vendors.
2. General Routine Uses G1 through G7, and G9 (see Prefatory
Statement of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
electronic format, including magnetic tapes or discs.
Retrievability:
Records are indexed by name.
Safeguards:
Records are kept in file cabinets in areas of restricted access
that are locked after office hours. Electronic records are stored on
computer networks and are protected by assigning user identification
numbers to individuals needing access to the records and by passwords
set by authorized users that must be changed periodically.
Retention and disposal:
Records created after June 30, 1975, are destroyed 6 years and 3
months after
[[Page 37846]]
date of voucher. Records may also be maintained on PBGC's network back-
up tapes.
System manager(s) and address:
Director, Financial Operation Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Individuals who are consultants and vendors to PBGC.
Exemptions claimed for the system:
None.
PBGC-3
System name:
Employee Payroll, Leave, and Attendance Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Current and former employees of PBGC.
Categories of records in the system:
Names; addresses; social security numbers and employee numbers;
earnings records; leave status and data; jury duty data; military leave
data; time and attendance records, including number of regular,
overtime, holiday, and compensatory hours worked; co-owner and/or
beneficiary of bonds; marital status and number of dependents; and
notifications of personnel actions. The records listed herein are
included only as pertinent or applicable to the individual employee.
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained to perform functions involving
employee leave, attendance, and payments, including determinations
relating to the amounts to be paid to employees, the distribution of
pay according to employee directions (for savings bonds and allotments,
to financial institutions, and for other authorized purposes), and tax
withholdings and other authorized deductions, and for statistical
purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
United States Department of the Interior to effect payments to
employees.
2. General Routine Uses G1 through G9 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in automated
form, including magnetic tapes or discs.
Retrievability:
Records are indexed by name and/or employee or social security
number.
Safeguards:
Manual records are kept in file cabinets in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Records are maintained for various periods of time, as provided in
National Archives and Records Administration General Records Schedule
2. Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual and the Office of Personnel Management.
Exemptions claimed for the system:
None.
PBGC-4
System name:
Employee Travel Records--PBGC.
System classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Current and former employees of PBGC who have filed travel vouchers
and related documents.
Categories of records in the system:
Travel vouchers and related documents filed by employees of PBGC.
Authority for maintenance of the system:
5 U.S.C. 6701; 29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained to perform functions related
to travel on behalf of PBGC, including determinations involving travel
authorization and arrangements and documentation of travel advances and
reimbursements.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
United States Department of Treasury to effect reimbursement of
employees for travel expenses.
2. General Routine Uses G1 through G9 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
electronic format, including magnetic tapes and discs.
Retrievability:
Records are indexed by name.
[[Page 37847]]
Safeguards:
Records are kept in file cabinets in areas of restricted access
that are locked after office hours. Electronic records are stored on
computer network and protected by assigning user identification numbers
to individuals needing access to the records and by passwords set by
authorized users that must be changed periodically.
Retention and disposal:
Records are maintained for various periods of time, as provided in
National Archives and Records Administration General Records Schedule
9. Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Current and former PBGC employee vouchers.
Exemptions claimed for the system:
None.
PBGC-5
System name:
Personnel Files--PBGC.
System classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees and applicants for employment with PBGC.
Categories of records in the system:
Personnel records that PBGC maintains, including applications and
related information for attorneys maintained by the Office of the
General Counsel. (Records included in the permanent Official Personnel
Folder are maintained as a system of records by the Office of Personnel
Management (OPM/GOVT-1) and are not included in this system of
records.)
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is used in carrying out authorized personnel
functions, including the evaluation of qualifications; determinations
about status, eligibility, and rights and benefits under pertinent laws
and regulations governing federal employment; and computations of
length of service.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
General Routine Uses G1 through G9 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form in file folders and/or in
electronic form, including magnetic tapes and discs.
Retrievability:
Records are indexed by name.
Safeguards:
Access is restricted to agency personnel or contractors whose
responsibilities require access. Paper records are kept in areas of
restricted access that are locked after office hours. Electronic
records are stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Temporary personnel file records are destroyed when superseded or
obsolete, or upon separation or transfer of employee from PBGC.
Applications for employment are destroyed after the receipt of an OPM
inspection report or 2 years after date of application, whichever is
sooner. Applications for training are destroyed 5 years after
completion of a specific training program.
Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Human Resources Department, and Administrative Officer,
Office of the General Counsel, Pension Benefit Guaranty Corporation,
1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individuals, present and past employers, and references
given by any subject individuals.
Exemptions claimed for the system:
None.
PBGC-6
System name:
Plan Participant and Beneficiary Data--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026 and/or field benefit administrator, plan
administrator, and paying agent worksites.
Categories of individuals covered by the system:
Participants and beneficiaries in terminating and terminated
pension plans covered by Title IV of the Employee Retirement Income
Security Act of 1974, as amended (``ERISA'').
