Privacy Act of 1974; Systems of Records, 53571-53596 [2014-21438]
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Vol. 79
Tuesday,
No. 174
September 9, 2014
Part III
Pension Benefit Guaranty Corporation
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Privacy Act of 1974; Systems of Records; Notice
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Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
FOR FURTHER INFORMATION CONTACT:
PENSION BENEFIT GUARANTY
CORPORATION
Privacy Act of 1974; Systems of
Records
Pension Benefit Guaranty
Corporation.
ACTION: Notice of retirement of systems
of records, revision of routine uses,
revision of purpose and routine uses,
technical revisions to systems of
records, and establishment of a new
system of records.
AGENCY:
Pursuant to the Privacy Act of
1974, 5 U.S.C. 552a, the Pension Benefit
Guaranty Corporation (PBGC) is
proposing to: (1) Retire four existing
systems of records, (2) revise the routine
uses to an existing system of records, (3)
revise the purpose and routine uses to
an existing system of records, (4) add
one exemption to three existing systems
of records, (5) make technical and
clarifying changes to seventeen existing
systems of records, and (6) establish a
new systems of records. The revisions
implemented under this republication
are corrective and administrative
changes that refine previously
published system of records notices and
present them in a clear and cohesive
format.
SUMMARY:
Comments must be received on
or before October 9, 2014. The revised
and additional systems of records
described herein will become effective
October 24, 2014, 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: https://
www.regulations.gov. Follow the Web
site instructions for submitting
comments.
• Email: reg.comments@pbgc.gov.
• Fax: 202–326–4224.
• Mail or Hand Delivery: Legislative
and Regulatory Department, Pension
Benefit Guaranty Corporation, 1200 K
Street NW., Washington, DC 20005.
Comments received, including personal
information provided, will be posted to
https://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, 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.)
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DATES:
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Andrew Seff, Assistant General Counsel,
Pension Benefit Guaranty Corporation,
Office of the General Counsel, 1200 K
Street NW., Washington, DC 20005,
202–326–4400, extension 3228. For
access to any of the PBGC’s systems of
records, contact Camilla Perry,
Disclosure Officer, Office of the General
Counsel, Disclosure Division, at the
above address, 202–326–4040.
SUPPLEMENTARY INFORMATION:
(1) PBGC Is Proposing To Retire Four
Systems of Records
Pursuant the Privacy Act of 1974, 5
U.S.C. 552a, and as part of its ongoing
integration and management efforts, the
Pension Benefit Guaranty Corporation
(PBGC) is retiring the following four
systems of records notices: PBGC–4,
Employee Travel Records—PBGC (last
published at 77 FR 59252 (September
26, 2012)), PBGC–5, Personnel Files—
PBGC (last published at 77 FR 59252
(September 26, 2012)), PBGC–18, Office
of Negotiations and Restructuring Risk
Management Early Warning System—
PBGC (last published at 77 FR 59252
(September 26, 2012)), and PBGC–20,
Identity Management System (IDMS)
(last published at 77 FR 59252
(September 26, 2012)).
With regard to PBGC–4, PBGC will
continue to collect and maintain records
regarding individuals who use PBGC’s
travel and transportation resources and
will rely upon the existing Federal
Government-wide system of records
titled GSA/GOVT–4 (Contracted Travel
Service Program (50 FR 20294 April 15,
1985), which is written to cover all
Federal travel service programs.
With regard to PBGC–5, PBGC will
continue to collect and maintain
personnel records and will rely upon
the existing Federal Government-wide
systems of records titled OPM/GOVT–1,
General Personnel Records (71 FR 35342
June 19, 2006) and OPM/GOVT–2,
Employee Performance File System of
Records (71 FR 35347 June 19, 2006),
which are written to cover all general
Federal Government personnel records.
With regard to PBGC–18, PBGC’s
Office of Negotiations and Restructuring
will continue to maintain its Risk
Management and Early Warning
Program, but because none of the
program records are retrieved by
individuals’ personally identifiable
information, the program does not
constitute a system of records as defined
by the Privacy Act.
With regard to PBGC–20, PBGC will
continue to collect and maintain records
pertaining to the Personal Identity
Verification Management System and
will rely upon the existing Federal
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Government-wide system of records
titled GSA/GOVT–7 Personal Identity
Verification Identity Management
System (73 FR 22377 April 25, 2008),
which is written to cover all PIV IDMS
records of participating agencies.
Eliminating these notices will have no
adverse impacts on individuals, but will
promote the overall streamlining and
management of PBGC Privacy Act
record systems.
