Privacy Act Issuances
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Table of Contents
Prefatory Statement of General Routine Uses
1. Correspondence Between the PBGC and Persons Outside the PBGC—PBGC.
2. Disbursements—PBGC.
3. Employee Payroll, Leave, and Attendance Records—PBGC.
4. Employee Travel Records—PBGC.
5. Personnel Files—PBGC.
6. Plan Participant and Beneficiary Data—PBGC.
7. [System deleted]
8. Employee Relations Files—PBGC.
9. Plan Participant and Beneficiary Address Identification File—PBGC.
10. Administrative Appeals File—PBGC.
11. Call Detail Records—PBGC.
12. Personnel Security Investigation Records—PBGC.
13. Debt Collection—PBGC.
14. My Plan Administration Account Authentication Records—PBGC.
15. Emergency Notification Records.
Privacy Act Regulations
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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 the 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 the PBGC, an employee of the PBGC in his or her official capacity, or an employee of the 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 the PBGC collected the information.
G5. Routine Use—Disclosure to the Department of Justice in Litigation:When the PBGC, an employee of the PBGC in his or her official capacity, or an employee of the PBGC in his or her individual capacity whom the 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 the PBGC determines that it has an interest in the proceeding, a record from this system of records may be disclosed to the DOJ if the PBGC is consulting with the DOJ regarding the proceeding or has decided that the DOJ will represent the PBGC, or its interest, in the proceeding and the PBGC determines that the record is relevant to the proceeding and that the use is compatible with the purpose for which the PBGC collected the information.
G6.Routine Use—Disclosure to OMB: A record from this system of records may be disclosed to the Office of Management and Budget 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.
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PBGC–1
System name:
Correspondence Between the PBGC and Persons Outside the PBGC—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 have corresponded with the PBGC and with components of the PBGC and individuals who have received replies in response to their correspondence with the PBGC.
Categories of records in the system:
Correspondence containing the name and address of the correspondent and other information regarding various aspects of the 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 (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 automated form.
Retrievability:
Records are indexed by name of correspondent or plan.
Safeguards:
Manual records are kept in file cabinets in areas of restricted access that are locked after office hours; access to automated records is restricted.
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 regard to specific matters is transferred to the Washington National Federal Records Center 1 year after the end of the fiscal year in which the correspondence was received or sent, and destroyed when 15 years old. 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; Director, Corporate Policy and Research Department; Director, Communications and Public Affairs Department; Director, Financial Operations Department; Director, Corporate Budget Department; Director, Procurement Department; Director, Contract and Controls Review Department; Director, Information Resources Management Department; Director, Insurance Operations Department; Director, Facilities and Services Department; Director, Human Resources Department; Director, Corporate Finance and Negotiations Department; and Director, Participant and Employer Appeals Department. Correspondence addressed to or replied to by the Office of the Executive Director is kept by the Deputy Executive Director and Chief Operating Officer. The PBGC's address is: 1200 K Street, NW., Washington, DC 20005–4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Individuals writing to the PBGC and the PBGC's responses.
Exemptions claimed for the system:
None.
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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 the PBGC.
Categories of records in the systems:
Payment vouchers, including SF 1082.
Authority for maintenance of the system:
29 U.S.C. 1302.
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.
General Routine Uses G1 through G7 (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.
Retrievability:
Records are indexed by name.
Safeguards:
Records are kept in file cabinets in areas of restricted access that are locked after office hours.
Retention and disposal:
Records created after June 30, 1975, are destroyed 6 years and 3 months after date of voucher.
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 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Individuals who are consultants and vendors to the PBGC.
Exemptions claimed for the system:
None.
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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:
Employees of the 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.
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 Labor to effect payments to employees.
2. A record from this system of records may be disclosed to the United States Department of the Interior to effect payments to employees.
General Routine Uses G1 through G8 (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.
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; access to automated records is restricted.
Retention and disposal:
Records are maintained for various periods of time, as provided in National Archives and Records Administration General Records Schedule 2.
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 2607.
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.
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PBGC–4
System name:
Employee Travel 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:
Employees of the PBGC who have filed travel vouchers and related documents.
Categories of records in the system:
Travel vouchers and related documents filed by employees of the PBGC.
Authority for maintenance of the system:
5 U.S.C. Chapter 57; 29 U.S.C. 1302.
Purpose(s):
This system of records is maintained to perform functions related to travel on behalf of the 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.
General Routine Uses G1 through G8 (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.
Retrievability:
Records are indexed by name.
Safeguards:
Records are kept in file cabinets in areas of restricted access that are locked after office hours.