Categories of records in the system:
Names, addresses, telephone numbers, sex, social security numbers
and other Social Security Administration information, dates of birth,
dates of hire, salary, marital status, domestic relations orders, time
of plan participation, eligibility status, pay status, benefit data,
health-related information, insurance information where plan benefits
are provided by private insurers, initial and final PBGC determinations
(29 CFR 4003.21 and 4003.59). The records listed herein are included
only as pertinent or applicable to the individual plan participant or
beneficiary.
Authority for maintenance of the system:
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342 and
1350; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained for use in determining whether
[[Page 37848]]
participants and beneficiaries are eligible for benefits under plans
covered by Title IV of ERISA, the amounts of benefits to be paid,
making benefit payments, and collecting benefit overpayments. Names,
addresses, and telephone numbers are used to survey customers to
measure their satisfaction with PBGC's benefit payment services and to
track (for follow up) those who do not respond to surveys.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to third
parties, such as banks, insurance companies, or trustees, to make
benefit payments to plan participants and beneficiaries.
2. A record from this system of records may be disclosed, in
furtherance of proceedings under Title IV of ERISA, to a contributing
sponsor (or other employer who maintained the plan), including any
predecessor or successor, and any member of the same controlled group.
3. A record from this system of records may be disclosed, upon
request for a purpose authorized under Title IV of ERISA, to an
official of a labor organization recognized as the collective
bargaining representative of the individual about whom a request is
made.
4. Names, addresses, and telephone numbers of participants and
beneficiaries and information pertaining to debts owed by such
participants and beneficiaries to PBGC may be disclosed to a debt
collection agency or firm to collect a claim. Disclosure shall be made
only under a contract that binds any such contractor or employee of
such contractor to the criminal penalties of the Privacy Act. The
information so disclosed shall be used exclusively pursuant to the
terms and conditions of such contract and shall be used solely for the
purposes prescribed therein. The contract shall provide that the
information so disclosed shall be returned at the conclusion of the
debt collection effort.
5. The name and social security number of a participant employed or
formerly employed as a pilot by a commercial airline may be disclosed
to the Federal Aviation Administration (FAA) to obtain information
relevant to the participant's eligibility or continued eligibility for
disability benefits.
6. Names and social security numbers of plan participants and
beneficiaries may be disclosed to the Internal Revenue Service (IRS) to
obtain current addresses from tax return information and to the Social
Security Administration (SSA) to obtain current addresses. Such
information will be disclosed only if PBGC has no address for an
individual or if mail sent to the individual at the last known address
is returned as undeliverable.
7. Names and last known addresses may be disclosed to an official
of a labor organization recognized as the collective bargaining
representative of participants for posting in union halls or for other
means of publication to obtain current addresses of participants and
beneficiaries. Such information will be disclosed only if PBGC has no
address for an individual or if mail sent to the individual at the last
known address is returned as undeliverable.
8. Names, social security numbers, last known addresses, and dates
of birth and death may be disclosed to private firms and agencies that
provide locator services, including credit reporting agencies and debt
collection firms or agencies, to locate participants and beneficiaries.
Such information will be disclosed only if PBGC has no address for an
individual or if mail sent to the individual at the last known address
is returned as undeliverable. Disclosure shall be made only under a
contract that subjects the firm or agency providing the service and its
employees to the criminal penalties of the Privacy Act. The information
so disclosed shall be used exclusively pursuant to the terms and
conditions of such contract and shall be used solely for the purposes
prescribed therein. The contract shall provide that the information so
disclosed shall be returned at the conclusion of the locating effort.
9. Names and addresses may be disclosed to licensees of the United
States Postal Service (USPS) to obtain current addresses under the
USPS's National Change of Address Linkage System (NCOA \Link\).
Disclosure shall be made only under a contract that binds the licensee
of the Postal Service and its employees to the criminal penalties of
the Privacy Act. The contract shall provide that the records disclosed
by PBGC shall be used exclusively for updating addresses under NCOA
\Link\ and must be returned to PBGC or destroyed when the process is
completed. The records will be exchanged electronically in an encrypted
format.
10. Names and last known addresses may be disclosed to other
participants in, and beneficiaries under, a pension plan to obtain the
current addresses of individuals. Such information will be disclosed
only if PBGC has no address for an individual or if mail sent to the
individual at the last known address is returned as undeliverable.
11. Names and last known addresses of participants and
beneficiaries, and the names and addresses of participants' former
employers, may be disclosed to the public to obtain current addresses
of the individuals. Such information will be disclosed to the public
only if PBGC is unable to make benefit payments to the participants and
beneficiaries because the address it has does not appear to be current
or correct.
12. The name of a participant's pension plan, the actual or
estimated amount of a participant's benefit under Title IV of ERISA,
the form(s) in which the benefit is payable, and whether the
participant is currently receiving benefit payments under the plan or
(if not) the earliest date(s) such payments could commence may be
disclosed to the participant's spouse, former spouse, child, or other
dependent solely to obtain a qualified domestic relations order under
29 U.S.C. 1056(d) and 26 U.S.C. 414(p). PBGC will disclose the
information only upon the receipt of a notarized, written request by a
prospective alternate payee that describes the requester's relationship
to the participant and states that the information will be used solely
to obtain a qualified domestic relations order under state domestic
relations law. PBGC will notify the participant of any information
disclosed to a prospective alternate payee under this routine use. Any
person who knowingly and willfully requests or obtains any record
concerning an individual under false pretenses is subject to a criminal
penalty under 5 U.S.C. 552a(i)(3).