(2) PBGC Is Proposing To Revise Its
Routine Uses for PBGC–6
PBGC is proposing to reorder the
routine uses for PBGC–6 (this change is
being made to all existing systems of
records to the extent necessary to make
all of PBGC’s notices uniform in this
regard).
PBGC is proposing to revise routine
use 5 (last published as routine use 4)
PBGC–6, Plan Participant and
Beneficiary Data—PBGC (last revised at
78 FR 64031 (October 25, 2013)). The
existing routine use allows disclosure of
payees’ names, addresses, and
telephone numbers, and ‘‘information
pertaining to debts owed to by such
payees’’ to the Department of Treasury
or a debt collection agency or firm to
collect a claim. PBGC is proposing that
the phrase, ‘‘information pertaining to
debts owed to by such payees,’’ be
changed to, ‘‘information related to how
the PBGC determined that a debt was
owed by such payees . . .’’ The
amended routine use better describes
the information that PBGC periodically
discloses under the routine use.
PBGC is also proposing to add two
additional routine uses to PBGC–6.
Routine use 15 will read, ‘‘Information
relating to revocation of a power of
attorney may be disclosed to the former
agent that was named in the revoked
power of attorney.’’ This routine use is
necessary to allow PBGC to notify an
agent that he/she no longer has power
of attorney for a given individual
because the individual has provided
PBGC with written notice of a new
power of attorney. This routine use will
make it possible for PBGC to avoid
delays and confusion when an
individual changes his/her power of
attorney while interacting or
communicating with PBGC.
Routine use 16 will read, ‘‘Name and
date of birth of a participant’s
beneficiary may be provided to that
participant upon request by that
participant.’’ This routine use is
necessary to allow PBGC to better
respond to requests from participants
for ‘‘a copy of my file.’’ Presently, when
responding to such a request, PBGC
withholds the personal information (i.e.
name, date of birth, address, social
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security number, etc.) of a beneficiary
that is contained in participant’s file,
even though it was often the participant
who originally provided the
beneficiary’s personal information (as a
function of naming the individual as a
beneficiary), because it is personally
identifiable information about an
individual other than the requester. By
allowing PBGC to disclose the name and
date of birth of a participant’s
beneficiary to that participant, routine
use 16 will allow PBGC to provide
sufficient information about a
beneficiary for a participant to know
who he/she named as a beneficiary
while still protecting the beneficiary’s
privacy (e.g. not disclosing the
beneficiary’s social security number).
This routine use will improve customer
service without sacrificing any
individuals’ privacy interests.
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(3) PBGC Is Proposing To Revise the
Purpose of and Routine Uses to PBGC–
11
PBGC is proposing to revise the
purpose of the PBGC–11, Call Detail
Records (last revised at 77 FR 59252
(September 26, 2012)). The existing
purpose focuses on operating costs, one
element of which is monitoring
employees’ phone usage. Operating
costs are no longer a concern, but PBGC
continues to use the system of records
to monitor employees’ phone usage.
PBGC is therefore proposing to narrow
the purpose of PBGC–11 accordingly.
In accordance with the proposed
narrower purpose, PBGC is proposing to
delete Routine Uses 1 and 2 of PBGC—
11.
(4) PBGC Is Proposing To Add
Exemption (k)(2) to Three of Its Existing
Systems of Records
PBGC is proposing to add exemption
(k)(2) to PBGC–8, Employee Relations
Files, PBGC–12, Personnel Security
Investigation Records, and PBGC–19,
Office of General Counsel Case
Management System. Adding this
exemption will permit PBGC to assist
civil and criminal law enforcement
when necessary without unfairly or
inappropriately limiting any
individuals’ access to Privacy Act
records. This exemption will also be
included in PBGC’s new systems of
records, PBGC–23, Internal
Investigations of Allegations of
Harassing Conduct.