Retention and disposal:
Records are maintained for various periods of time, as provided in National Archives and Records Administration General Records Schedule 9.
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 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
PBGC employee vouchers.
Exemptions claimed for the system:
None.
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PBGC–5
System name:
Personnel Files—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:
Employees and applicants for employment with the PBGC.
Categories of records in the system:
Personnel records that the 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.
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 G8 (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 automated form.
Retrievability:
Records are indexed by name.
Safeguards:
Manual records are kept in areas of restricted access that are locked after office hours; access to automated records is restricted.
Retention and disposal:
Temporary personnel file records are destroyed when the employee leaves the PBGC or 1 year after the file was established, whichever is sooner. 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 date of application. Records relating to claims for retirement and life insurance benefits are maintained for 1 year after a final determination on a claim for benefits and then destroyed.
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 2607.
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.
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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 1A 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.
Purpose(s):
This system of records is maintained for use in determining whether 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 the 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 the 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 the 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 the 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 the 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 binds 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 last known 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 Program. Such information will be disclosed only if the 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 binds the licensee of the Postal 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.
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 the 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 the 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). The 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. The 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 the 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. The 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 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.
General Routine Uses G1 and G4 through G7 (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 the 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 the 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.
System manager(s) and address:
Director, Insurance Operations Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005–4026.
Notification procedure:
Procedures are detailed in the PBGC's regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting records procedure:
Same as notification procedure.
Record source categories:
Plan administrators, participants and beneficiaries, the FAA, the SSA, labor organization officials, firms or agencies providing locator services, and USPS licensees.
Exemptions claimed for the system:
None.
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PBGC–7 [System deleted.]
PBGC–8
System name:
Employee Relations Files—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 with respect to whom the PBGC has initiated a reduction in force or a disciplinary or performance-based action and PBGC employees who have initiated grievances.
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.
Purpose(s):
This system of records is maintained for use in decisionmaking 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 the 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).
General Routine Uses G1 through G8 (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 retained manually in file folders.
Retrievability:
Records are indexed by employee name.
Safeguards:
Records are kept in lockable file cabinets that are locked after office hours in areas of restricted access.
Retention and disposal:
Files are destroyed 4 years after the case is closed.
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 2607.
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, and other PBGC employees and from investigations and interviews.
Exemptions claimed for the system:
None.
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PBGC–9
System name:
Plan Participant and Beneficiary Address Identification File—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:
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.
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.
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 automated form.
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.
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, Insurance 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 2607.
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.
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PBGC–10
System name:
Administrative Appeals File—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:
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 the PBGC's Appeals Board pursuant to 29 CFR 2606.1(b)(5), (6), (7), (8), or (9), Rules for Administrative Review of Agency Decisions.
Categories of records in the system:
Names of pension plans, names of participants and beneficiaries, 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 CFR 2606.22 and 2606.60). The records listed herein are included only as pertinent or applicable to the individual participant and/or beneficiary.
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 2606.1(b)(5), (6), (7), and (8) and in subsequent agency actions.
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 who may be aggrieved by the decision of the Appeals Board under 29 CFR 2606.58, 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.
2. A record from this system of records may be disclosed, upon request, to a representative who has a power of attorney for the subject individual, if necessary under 29 CFR 2606.6.
3. 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.
4. 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.
5. 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, retain and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in automated form.
Retrievability:
Records are indexed by participant or beneficiary name, plan name, and appeal number or extension request number.
Safeguards:
Manual records are kept in lockable file cabinets that are locked after office hours in areas of restricted access; access to automated records is restricted.
Retention and disposal:
Records for a closed appeal file are retained for 1 full fiscal year after the Appeals Board's final determination. Thereafter, the closed appeal file is transferred to the Washington National Federal Records Center and destroyed 6 years later.
System manager(s) and address:
Clerk of the Appeals Board, Participant and Employer Appeals Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005–4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
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.
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PBGC–11
System name:
Call Detail 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:
Employees, contract employees and consultants of the PBGC, and officials of a labor organization representing PBGC employees who have made long distance or other toll calls from PBGC telephones or by using telephone calling cards issued to the PBGC.
Categories of records in the system:
Records relating to use of PBGC telephones and telephone calling cards to place toll calls and receive calls; records indicating assignment of telephone extension numbers and telephone calling cards to employees and other covered individuals; records relating to location of telephone extensions.
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained to control the costs of operating the 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 the 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.
General Routine Uses G1, G3, G4, G5, G7, and G8 (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 automated form.
Retrievability:
Records are retrieved by name of employee or other covered individual, telephone extension number, telephone calling card number, or telephone number called.