13. Information from a participant's initial determination under 29
CFR 4003.1(b) (excluding the participant's address, telephone number,
social security number, and any sensitive medical information) may be
disclosed to a participant's spouse, former spouse, child, or other
dependent who is an alternate payee under a qualified domestic
relations order issued pursuant to 29 U.S.C. 1056(d) and 26 U.S.C.
414(p) to explain how PBGC determined the benefit due the alternate
payee so that the alternate payee can pursue an administrative appeal
of the benefit determination under 29 CFR 4003.51. PBGC will notify the
participant of the information disclosed to an alternate payee under
this routine use.
14. The names, addresses, social security numbers, and dates of
birth of eligible PBGC pension recipients may be disclosed to the
Department of Treasury and the Department of Labor to implement the
income tax credit for
[[Page 37849]]
health insurance costs under 26 U.S.C. 35 and the program for advance
payment of the tax credit under 26 U.S.C. 7527.
15. The names, addresses, social security numbers, and dates of
birth of eligible PBGC pension recipients residing in a particular
state may be disclosed to the state's workforce agency if the agency
received a National Emergency Grant from the Department of Labor under
the Workforce Investment Act of 1988 to provide health insurance
coverage assistance and support services for state residents under 29
U.S.C. 2918(a) and (f).
16. General Routine Uses G1 and G4 through G7, and G9 (see
Prefatory Statement of General Routine Uses) apply to this system of
records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper and electronic form.
Retrievability:
Records are indexed by plan and participant and/or beneficiary
name. Customer satisfaction survey responses are aggregated for
statistical purposes after they have been received by PBGC and are not
retrievable by a participant or beneficiary's name or other assigned
identifier.
Safeguards:
Paper records are kept in file folders in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Records for plan participants are transferred to the Washington
National Federal Records Center 6 months after either the final payment
to a participant and/or beneficiary or PBGC's final determination that
a participant or beneficiary is not entitled to any benefits and are
destroyed 7 years after such payment or determination.
Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Benefit Administration and Payments Department, Pension
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026.
Notification procedure:
Procedures are detailed in PBGC's regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting records procedure:
Same as notification procedure.
PBGC-8
System name:
Employee Relations Files 8-PBGC.
System classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Current and former PBGC employees with respect to whom PBGC has
initiated a reduction-in-force or a disciplinary or performance-based
action and PBGC employees who have initiated grievances under an
administrative grievance procedure or under an applicable collective
bargaining agreement.
Categories of records in the system:
Notices of reductions-in-force or disciplinary or performance-based
actions and employees' replies to such notices, employees' notices of
grievance and appeal, investigative reports, records of proceedings,
appeal decisions, and related information. (Records of actions proposed
or taken in accordance with 5 CFR Part 315 (Subpart H or I) or Part 752
are maintained as a system of records by the Office of Personnel
Management (OPM) (OPM/GOVT-3) and are not included in this system of
records.)
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained for use in decision-making
involving grievances and appeals by PBGC employees regarding
compensation, benefits, or other terms and conditions of employment,
including terms and conditions of employment under an applicable
collective bargaining agreement, and reductions-in-force and certain
disciplinary and performance-based actions involving PBGC employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to OPM,
the Merit Systems Protection Board, the Federal Labor Relations
Authority, or the Equal Employment Opportunity Commission to carry out
its authorized functions (under 5 U.S.C. 1103, 1204, 7105, and 42
U.S.C. 2000e-4, in that order).
2. General Routine Uses G1 through G9 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper form in file folders and/or in
electronic form, including magnetic tapes or discs.
Retrievability:
Records are indexed by employee name.
Safeguards:
Access is restricted to agency personnel or contractors whose
responsibilities require access. Paper records are kept in areas of
restricted access that are locked after office hours. Electronic
records are stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Registers and related records used to effect reduction-in-force
actions are maintained as provided in the National Archives and Record
Administration General Records Schedule 1. Records relating to
grievances raised by employees, except Equal Employment Opportunity
complaints, are maintained for 7 years after the close of the matter as
provided in the National Archives and Record Administration General
Records Schedule 1 and PBGC Schedule 1.2. Records related to
disciplinary or performance based actions are maintained for 7 years as
provided in the National Archives and Record Administration General
Records Schedule 1 and PBGC Schedule 1.2.
Records are also maintained on PBGC's network back-up tapes.
[[Page 37850]]
System manager(s) and address:
Director, Human Resources Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Records in this system of records are provided by an affected
employee, the employee's supervisors, other PBGC employees, and from
investigations and interviews.
Exemptions claimed for the system:
None.