(5) Pbgc Is Proposing To Make
Technical and Clarifying Amendments
to Seventeen Systems of Records
PBGC is proposing to correct and
update the security classification,
system location, categories of
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individuals covered by the system,
categories of records in the system,
authority for maintenance of the system,
purpose(s), routine uses of records
maintained in the system, including
categories of users and the purposes of
such uses, disclosure to consumer
reporting agencies, storage,
retrievability, safeguards, retention and
disposal, system manager(s) and
address, notification procedure, record
access procedures, contesting record
procedures, record source categories,
and systems exempted from certain
provisions of the Act of PBGC–1,
Correspondence Between the PBGC and
Persons Outside of the PBGC (last
published at 77 FR 59252 (September
26, 2012)), PBGC–2, Disbursements (last
published at 78 FR 64031 (October 25,
2013)), PBGC–3, Employee Payroll,
Leave, and Attendance Records (last
published at 77 FR 59252 (September
26, 2012)), PBGC–6, Plan Participant
and Beneficiary Data (last published at
78 FR 64031 (October 25, 2013)), PBGC–
8, Employee Relations Files (last
published at 77 FR 59252 (September
26, 2012)), PBGC–9, Plan Participant
and Beneficiary Address Identification
File (last published at 77 FR 59252
(September 26, 2012)), PBGC–10,
Administrative Appeals File (last
published at 77 FR 59252 (September
26, 2012)), PBGC–11, Call Detail
Records (last published at 77 FR 59252
(September 26, 2012)), PBGC–12,
Personnel Security Investigation
Records (last published at 77 FR 59252
(September 26, 2012)), PBGC–13, Debt
Collection (last published at 77 FR
59252 (September 26, 2012)), PBGC–14,
My Plan Administration Account
Authentication Records (last published
at 77 FR 59252 (September 26, 2012)),
PBGC–15, Emergency Notification
Records (last published at 77 FR 59252
(September 26, 2012)), PBGC–16,
Employee Online Directory (last
published at 77 FR 59252 (September
26, 2012)), PBGC–17, Inspector General
Investigative File System (last published
at 77 FR 59252 (September 26, 2012)),
PBGC–19, Office of General Counsel
Case Management System (last
published at 77 FR 59252 (September
26, 2012)), PBGC–21, Reasonable
Accommodation Records (last published
at 78 FR 64031 (October 25, 2013)), and
PBGC–22, Telework and Alternative
Worksite Records (last published at 78
FR 64031 (October 25, 2013)). These
amendments, the majority of which are
non-substantive, will make the systems
of records notices more accurate and
easier to understand, individually, and
when read together.
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PBGC is also proposing to amend the
names of PBGC–1, Correspondence
Between the PBGC and Persons Outside
of the PBGC–PBGC, PBGC–9, Plan
Participant and Beneficiary Address
Identification File, PBGC–14, My Plan
Administration Account Authentication
Records, and PBGC–16, Employee
Online Directory—PBGC. PBGC–1 will
now be named Congressional
Correspondence, PBGC–9 will now be
named Unclaimed Pensions, PBGC–14
will now be named My Plan
Administration Account Records, and
PBGC–16 will now be named People
Search. These amendments make the
system names more accurate of the
respective systems of records.
(6) PBGC Is Proposing To Establish a
New System Of Records
PBGC is proposing establish a new
system of records titled, ‘‘PBGC–23,
Internal Investigations of Allegations of
Harassing Conduct—PBGC.’’ The
proposed system of records is necessary
to carry out PBGC’s Prevention of
Workplace Harassment Policy and will
cover files that identify by name, or
other personal identifier, individuals
who have complained that they have
been subjected to harassment in the
workplace, as well as individuals about
whom such complaints have been made.
These files may include: Complaints
(including a completed complaint form),
details pertaining to interim measures
considered and/or taken, investigation
notes, witness statements, emails and
other evidence collected during an
investigation, correspondence,
communications with PBGC’s Office of
General Counsel, results of an
investigation, and close-out memoranda.
The Human Resources Department, as it
has always done, will continue to
respect the privacy of individuals
named in these files and will disclose,
within the boundaries of the law, the
least amount of information necessary to
perform its responsibilities.
The collection and maintenance of
records subject to this system are not
new because records of the same type
have been collected and maintained by
the Human Resources since its
establishment. Those records, however,
were not previously maintained or
retrieved by a name or other personal
identifier. With the implementation of
new harassment investigation
procedures (scheduled to become
effective on October 1, 2014), which
includes a new record-keeping scheme,
the records will be in a system of
records, as defined in The Privacy Act
Implementation: Guidelines and
Responsibilities, 40 FR 28,498 (July 9,
1975).
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Pursuant to 5 U.S.C. 552a(e)(11),
interested persons are invited to submit
written comments on the proposal of
these two systems of records. A report
on the proposed systems has been sent
to Congress and the Office of
Management and Budget for their
evaluation.
For the convenience of the public,
PBGC’s Prefatory Statement of General
Routine Uses, the amended systems of
records, and the new systems of records
are published in full below with
changes italicized.
Issued in Washington, DC, this 3rd day of
September, 2014.
Alice Maroni
Acting Director, Pension Benefit Guaranty
Corporation.
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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.
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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.
G9. Routine Use—Disclosure in
Response to a Federal Data Breach. A
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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 the
PBGC or another agency or entity) that
rely upon the compromised
information; and (3) the disclosure
made to such agencies, entities, and
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.