Safeguards:
Manual records are kept in areas of restricted access that are locked after office hours; access to automated records is restricted.
Retention and disposal:
Records are retained for 2 years and then destroyed.
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 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Telephone and telephone calling card assignment records; call detail listings; private telephone billing information.
Exemptions claimed for the system:
None.
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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:
Employees and applicants for employment with the PBGC. Individuals who work, or who are being considered for work, for the 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 the PBGC.
Authority for maintenance of the system:
29 U.S.C. 1302; 5 CFR 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 the 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 any source from which information is requested in the course of an investigation, to the extent necessary to identify the individual, inform the source of the nature and purpose of the investigation, or identify the type of information requested.
2. A record from this system of records may be disclosed to the 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).
General Routine Uses G1 through G8 (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.
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 in cases in which favorable determinations are made are destroyed promptly after the determination. Records of cases in which unfavorable determinations are made are destroyed 1 year after issuance if litigation has not been initiated and otherwise upon completion of litigation.
System manager(s) and address:
For employees and applicants for employment with PBGC: Director, Human Resources Department, Pension Benefit Guaranty Corporation, 1200 K Street NW., Washington, DC 20005–4026. For individuals who work, or who are being considered for work, for the PBGC as contractors or as employees of contractors: 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 the 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)).
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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.
Categories of individuals covered by the system:
Anyone who may owe a debt to the PBGC, including but not limited to: Employees of the PBGC; individuals who are consultants and vendors to the 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 fraudulently received benefit payments from PBGC.
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 the PBGC; invoices filed by consultants and vendors to the 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).
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, the PBGC's 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 the 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).
General Routine Uses G1 and G4 through G8 (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.
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.
Records relating to debts of PBGC 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 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.
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.
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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 the PBGC's Internet Web site (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. For each pension plan that the user intends to participate in making filings with the PBGC, the 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, i.e, creating and editing filings, signing filings electronically as the plan administrator, signing filings electronically as the enrolled actuary, or authorizing payments to the PBGC.
Authority for maintenance of the system:
29 U.S.C. 1302, 1306, 1307, 1341, and 1343.
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, and G7 apply to this system of records (See Prefatory Statement of General Routine Uses, 60 FR 57462, 57563 (1995)).
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 the PBGC.
Retrievability:
Records are indexed by name, user ID and password, and by plan name and EIN/PN.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and physical controls in accordance with the 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 the 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 the PBGC's Internet Web site (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.
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PBGC–15
System name:
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 the 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; E.O. 12,656, 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 the 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, and G7 apply to this system of records
(See Prefatory Statement of General Routine Uses, 60 FR 57462, 57563 (1995)).
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
Records are maintained an electronic database that is available to authorized PBGC employees and contractors who have been granted access to PBGC's intranet website.
Retrievability:
Records are indexed by name, organizational component, or user ID and password.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and physical controls in accordance with the 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 or accessed by unauthorized individuals.
Retention and disposal:
Records are maintained until they are out of date.
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 the PBGC's intranet website, 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.
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Title 29—Labor
Chapter XL—Pension Benefit Guaranty Corporation
PART 4902—DISCLOSURE AND AMENDMENT OF RECORDS PERTAINING TO INDIVIDUALS UNDER THE PRIVACY ACT
Sec.
4902.1 Purpose and scope.
4902.2 Definitions.
4902.3 Procedures for determining existence of and requesting access to records.
4902.4 Disclosure of record to an individual.
4902.5 Procedures for requesting amendment of a record.
4902.6 Action on request for amendment of a record.
4902.7 Appeal of a denial of a request for amendment of a record.
4902.8 Fees.
4902.9 Specific exemptions.
4902.10 Filing rules; computation of time.
Authority:5 U.S.C. 552a.
Source:61 FR 34128, July 1, 1996, unless otherwise noted.
§ 4902.1 Purpose and scope.
This part establishes procedures whereby an individual can determine whether the PBGC maintains any system of records that contains a record pertaining to the individual, procedures to effect access to an individual's record upon his or her request, and procedures for making requests to amend records, for making the initial determinations on such requests, and for appealing denials of such requests. This part also prescribes the fees for making copies of an individual's record. Finally, this part sets forth those systems of records that are exempted from certain disclosure and other provisions of the Privacy Act (5 U.S.C. 552a).
§ 4902.2 Definitions.
In addition to terminology in part 4001 of this chapter, as used in this part:
Disclosure officermeans the designated official in the Communications and Public Affairs Department, PBGC.