PBGC-9
System name:
Plan Participant and Beneficiary Address Identification File--PBGC.
System classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Certain participants and beneficiaries in terminating and
terminated pension plans covered by Title IV of the Employee Retirement
Income Security Act of 1974, as amended.
Categories of records in the system:
Names, social security numbers, addresses, and names of pension
plans.
Authority for maintenance of the system:
26 U.S.C. 6103 and 26 CFR 301.6103(l)(2)-3; 29 U.S.C. 1055,
1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342, and 1350; 44 U.S.C.
3101.
Purpose(s):
This system of records is maintained to locate participants and
beneficiaries under pension plans covered by Title IV of ERISA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed only to a
person to whom disclosure is permitted by 26 U.S.C. 6103 and 26 CFR
301.6103(i)-1.
2. General Routine Uses G1 and G4 through G7, and G9 (see Prefatory
Statement of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
electronic form, including magnetic tapes or discs.
Retrievability:
Records are indexed by participant or beneficiary name and social
security number.
Safeguards:
Records are kept in locked file cabinets in areas of restricted
access under procedures that meet IRS safeguarding standards.
Electronic records are stored on computer networks and protected by
assigning user identification numbers to individuals needing access to
the records and by passwords set by authorized users that must be
changed periodically.
Retention and disposal:
Records of a participant or beneficiary who verifies the address
are transferred to PBGC-6. All other records are retained for 2 years
from the date the request was sent to the IRS and then are sent to the
IRS for disposal or are destroyed.
System manager(s) and address:
Director, Benefits Administration and Payments Department, Pension
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
PBGC-6 and the IRS.
Exemptions claimed for the system:
None.
PBGC-10
System name:
Administrative Appeals File--PBGC.
System classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Participants and beneficiaries in terminated pension plans covered
by Title IV of the Employee Retirement Income Security Act of 1974, as
amended, who have filed administrative appeals with PBGC's Appeals
Board pursuant to 29 CFR 4003.1(b)(6), (7), (8), or (10), Rules for
Administrative Review of Agency Decisions.
Categories of records in the system:
Names of pension plans, names of participants, beneficiaries, and
alternate payees, and personal information such as addresses, social
security numbers, sex, dates of birth, dates of hire, salary, marital
status (including domestic relations orders), medical records, dates of
commencement of plan participation or employment, statements regarding
employment, dates of termination of plan participation or retirement,
benefit payment data, pay status, Social Security Administration
(``SSA'') information, insurance claims and awards, workman's
compensation awards, calculations of benefit amounts, calculations of
amounts subject to recapture, correspondence and other information
relating to appeals, and initial and final PBGC determinations (29
CFR4003.22 and 4003.59). The records listed herein are included only as
pertinent or applicable to the individual participant, beneficiary,
and/or alternate payee.
Authority for maintenance of the system:
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342,
1345, and 1350.
Purpose(s):
This system of records is maintained for use in appeals of matters
specified in 29 CFR 4003.1(b)(6), (7), (8), and (10) and in subsequent
agency actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. General Routine Uses G1, G4, G5, G6, G7, and G8 apply to this
system of records.
2. A record from this system of records may be disclosed to third
parties who may be aggrieved by the decision of the Appeals Board under
29 CFR 4003.57, including disclosure to the contributing sponsor (or
other employer who maintained the plan) including any predecessor or
successor, and any member of the same controlled group.
[[Page 37851]]
3. A record from this system of records may be disclosed, upon
request, to an attorney representative or a non-attorney representative
who has a power of attorney for the subject individual, under 29 CFR
4003.6.
4. A record from this system of records may be disclosed to third
parties, such as banks, insurance companies, and trustees, to make
benefit payments to plan participants and beneficiaries.
5. A record from this system of records may be disclosed to third
parties, such as contractors and expert witnesses, to obtain expert
analysis of an issue necessary to resolve an appeal.
6. The name and social security number of a participant may be
disclosed to an official of a labor organization recognized as the
collective bargaining representative of the participant to obtain
information relevant to the resolution of an appeal.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
electronic form.
Retrievability:
Records are indexed by participant or beneficiary name, plan name,
and appeal number or extension request number.
Safeguards:
Paper records are kept in file folders in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Paper records for a closed appeal file are retained for 30 days
after the Appeals Board's final determination. Thereafter, the closed
appeal file is transferred to a records storage facility and destroyed
40 years later.
Electronic records are destroyed or deleted 135 years after a
determination that all participants have been paid.
System manager(s) and address:
Manager of the Appeals Division, Office of the General Counsel,
Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington,
DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Information in this system of records may be received from the plan
administrator, the contributing sponsor (or other employer who
maintained the plan), including any predecessor, successor, or member
of the same controlled group, the labor organization recognized as the
collective bargaining representative of a participant, the SSA, a third
party affected by the decision, and the participant or beneficiary.
Exemptions claimed for the system:
None.
PBGC-11
System name:
Call Detail Records--PBGC.
System classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees, contract employees, and consultants of PBGC, and
officials of a labor organization representing PBGC employees who have
made long distance or other toll calls from PBGC telephones or PBGC-
issued portable electronic devices.