G10. Routine Use—Contractors,
Experts, and Consultants. To
contractors, experts, consultants, and
the agents of thereof, and others
performing or working on a contract,
service, cooperative agreement, or other
assignment for Pension Benefit
Guaranty Corporation, (PBGC) when
necessary to accomplish an agency
function. Individuals provided
information under this routine use are
subject to the same Privacy Act
requirements and limitations on
disclosure as are applicable to PBGC
employees.
G11. Routine Use—Records
Management. To the National Archives
and Records Administration or to the
General Services Administration for
records management inspections
conducted under 44 U.S.C. §§ 2904 and
2906.
G12. Routine Use—Gathering
Information. To any source from which
information is requested in the course of
processing a grievance, investigation,
arbitration, or other litigation, to the
extent necessary to identify the
individual, inform the source of the
purpose(s) of the request, and identify
the type of information requested.
G13. Routine Use—Disclosure to a
Federal Agency. To disclose information
to a Federal agency, in response to its
request, in connection with hiring or
retaining an employee, issuing a
security clearance, conducting a
security or suitability investigation of an
individual, or classifying jobs, to the
extent that the information is relevant
and necessary to the requesting agency’s
decision on the matter.
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PBGC–1
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.
SYSTEM NAME:
Congressional Correspondence—
PBGC.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
RETENTION AND DISPOSAL:
29 U.S.C. 1302; 44 U.S.C. 3101; and
5 U.S.C. 301
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
PURPOSE(S):
SYSTEM MANAGER(S) AND ADDRESS:
This system of records is maintained
to catalog and respond to
correspondence received from members
of Congress.
Director, Communications Outreach
and Legislative Affairs, PBGC, 1200 K
Street NW., Washington, DC 20005.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who have corresponded
with PBGC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Correspondence received; replies to
such correspondence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G11 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 manually in
paper and/or electronic form, including
computer databases, magnetic tapes,
and discs. Records are also maintained
on PBGC’s network back-up tapes.
RETRIEVABILITY:
Records are retrieved by name of the
correspondent.
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SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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NOTIFICATION PROCEDURE:
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
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written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Correspondents; agency employees
preparing responses to incoming
correspondence or who generate
original correspondence in their official
capacities.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–2
SYSTEM NAME:
Disbursements—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005, and/or field
benefit administrator, plan
administrator, and paying agent
worksites.
Records may also be kept at an
additional location as backup for
Continuity of Operations.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who are consultants and
vendors to the PBGC; PBGC employees;
and any other individuals who receive
payments from PBGC.
CATEGORIES OF RECORDS IN THE SYSTEMS:
Acquisition data for the procurement
of goods and services; invoices; payment
vouchers; Commercial and Government
Entity (CAGE) codes; Dun & Bradstreet
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Data Universal Numbering System
(DUNS) numbers; supplier status; Web
site; name; address; taxpayer
identification number; bank
information; Social Security number;
and other information related to the
disbursements of funds.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301.
RETENTION AND DISPOSAL:
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 on behalf of
PBGC.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G7, and G9 through G12 apply to this
system of records (see Prefatory
Statement of General Routine Uses).
2. A record from this system of
records may be transmitted to the
United States Department of the
Treasury to effect payments to
consultants and vendors, or to verify
consultants’ and vendors’ eligibility to
receive payments.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
Information may be disclosed to a
consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained by PBGC in
paper and/or electronic form, including
computer databases, magnetic tapes,
and discs. Records are also maintained
on PBGC’s network back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: name, tax payer
identification number; and contract
number.
tkelley on DSK3SPTVN1PROD with NOTICES2
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
Paper records are kept in file cabinets
in areas of restricted access that are
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
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.
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Financial Operations
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
PO 00000
Frm 00006
Fmt 4701
Sfmt 4703
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street,
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Subject individuals and PBGC.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–3
SYSTEM NAME:
Employee Payroll, Leave, and
Attendance Records—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current and former PBGC employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Personnel information, including
names, addresses, social security
numbers, employee numbers, and
notifications of personnel actions
payroll information, including co-owner
and/or beneficiary of bonds, marital
status and number of dependents, child
support enforcement court orders, debts
owed to PBGC, garnishments, personal
bank account and direct deposit
information, tax information, and other
deductions; salary data; fiscal year data;
and time and attendance records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301.
E:\FR\FM\09SEN2.SGM
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Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
PURPOSE(S):
This system of records is maintained
to perform agency 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
allotments, to financial institutions, and
for other authorized purposes), 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:
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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
both network and system-specific 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:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G13 apply to this system of records (see
Prefatory Statement of General Routine
Uses).