Recordmeans any item, collection, or grouping of information about an individual that is maintained by an agency, including, but not limited to, his or her education, financial transactions, medical history, and criminal or employment history and that contains his or her name, or the identifying number, symbol, or other identifying particular assigned to the individual, such as a finger or voice print or a photograph.
System of recordsmeans a group of any records under the control of any agency from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual.
Working daymeans any weekday excepting Federal holidays.
§ 4902.3 Procedures for determining existence of and requesting access to records.
(a) Any individual may submit a request to the Disclosure Officer, Pension Benefit Guaranty Corporation, for the purpose of learning whether a system of records maintained by the PBGC contains any record pertaining to the requestor or obtaining access to such a record. Such a request may be sent to the Disclosure Officer or made in person between the hours of 9 a.m. and 4 p.m. on any working day in the Communications and Public Affairs Department, PBGC, 1200 K Street, NW., Suite 240, Washington, DC 20005–4026.
(b) Each request submitted pursuant to paragraph (a) of this section shall include the name of the system of records to which the request pertains and the requester's full name, home address and date of birth, and shall prominently state the words, "Privacy Act Request." If this information is insufficient to enable the PBGC to identify the record in question, or to determine the identity of the requester (to ensure the privacy of the subject of the record), the disclosure officer shall request such further identifying data as the disclosure officer deems necessary to locate the record or to determine the identity of the requester.
(c) Unless the request is only for notification of the existence of a record and such notification is required under the Freedom of Information Act (5 U.S.C. 552), the requester shall be required to provide verification of his or her identity to the PBGC as set forth in paragraph (c)(1) or (2) of this section, as appropriate.
(1) If the request is made by mail, the requester shall submit a notarized statement establishing his or her identity.
(2) If the request is made in person, the requester shall show identification satisfactory to the disclosure officer, such as a driver's license, employee identification, annuitant identification or Medicare card.
(d) The disclosure officer shall respond to the request in writing within 10 working days after receipt of the request or of such additional information as may be required under paragraph (b) of this section. If a request for access to a record is granted, the response shall state when the record will be made available.
[61 FR 34128, July 1, 1996, as amended at 68 FR 61358, Oct. 28, 2003]
§ 4902.4 Disclosure of record to an individual.
(a) When the disclosure officer grants a request for access to records under § 4902.3, such records shall be made available when the requester is advised of the determination or as promptly thereafter as possible. At the requester's option, the record will be made available for the requester's inspection and copying at the Communications and Public Affairs Department, Pension Benefit Guaranty Corporation, 1200 K Street NW., Washington, DC 20005–4026, between the hours of 9 a.m. and 4 p.m. on any working day, or a copy of the record will be mailed to the requester.
(b) If the requester desires to be accompanied by another individual during the inspection and/or copying of the record, the requester shall, either when the record is made available or at any earlier time, submit to the disclosure officer a signed statement identifying such other individual and authorizing such other individual to be present during the inspection and/or copying of the record.
§ 4902.5 Procedures for requesting amendment of a record.
(a) Any individual about whom the PBGC maintains a record contained in a system of records may request that the record be amended. Such a request shall be submitted in the same manner described in § 4902.3(a).
(b) Each request submitted under paragraph (a) of this section shall include the information described in § 4902.3(b) and a statement specifying the changes to be made in the record and the justification therefor. The disclosure officer may request further identifying data as described in § 4902.3(b).
(c) An individual who desires assistance in the preparation of a request for amendment of a record shall submit such request for assistance in writing to the Deputy General Counsel, Pension Benefit Guaranty Corporation. The Deputy General Counsel shall respond to such request as promptly as possible.
[61 FR 34128, July 1, 1996, as amended at 68 FR 61358, Oct. 28, 2003]
§ 4902.6 Action on request for amendment of a record.
(a) Within 20 working days after receipt by the PBGC of a request for amendment of a record under § 4902.5, unless for good cause shown the Executive Director of the PBGC extends such 20-day period, the disclosure officer shall notify the requester in writing whether and to what extent the request shall be granted. To the extent that the request is granted, the disclosure officer shall cause the requested amendment to be made promptly.
(b) When a request for amendment of a record is denied in whole or in part, the denial shall include a statement of the reasons therefor, the procedures for appealing such denial, and a notice that the requester has a right to assistance in preparing an appeal of the denial.
(c) An individual who desires assistance in preparing an appeal of a denial under this section shall submit a request to the Deputy General Counsel, Pension Benefit Guaranty Corporation. The Deputy General Counsel shall respond to the request as promptly as possible, but in no event more than 30 days after receipt.