Categories of records in the system:
Records relating to use of PBGC telephones and PBGC-issued portable
electronic devices to place toll calls and receive calls; records
indicating assignment of telephone extension numbers PBGC-issued
portable electronic devices to employees and other covered individuals;
records relating to location of telephone extensions.
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained to control the costs of
operating PBGC's telephone system by, among other things, monitoring
telephone usage by PBGC employees and other covered individuals and
obtaining reimbursement for unauthorized toll calls.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to
contract employees and consultants of PBGC and officials of a labor
organization representing PBGC employees to determine individual
responsibility for telephone calls, but only to the extent that such
disclosures consist of comprehensive lists of called numbers and length
of calls.
2. General Routine Uses G1, G3, G4, G5, G7 through G9 (see
Prefatory Statement of General Routine Uses) apply to this system of
records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and in electronic
form, including magnetic tapes and discs.
Retrievability:
Records are retrieved by name of employee or other covered
individual, telephone extension number, or telephone number called.
Safeguards:
Manual records are kept in areas of restricted access that are
locked after office hours. Electronic records are stored on computer
networks and protected by assigning user identification numbers to
individuals needing access to the records and by passwords set by
authorized users that must be changed periodically.
Retention and disposal:
Records are retained for 2 years and then destroyed.
Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Office of Information Technology, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
[[Page 37852]]
Contesting record procedures:
Same as notification procedure.
Record source categories:
Telephone and PBGC-issued portable electronic device assignment
records; call detail listings; private telephone billing information.
Exemptions claimed for the system:
None.
PBGC-12
System name:
Personnel Security Investigation Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Current and former employees and applicants for employment with
PBGC. Current and former individuals who work, or who are being
considered for work, for PBGC as contractors or as employees of
contractors.
Categories of records in the system:
Investigatory material regarding an individual's character,
conduct, and behavior, including: Records of arrests and convictions
for violations of law; reports of interviews with the subject of the
investigation and with persons such as present and former supervisors,
neighbors, co-workers, associates, and educators who may have
information about the subject of the investigation; reports about the
qualifications of an individual for a specific position; reports of
inquiries to law enforcement agencies, employers, and educational
institutions; reports of action after an Office of Personnel Management
(OPM) or Federal Bureau of Investigation field investigation; and other
information or correspondence relating to or developed from the above.
This system of records is distinct from the OPM's Privacy Act
system of records, OPM/Central-9 (Personnel Investigation Records),
which covers records of personnel security investigations conducted by
the OPM with respect to employees or applicants for employment with
PBGC.
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101; Executive Order 10450; 5 CFR Sec.
5.2(c) and (d); 5 CFR parts 731 and 736; and OMB Circular No. A-130--
Revised, Appendix III, 61 FR 6428.
Purpose(s):
This system of records is maintained to document investigations of
individuals' character, conduct, and behavior. Records are used, in
accordance with Federal personnel regulations, in making determinations
relating to an individual's suitability and fitness for PBGC employment
or work for PBGC as a contractor or as an employee of a contractor,
access to information, and security clearance.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to an
authorized source from which information is requested in the course of
an investigation, to the extent necessary to identify the individual,
inform the source of the nature and purpose of the investigation, or
identify the type of information requested.
2. A record from this system of records may be disclosed to OPM,
the Merit Systems Protection Board, the Federal Labor Relations
Authority, or the Equal Employment Opportunity Commission to carry out
its authorized functions (under 5 U.S.C. 1103, 1204, and 7105, and 42
U.S.C. 2000e-4, in that order).
3. General Routine Uses G1 through G9 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper and electronic form, including
magnetic tapes and discs.
Retrievability:
Records are indexed by name.
Safeguards:
Paper records are kept in file cabinets in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Records are destroyed upon notification of death or not later than
5 years after separation or transfer of employee, or no later than 5
years after contract relationship expires, whichever is applicable.
Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Facilities and Services Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR Part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Information contained in this system of records is obtained from
the following: (a) Applications and other personnel and security forms;
(b) personal interviews with the individual that is the subject of the
investigation and with persons such as employers, references,
neighbors, and associates who may have information about the subject of
the investigation; (c) investigative records and notices of personnel
actions furnished by other federal agencies; (d) sources such as
educational institutions, police departments, credit bureaus, probation
officials, prison officials, and doctors; and (e) public records such
as court filings and publications such as newspapers, magazines, and
periodicals.
Exemptions claimed for the system:
This system of records is exempt from the access and contest and
certain other provisions of the Privacy Act (5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G) through (I), and (f)) to the extent that disclosure
would reveal the identity of a source who furnished information to PBGC
under an express promise of confidentiality or, prior to September 27,
1975, under an implied promise of confidentiality (5 U.S.C.
552a(k)(5)).
PBGC-13
System name:
Debt Collection--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026 and/or field benefit administrator, plan
administrator, and paying agent worksites.