2. A record from this system of
records may be disclosed to the United
States Department of the Interior, the
United States Department of Labor, and
the United States Department of the
Treasury to effect payments to
employees.
3. Payments owed to PBGC through
current and former employees may be
shared with the Department of the
Interior for the purposes of offsetting the
employee’s salary. Payments owed to
PBGC through current and former
employees who become delinquent in
repaying the necessary funds may be
shared with the Department of Treasury
for the purposes of offsetting the
employee’s salary.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
Information may be disclosed to a
consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
tkelley on DSK3SPTVN1PROD with NOTICES2
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: name; employee
number; or social security number.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Financial Operations
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
53577
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD SOURCE CATEGORIES:
RECORD ACCESS PROCEDURE:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street, NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
PO 00000
Frm 00007
Fmt 4701
Sfmt 4703
Subject individuals; subject
individuals’ supervisor(s); subject
individuals’ timekeeper(s); and the
Office of Personnel Management.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–6
SYSTEM NAME:
Plan Participant and Beneficiary
Data—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005, and/or field
benefit administrator, plan
administrator, and paying agent
worksites.
Participants, alternate payees, and
beneficiaries in terminating and
terminated pension plans covered
ERISA.
CATEGORIES OF RECORDS IN THE SYSTEM:
Names; addresses; telephone
numbers; sex; social security numbers
and other Social Security
Administration information; dates of
E:\FR\FM\09SEN2.SGM
09SEN2
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Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
birth; dates of hire; salary; marital
status; domestic relations orders; time of
plan participation; eligibility status; pay
status; benefit data, including records of
benefit payments made to participants,
alternate payees, and beneficiaries in
terminating and terminated pension
plans covered by ERISA; health-related
information; powers of attorney;
insurance information where plan
benefits are provided by private
insurers; pension plan names and
numbers; initial and final PBGC
determinations (see 29 CFR 4003.21 and
4003.59); and other records relating to
debts owed to PBGC.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1055, 1056(d)(3), 1302,
1321, 1322, 1322a, 1341, 1342, and
1350; 26 U.S.C. 6103; 29 U.S.C. 1302; 44
U.S.C. 3101; 5 U.S.C. 301.
PURPOSE(S):
This system of records is maintained
for use in determining whether
participants, alternate payees, and
beneficiaries are eligible for benefits
under plans covered by ERISA,
determining supplemental payments to
be paid to those persons by a party other
than PBGC, determining the amounts of
benefits to be paid, making benefit
payments, collecting benefit
overpayments, and complying with
statutory and regulatory mandates.
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.
tkelley on DSK3SPTVN1PROD with NOTICES2
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1, G2, G4
through G7, and G9 through G12 apply
to this system of records (see Prefatory
Statement of General Routine Uses).
2. A record from this system of
records may be disclosed to third
parties, such as banks, insurance
companies, or trustees:
a. To enable these third parties to
make or determine benefit payments, or
b. To report to the IRS the amounts of
benefits paid (or required to be paid)
and taxes withheld.
3. 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,
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
and any member of the same controlled
group.
4. 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 current
or former collective bargaining
representative of the individual about
whom a request is made.
5. Payees’ names, addresses,
telephone numbers, and information
related to how PBGC determined that a
debt was owed by such payees to the
PBGC may be disclosed to the
Department of the Treasury or a debt
collection agency or firm to collect a
claim. Disclosure to a debt collection
agency or firm shall be made only under
a contract issued by the federal
government that binds any such
contractor or employee of such
contractor to the 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.
6. 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.
7. 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 written
request by a prospective alternate payee,
or the payee’s representative, 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 or their representative
under this routine use.
8. Information from a participant’s
initial determination under 29 CFR
4003.1(b) (excluding the participant’s
PO 00000
Frm 00008
Fmt 4701
Sfmt 4703
address, telephone number, social
security number, and any sensitive
medical information) may be disclosed
to an alternate payee, or their
representative, 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 may notify the
participant of the information disclosed
to an alternate payee or their
representative under this routine use.
9. Information from an alternate
payee’s initial determination under 29
CFR 4003.1(b) (excluding the alternate
payee’s address, telephone number,
social security number, and any
sensitive medical information) may be
disclosed to a participant, or their
representative, 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
participant so that the participant can
pursue an administrative appeal of the
benefit determination under 29 CFR
4003.51. The PBGC may notify the
alternate payee of the information
disclosed to a participant or their
representative under this routine use.