[61 FR 34128, July 1, 1996, as amended at 68 FR 61359, Oct. 28, 2003]
§ 4902.7 Appeal of a denial of a request for amendment of a record.
(a) An appeal from a denial of a request for amendment of a record under § 4902.6 shall be submitted, within 45 days of receipt of the denial, to the General Counsel, Pension Benefit Guaranty Corporation, unless the record subject to such request is one maintained by the Office of the General Counsel, in which event the appeal shall be submitted to the Deputy Executive Director, Pension Benefit Guaranty Corporation. The appeal shall state in detail the basis on which it is made and shall clearly state "Privacy Act Request" on the first page. In addition, the submission shall clearly state "Privacy Act Request" on the envelope (for mail, hand delivery, or commercial delivery), in the subject line (for e-mail), or on the cover sheet (for fax).
(b) Within 30 working days after the receipt of the appeal, unless for good cause shown the Executive Director of the PBGC extends such 30-day period, the General Counsel or, where appropriate, the Deputy Executive Director, shall issue a decision in writing granting or denying the appeal in whole or in part. To the extent that the appeal is granted, the General Counsel or, where appropriate, the Deputy Executive Director, shall cause the requested amendment to be made promptly. To the extent that the appeal is denied, the decision shall include the reasons for the denial and a notice of the requester's right to submit a brief statement setting forth reasons for disputing the denial of appeal, to seek judicial review of the denial pursuant to 5 U.S.C. 552a(g)(1)(A), and to obtain further information concerning the provisions for judicial review under that section.
(c) An individual whose appeal has been denied in whole or in part may submit a brief summary statement setting forth reasons for disputing such denial. Such statement shall be submitted within 30 days of receipt of the denial of the appeal to the Disclosure Officer. Any such statement shall be made available by the PBGC to anyone to whom the record is subsequently furnished and may also be accompanied, at the discretion of the PBGC, by a brief statement summarizing the PBGC's reasons for refusing to amend the record. The PBGC shall also provide copies of the individual's statement of dispute to all prior recipients of the record with respect to whom an accounting of the disclosure of the record was maintained pursuant to 5 U.S.C. 552a(c)(1).
(d) To request further information concerning the provisions for judicial review, an individual shall submit such request in writing to the Deputy General Counsel, who shall respond to such request as promptly as possible.
[61 FR 34128, July 1, 1996, as amended at 68 FR 61359, Oct. 28, 2003]
§ 4902.8 Fees.
When an individual requests a copy of his or her record under § 4902.4, charges for the copying shall be made according to the following fee schedule:
(a) Standard copying fee.There shall be a charge of $0.15 per page of record copies furnished. Where the copying fee is less than $1.50, it shall not be assessed.
(b) Voluminous material.If the volume of page copy desired by the requester is such that the reproduction charge at the standard page rate would be in excess of $50, the individual desiring reproduction may request a special rate quotation from the PBGC.
(c) Manual copying by requester.No charge will be made for manual copying by the requester of any document made available for inspection under § 4902.4. The PBGC shall provide facilities for such copying without charge between the hours of 9 a.m. and 4 p.m. on any working day.
§ 4902.9 Specific exemptions.
(a) Under the authority granted by 5 U.S.C. 552a(k)(5), the PBGC hereby exempts the system of records entitled "Personnel Security Investigation Records—PBGC" from the provisions of 5 U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f), to the extent that the disclosure of such material would reveal the identity of a source who furnished information to PBGC under an express promise of confidentiality or, before September 27, 1975, under an implied promise of confidentiality.
(b) The reasons for asserting this exemption are to insure the gaining of information essential to determining suitability and fitness for PBGC employment or for work for the PBGC as a contractor or as an employee of a contractor, access to information, and security clearances, to insure that full and candid disclosures are obtained in making such determinations, to prevent subjects of such determinations from thwarting the completion of such determinations, and to avoid revealing the identities of persons who furnish information to the PBGC in confidence.
[61 FR 34128, July 1, 1996, as amended at 66 FR 32222, June 14, 2001]
§ 4902.10 Filing rules; computation of time.
(a) Filing rules—(1) Where to file.See § 4000.4 of this chapter for information on where to file a submission under this part with the PBGC.
(2) Method of filing.The PBGC applies the rules in subpart A of part 4000 of this chapter to determine permissible methods of filing with the PBGC under this part.
(3) Date of filing.The PBGC applies the rules in subpart C of part 4000 of this chapter to determine the date that a submission under this part was filed with the PBGC.
(b) Computation of time.The PBGC applies the rules in subpart D of part 4000 of this chapter to compute any time period for filing under this part.
[68 FR 61359, Oct. 28, 2003]
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