[[Page 37853]]
Categories of individuals covered by the system:
Anyone who may owe a debt to PBGC, including but not limited to:
Employees and former employees of PBGC; individuals who are consultants
and vendors to PBGC; participants and beneficiaries in terminating and
terminated pension plans covered by Title IV of the Employee Retirement
Income Security Act of 1974, as amended (ERISA), and individuals who
received benefit payments to which they are not entitled.
Categories of records in the system:
Names; addresses; social security numbers; taxpayer identification
numbers; employee number; travel vouchers and related documents filed
by employees of PBGC; invoices filed by consultants and vendors to
PBGC; records of benefit payments made to participants and
beneficiaries in terminating and terminated pension plans covered by
Title IV of ERISA; and other relevant records relating to the debt
including the amount, status, and history of the debt, and the program
under which the debt arose. The records listed herein are included only
as pertinent or applicable to the individual debtor.
Authority for maintenance of the system:
29 U.S.C. 1302; 31 U.S.C. 3711(e) & (g); 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained for the purpose of collecting
debts owed to PBGC by various individuals, including, but not limited
to, PBGC's employees and former employees, consultants and vendors,
participants and beneficiaries in terminating and terminated pension
plans covered by Title IV of ERISA, and individuals who received
benefit payments to which they are not entitled. This system
facilitates PBGC's compliance with the Debt Collection Improvement Act
of 1996.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
United States Department of Treasury for cross-servicing to effect debt
collection in accordance with 31 U.S.C. 3711(e).
2. General Routine Uses G1 and G4 through G9 (see Prefatory
Statement of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in paper and electronic form, including
magnetic tapes or discs.
Retrievability:
Records are indexed by any one or more of the following: employer
identification number; social security number; plan number; and name of
debtor, plan, plan sponsor, plan administrator, participant or
beneficiary.
Safeguards:
Paper records are kept in file folders in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records and
by passwords set by authorized users that must be changed periodically.
Retention and disposal:
Records relating to the debts of consultants and vendors are
destroyed 6 years and 3 months after the date of the voucher, unless
the transaction is at or below the simplified acquisition threshold, in
which case records are destroyed 3 years after the date of final
payment.
Records relating to debts of PBGC employees and former employees
involving payroll, leave, attendance, and travel are maintained for
various periods of time, as provided in National Archives and Records
Administration General Records Schedules 2 and 9.
Records relating to debts of participants and beneficiaries in
terminating and terminated pension plans covered by Title IV of ERISA
are transferred to the Washington National Federal Records Center 6
months after either the final payment to a participant and/or
beneficiary, or the PBGC's final determination that a participant or
beneficiary is not entitled to any benefits, and are usually destroyed
7 years after such payment or determination.
Records relating to debts of other individuals are maintained until
their disposition is authorized by the National Archives and Records
Administration.
Records are also maintained on PBGC's network back-up tapes.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual, plan administrators, labor organization
officials, firms or agencies providing locator services, and other
Federal agencies.
Exemptions claimed for the system:
None.
PBGC-14
System name:
My Plan Administration Account Authentication Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Individuals who register to use the My PAA application to make PBGC
filings and payments electronically via PBGC's Internet Web site
(http://www.pbgc.gov), including individuals acting for plan sponsors,
plan administrators, and pension practitioners such as enrolled
actuaries and other benefit professionals.
Categories of records in the system:
Records include the user's name, work telephone number, work e-mail
address, other contact information, a temporary, PBGC-issued user ID
and password, a user-selected user ID and password, and a secret
question/secret answer combination for authentication. Records
maintained for each pension plan for which the user intends to
participate in making filings with PBGC include the plan name, employer
identification number (EIN), and plan number (PN); the plan
administrator's name, address, phone number, and e-mail address; other
contact information; and the role that the user will play in the filing
process, e.g., creating and editing filings, signing filings
[[Page 37854]]
electronically as the plan administrator, signing filings
electronically as the enrolled actuary, or authorizing payments to
PBGC.
Authority for maintenance of the system:
29 U.S.C. 1302, 1306, 1307, 1341, and 1343; 44 U.S.C. 3101.
Purpose(s):
This system of records is maintained for use in verifying the
identity of, and authenticating actions taken by, individuals who
register to use the My PAA application to make PBGC filings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
PBGC General Routine Uses G1, G4, G5, G6, G7, and G9 apply to this
system of records (See Prefatory Statement of General Routine Uses).
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in automated form in computer databases
maintained by PBGC.
Retrievability:
Records are indexed by name, user ID and password, and by plan name
and EIN/PN.
Safeguards:
PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's Automated Information
Systems Security Program to protect the security, integrity, and
availability of the information, and to assure that records are not
disclosed to unauthorized individuals.
Retention and disposal:
Records are maintained in accordance with PBGC's established
records disposition schedule for premium-related records.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
An individual may access his or her records via the My PAA
application available on PBGC's Internet Web site (http://www.pbgc.gov), or by following the procedures outlined at 29 CFR part
4902.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual and other registered users.
Exemptions claimed for the system:
None.