10. Information used in calculating
the benefit, or share of the benefit, of a
participant or alternate payee (excluding
the participant’s or alternate payee’s
address, telephone number, social
security number, and any sensitive
medical information) may be disclosed
to a participant or an alternate payee, or
their representative, when (a) a qualified
domestic relations order issued
pursuant to 29 U.S.C. 1056(d) and 26
U.S.C. 414(p) affects the calculation of
the benefit, or share of the benefit, of the
participant or alternate payee; and (b)
the information is needed to explain to
the participant or alternate payee how
the PBGC calculated the benefit, or
share of the benefit, of the participant or
alternate payee. The PBGC may notify
the participant or the alternate payee, or
their representative, as appropriate, of
the information disclosed to the
participant or the alternate payee, or
their representative, under this routine
use.
11. The names, addresses, social
security numbers, dates of birth, and the
pension plan name and number of
eligible PBGC pension recipients may be
disclosed to the Department of the
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
E:\FR\FM\09SEN2.SGM
09SEN2
Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
payment of the tax credit under 26
U.S.C. 7527.
12. 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).
13. Payees’ names, social security
numbers, and dates of birth may be
provided to the Department of the
Treasury’s Bureau of the Public Debt,
the Social Security Administration, and
the Internal Revenue Service to verify
payees’ eligibility to receive payments.
14. Names and social security
numbers of participants and
beneficiaries may be provided to the
Department of the Treasury, the
Department of the Treasury’s financial
agent, and the Federal Reserve Bank for
the purpose of learning which of PBGC’s
check payees have established
electronic debit card accounts used for
the electronic deposit of federal benefit
payments.
15. Information relating to revocation
of a power of attorney may be disclosed
to the former agent that was named in
the revoked power of attorney.
16. The name and date of birth of a
participant’s beneficiary may be
provided to that participant upon
request by that participant.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
tkelley on DSK3SPTVN1PROD with NOTICES2
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: name; social
security number; customer
identification number; date of birth; or
date of death.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
Jkt 232001
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
RETENTION AND DISPOSAL:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
NOTIFICATION PROCEDURE:
Information may be disclosed to a
consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
18:22 Sep 08, 2014
RECORD ACCESS PROCEDURE:
Director, Benefits Administration and
Payment Department, PBGC, 1200 K
Street NW., Washington, DC 20005.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
VerDate Mar<15>2010
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
Paper and electronic records that
contain federal tax information are
stored separately and are kept in locked
file cabinets in areas of restricted access
under procedures that meet IRS
safeguarding standards.
Other paper and microfiche records
that do not contain federal tax
information are kept in file folders in
areas of restricted access that are locked
after office hours. Electronic records
that do not contain federal tax
information 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.
53579
RECORD SOURCE CATEGORIES:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
Plan administrators; participants,
alternate payees, and beneficiaries;
agents listed on power of attorneys; field
benefit administrator offices; the SSA;
the FAA; and the IRS.
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on other media and computer
storage media are destroyed according
to the applicable PBGC Information
Assurance Handbook guidance on
media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
PO 00000
Frm 00009
Fmt 4701
Sfmt 4703
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–8
SYSTEM NAME:
Employee Relations Files—PBGC.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current and former PBGC employees
who have initiated grievances under an
E:\FR\FM\09SEN2.SGM
09SEN2
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Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
SAFEGUARDS:
administrative grievance procedure or
under an applicable collective
bargaining agreement.
CATEGORIES OF RECORDS IN THE SYSTEM:
Administrative and union grievances
submitted by PBGC employees; agency
responses to employees’ employees
grievances; employees’ appeals of
responses to grievances; agency
responses to such appeals; investigative
notes; records of proceedings; appeal
decisions; last chance, last rights, and
settlement agreements, and related
information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301.
RETENTION AND DISPOSAL:
PURPOSE(S):
The purpose of this system to catalog,
investigate, and appropriately and
timely respond to administrative and
union grievances and appeals filed by
PBGC employees pursuant to PBGC’s
Administrative Grievance Procedure
and the Collective Bargaining
Agreement.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G13 apply to this system of records (see
Prefatory Statement of General Routine
Uses).
2. A record from this system of
records may be disclosed to OPM, the
Merit Systems Protection Board, the
Federal Labor Relations Authority,
Office of Special Counsel, 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).
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
tkelley on DSK3SPTVN1PROD with NOTICES2
STORAGE:
Records are maintained in paper form
in file folders and/or in electronic form,
including computer databases, magnetic
tapes, and discs. Records are also
maintained on PBGC’s network back-up
tapes.
RETRIEVABILITY:
Records are retrieved by employee
name.
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The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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.
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Human Resources
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
PO 00000
Frm 00010
Fmt 4701
Sfmt 4703
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Subject individuals; subject
individuals’ supervisor(s),
representative(s), and colleagues; PBGC
General Counsel; and other individuals
with relevant information.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2),
records in this system are exempt from
the requirements of subsections (c)(3),
(d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5
U.S.C. 552a, provided, however, that if
any individual is denied any right,
privilege, or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of the material would reveal
the identity of a source who furnished
information to the Government with an
express promise that the identity of the
source would be held in confidence.
PBGC–9
SYSTEM NAME:
Unclaimed Pensions—PBGC.
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SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005 and/or field
benefit administrator, plan
administrator, and paying agent
worksites.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Participants, alternate payees, and
beneficiaries in terminating and
terminated pension plans covered by
ERISA.
CATEGORIES OF RECORDS IN THE SYSTEM:
Names; social security numbers;
addresses; email addresses; telephone
numbers; pension plans names; and
pension plan numbers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1055, 1056(d)(3), 1302,
1321, 1322, 1322a, 1341, 1342, and
1350; 29 U.S.C. 1203; 44 U.S.C. 3101; 5
U.S.C. 310.
PURPOSE(S):
This system of records is maintained
to locate participants, alternate payees,
and beneficiaries of pension plans
covered by ERISA.
tkelley on DSK3SPTVN1PROD with NOTICES2
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 and G4
through G7, G9 through G11 apply to
this system of records (see Prefatory
Statement of General Routine Uses).
2. Names and social security numbers
of plan participants and beneficiaries
may be disclosed to the Internal
Revenue Service to obtain current
addresses from tax return information
and to the Social Security
Administration 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.
3. 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.
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18:22 Sep 08, 2014
Jkt 232001
4. 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 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.
5. 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). 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 and
must be returned to PBGC or destroyed
when the process is completed. The
records will be exchanged electronically
in an encrypted format.
6. 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.
7. 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.
53581
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or in electronic form, including
computer databases, magnetic tapes,
and discs. Records are also maintained
on PBGC’s network back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: name; social
security number; customer
identification number; date of birth; or
date of death.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to unauthorized
individuals.
Paper and electronic records that
contain federal tax information are
stored separately and are kept in locked
file cabinets in areas of restricted access
under procedures that meet IRS
safeguarding standards.
Other paper and microfiche records
that do not contain federal tax
information are kept in file folders in
areas of restricted access that are locked
after office hours. Electronic records
that do not contain federal tax
information 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 in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Benefits Administration and
Payments Department, PBGC, 1200 K
Street NW., Washington, DC 20005.
NOTIFICATION PROCEDURE:
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
None.
PO 00000
Frm 00011
Fmt 4701
Sfmt 4703
Individuals wishing to learn whether
this system of records contains
information about them should submit
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Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
tkelley on DSK3SPTVN1PROD with NOTICES2
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
PBGC–6; the SSA; the IRS; labor
organization officials; firms or agencies
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18:22 Sep 08, 2014
Jkt 232001
providing locator services; USPS
licensees; field benefit administrator
offices; and any other individual that
provides PBGC with information
regarding a missing participant,
beneficiary, or alternate payee.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC—10
SYSTEM NAME:
Administrative Appeals File—PBGC.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who file administrative
appeals with PBGC’s Appeals Board.
CATEGORIES OF RECORDS IN THE SYSTEM:
Names and personal information
(such as addresses, social security
numbers, sex, dates of birth, dates of
hire, salary, marital status (including
domestic relations orders), and medical
records); employment and pension plan
information (such as name of pension
plan, plan number, dates of
commencement of plan participation or
employment, statements regarding
employment, dates of termination of
plan participation or retirement, benefit
payment data, pay status, calculations of
benefit amounts, calculations of
amounts subject to recoupment and/or
recovery, and workman’s compensation
awards); Social Security Administration
information, insurance claims and
awards; correspondence and other
information relating to appeals, and
initial and final PBGC determinations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301; 29 U.S.C. ch. 18.; 29 CFR
4003.1(b); 29 CFR 4003.22; 29 CFR
4003.59.
PURPOSE(S):
The purpose of this system is to
catalog, review, and respond to
administrative appeals of:
determinations that a plan is not
covered under section 4021 of ERISA;
determinations of benefit entitlements
under section 4022(a) or (c) of ERISA;
determinations that a domestic relations
order is or is not a qualified domestic
relations order under section 206(d)(3)
of ERISA or section 414(p) of the
Internal Revenue Code; determinations
of benefits payable under section
4022(b) or (c) or 4022B of ERISA; and
PO 00000
Frm 00012
Fmt 4701
Sfmt 4703
determinations of the amount of liability
under sections 4062(b)(1), 4063, or 4064
of ERISA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1, and G4
through G12 apply to this system of
records (see Prefatory Statement of
General Routine Uses).