PBGC-15
System name:
PBGC-15, Emergency Notification Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
PBGC employees and individuals who work for PBGC as contractors or
as employees of contractors.
Categories of records in the system:
Records include name, title, organizational component, employer,
PBGC and personal telephone numbers, PBGC and personal e-mail
addresses, other contact information, user ID, a temporary, PBGC-issued
password, and a user-selected password.
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101; Executive Order 12656, 53 FR 47491
(1988); Presidential Decision Directive 67 (1998).
Purpose(s):
This system of records is maintained for use in notifying PBGC
employees and individuals who work for PBGC as contractors or employees
of contractors of PBGC's operating status in the event of an emergency,
natural disaster or other event affecting PBGC operations; for
contacting employees or contractors who are out of the office on leave
or after regular duty hours to obtain information necessary for
official business; or to contact friends or family members if an
employee or contractor experiences a medical emergency in the
workplace.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
PBGC General Routine Uses G1, G4, G5, G7, and G9 apply to this
system of records (See Prefatory Statement of General Routine Uses).
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in an electronic database that is available
to authorized PBGC employees and contractors who have been granted
access to PBGC's Intranet Web site. Paper printouts are also maintained
by authorized PBGC personnel in accordance with PBGC's continuity of
operations plan.
Retrievability:
Records are indexed by name, organizational component, or user ID
and password.
Safeguards:
PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's Automated Information
Systems Security Program to protect the security, integrity, and
availability of the information, and to assure that paper and
electronic records are not disclosed to or accessed by unauthorized
individuals.
Retention and disposal:
Records are maintained until they are superseded or obsolete.
System manager(s) and address:
Director, Facilities and Services Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
An employee or contractor may access his or her record with a valid
user-id and password via the electronic notification and messaging
system through PBGC's Intranet Web site, or by following the procedures
outlined at 29 CFR part 4902.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual.
Exemptions claimed for the system:
None.
[[Page 37855]]
PBGC-16
System name:
PBGC-16, Employee Online Directory--PBGC
Security classification:
Not applicable.
System Location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
PBGC employees.
Categories of records in the system:
Employee's name, photograph, organizational component and title,
supervisor's name, PBGC street address, room or workstation number, and
telephone number and extension.
Authority for maintenance of the system:
29 U.S.C. 1302; 44 U.S.C. 3101.
Purpose(s):
This system of records is used by PBGC employees and employees of
PBGC's contractors to identify other PBGC employees by name, face,
organizational component or title, or supervisor, and to access contact
information for PBGC employees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
PBGC General Routine Uses G1 through G9 apply to this system of
records (See Prefatory Statement of General Routine Uses).
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in electronic format in a database that is
available to authorized PBGC employees and employees of PBGC's
contractors who have been granted access to PBGC's Intranet Web site.
Retrievability:
Records are retrieved by name, or organizational component.
Safeguards:
PBGC has adopted appropriate administrative, technical, and
physical controls to protect the security, integrity, and availability
of information maintained in electronic format, and to assure that
records are not disclosed to or accessed by anyone who does not have a
need-to-know to perform official duties.
Retention and disposal:
Records are maintained until the subject leaves PBGC employment.
System manager(s) and address:
Director, Communications and Public Affairs Department, Pension
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedures.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual and PBGC personnel records.
Exemptions claimed for the system:
None.
PBGC-17
System name:
PBGC-17, Office of Inspector General Investigative File System--
PBGC.
Security classification:
Not applicable.
System location:
Office of Inspector General, Pension Benefit Guaranty Corporation,
1200 K Street, NW., Washington, DC 20005-4026; Washington National
Records Center, 4205 Suitland Road, Suitland, MD 20746-8001.
Categories of individuals covered by the system:
1. Persons who are named individuals in investigations conducted by
OIG.
2. Complainants and subjects of complaints collected through the
operation of the OIG Hotline.
3. Other individuals, including witnesses, sources, and members of
the general public, who are named individuals in connection with
investigations conducted by OIG.
Categories of records in the system:
Information within this system relates to OIG investigations
carried out under applicable statutes, regulations, policies, and
procedures. The investigations may relate to criminal, civil, or
administrative matters. These OIG files may contain investigative
reports; copies of financial, contractual, and property management
records maintained by PBGC; background data including arrest records,
statements of informants and witnesses, and laboratory reports of
evidence analysis; search warrants, summonses and subpoenas; and other
information related to investigations. Personal data in the system may
consist of names, Social Security numbers, addresses, fingerprints,
handwriting samples, reports of confidential informants, physical
identifying data, voiceprints, polygraph tests, photographs, and
individual personnel and payroll information.
Authority for maintenance of the system:
5 U.S.C. App. 3.
Purposes:
This system of records is used to maintain information related to
investigations of criminal, civil, or administrative matters.
Routine uses of records maintained in system, including categories of
users and purposes of such uses:
PBGC General Routine Uses G1, G2, G4, G5, G7, and G9 (see Prefatory
Statement of General Routine Uses) apply to this system of records. In
addition:
1. A record relating to a person held in custody pending or during
arraignment, trial, sentence, or extradition proceedings or after
conviction may be disclosed to a federal, state, local, or foreign
prison; probation, parole, or pardon authority; or any other agency or
individual involved with the maintenance, transportation, or release of
such a person.
2. A record relating to a case or matter may be disclosed to an
actual or potential party or his or her attorney for the purpose of
negotiation or discussion on such matters as settlement of the case or
matter, plea bargaining, or informal discovery proceedings.
3. A record may be disclosed to any source, either private or
governmental, when reasonably necessary to elicit information or obtain
the cooperation of a witness or informant when conducting any official
investigation or during a trial or hearing or when preparing for a
trial or hearing.
4. A record relating to a case or matter may be disclosed to a
foreign country, through the United States Department of State or
directly to the representative of such country, under an international
treaty, convention, or executive agreement; or to the extent necessary
to assist such country in apprehending or returning a fugitive to a
jurisdiction that seeks that individual's return.
5. A record originating exclusively within this system of records
may be
[[Page 37856]]
disclosed to other federal offices of inspectors general and councils
comprising officials from other federal offices of inspectors general,
as required by the Inspector General Act of 1978, as amended. The
purpose is to ensure that OIG audit and investigative operations can be
subject to integrity and efficiency peer reviews, and to permit other
offices of inspectors general to investigate and report on allegations
of misconduct by senior OIG officials as directed by a council, the
President, or Congress. Records originating from any other PBGC systems
of records, which may be duplicated in or incorporated into this
system, also may be disclosed with all personally identifiable
information redacted.
6. A record may be disclosed to the Department of the Treasury and
the Department of Justice when the OIG seeks an ex parte court order to
obtain taxpayer information from the Internal Revenue Service.
7. A record may be disclosed to a ``consumer reporting agency,'' as
that term is defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) and the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)), to obtain information in the course of an investigation,
audit, or evaluations.
8. A record may be disclosed to any governmental, professional or
licensing authority when such record reflects on qualifications, either
moral, educational or vocational, of an individual seeking to be
licensed or to maintain a license.
9. A record may be disclosed to any direct or indirect recipient of
federal funds, e.g., a contractor, where such record reflects problems
with the personnel working for a recipient, and disclosure of the
record is made to permit a recipient to take corrective action
beneficial to the government.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information in the records is maintained in a variety of media,
including paper, magnetic tapes or discs, and an automated database.
The records are maintained in limited access areas during all times;
electronic records are maintained in computers and networks that
require multiple individual identifications and passwords.
Records are also maintained on magnetic tapes and back-up hard
drives.
Retrievability:
Records are indexed by name or other personal identifier, subject
category, or assigned case number.
Safeguards:
Paper records, computers, and computer-storage media are located in
controlled-access areas under supervision of program personnel. Access
to these areas is limited to authorized personnel, who must be
identified with a badge. Access to records is limited to individuals
whose official duties require such access. Contractors and licensees
are subject to contract controls and unannounced on-site audits and
inspections. Computers are protected by mechanical locks, card-key
systems, or other physical-access control methods. The use of computer
systems is regulated with installed security software, computer-logon
identifications, and operating-system controls including access
controls, terminal and transaction logging, and file-management
software.
Retention and disposal:
1. Official investigative case files, evidence and custody files,
and informant files are retained up to 11 years after closeout of the
investigation. If significant, the files are transferred to the
National Archives and Records Administration.
2. Information reports, investigative analysis reports, and inquiry
files are retained up to 6 years after closeout of the investigation.
3. Internal administrative reports are retained up to 3 years after
closeout of the investigation.
Records existing on paper are destroyed by burning, pulping, or
shredding. Records existing on computer storage media are destroyed
according to the applicable PBGC media sanitization practice.
System manager(s) and address:
Inspector General, Pension Benefit Guaranty Corporation, 1200 K
Street, NW., Washington, DC 20005-4026.
Notification procedure:
This system is exempt from the notification requirements. However,
consideration will be given to inquiries made in compliance with 29 CFR
4902.3.
Record access procedures:
This system is exempt from the access requirements. However,
consideration will be given to requests made in compliance with 29 CFR
4902.3.
Contesting record procedures:
Exempt. However, consideration will be given requests made in
compliance with 29 CFR 4902.3.
Record source categories:
The information contained in this system may be derived or received
from individual complainants, witnesses, interviews conducted during
investigations, Federal, state and local government records, individual
or company records, claim and payment files, employer medical records,
insurance records, court records, articles from publications, financial
data, bank information, telephone data, insurers, service providers,
other law enforcement organizations, grantees and subgrantees,
contractors and subcontractors, and other sources.
Systems exempted from certain provisions of the act:
Pursuant to 5 U.S.C. 552a(j) and (k), PBGC has established
regulations at 29 CFR 4902.11 that exempt records in this system
depending on their purpose.
[FR Doc. 2010-15872 Filed 6-29-10; 8:45 am]
BILLING CODE 7709-01-P