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.
3. A record from this system of
records may be disclosed, upon request,
to an attorney representative or a nonattorney representative who has a power
of attorney for the subject individuals,
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,
beneficiaries, and/or alternate payees.
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, RETAIN AND DISPOSING
OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: participant,
beneficiary, and/or alternate payee’s
name; plan name; appeal number; or
extension request number.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
E:\FR\FM\09SEN2.SGM
09SEN2
Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RETENTION AND DISPOSAL:
CONTESTING RECORD PROCEDURE:
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
SYSTEM MANAGER(S) AND ADDRESS:
Manager of the Appeals Division,
Office of the General Counsel, PBGC,
1200 K Street NW., Washington, DC
20005.
NOTIFICATION PROCEDURE:
tkelley on DSK3SPTVN1PROD with NOTICES2
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD SOURCE CATEGORIES:
Subject individuals; the participant,
beneficiary, or alternate payee; plan
administrators, contributing sponsors
(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
Social Security Administration; and any
third party affected by the decision.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
SYSTEM NAME:
Call Detail Records—PBGC.
SYSTEM CLASSIFICATION:
None.
SYSTEM LOCATION:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
PBGC, 1200 K Street NW.,
Washington, DC 20005.
18:22 Sep 08, 2014
Jkt 232001
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
PBGC employees and contractor
employees.
PO 00000
Frm 00013
CATEGORIES OF RECORDS IN THE SYSTEM:
Records relating to the use of PBGC
telephones and PBGC-issued portable
electronic devices to place calls outside
of PBGC and receive calls from outside
of PBGC and records indicating the
assignment of telephone extension
numbers and PBGC-issued portable
electronic devices to PBGC employees.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301.
PURPOSE(S):
This system of records is used to
review bills from telecommunication
providers for telephone and cellular
device usage by PBGC employees and
contractor employees.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1, G3, G4,
G5, and G7 through G13 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 electronic
form, including computer databases,
magnetic tapes, and discs.
RETRIEVABILITY:
Records are retrieved by one or more
of the following: name of employee or
contractor employee; telephone
extension number; PBGC-issued
portable electronic device number; or
telephone number called.
SAFEGUARDS:
PBGC–11
RECORD ACCESS PROCEDURE:
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53583
Fmt 4701
Sfmt 4703
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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.
E:\FR\FM\09SEN2.SGM
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Federal Register / Vol. 79, No. 174 / Tuesday, September 9, 2014 / Notices
RETENTION AND DISPOSAL:
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on computer storage
media are destroyed according to the
applicable PBGC media sanitization
practice.
SYSTEM MANAGER(S) AND ADDRESS:
Chief Information Officer, Office of
Information Technology, PBGC, 1200 K
Street NW., Washington, DC 20005.
NOTIFICATION PROCEDURE:
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
RECORD ACCESS PROCEDURE:
tkelley on DSK3SPTVN1PROD with NOTICES2
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
Current and former Applicants,
employees, students, interns, volunteers,
government contractors, experts,
instructors, and consultants to Federal
programs who undergo a personnel
background investigation for the
purpose of determining suitability for
employment, contractor employee
fitness, credentialing for HSPD 12, and/
or access to PBGG facilities or
information technology system.
This system also includes individuals
accused of or found in violation of
PBGC’s security rules and regulations.
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
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18:22 Sep 08, 2014
Jkt 232001
Telephone and PBGC-issued portable
electronic device assignment records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–12
SYSTEM NAME:
Personnel Security Investigation
Records—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
Records may also be kept at an
additional location as backup for
Continuity of Operations.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
CATEGORIES OF RECORDS IN THE SYSTEM:
Name; former names; date and place
of birth; home address; email address;
phone numbers; employment history;
residential history; education and
degrees earned; citizenship; passport
information; name, date and place of
birth, social security number, and
citizenship information for spouse or
cohabitant; the name and marriage
information for current and former
spouse(s), names of associates and
PO 00000
Frm 00014
Fmt 4701
Sfmt 4703
references and their contact
information; names, dates and places of
birth, citizenship, and addresses of
relatives; names of relatives who work
for the federal government; information
on foreign contacts and activities;
association records; information on
loyalty to the United States; criminal
history; mental health history; drug use;
financial information; fingerprints;
information from the Internal Revenue
Service pertaining to income tax
returns; credit reports; information
pertaining to security clearances; other
agency reports furnished to PBGC in
connection with the background
investigation process; summaries of
personal and third party interviews
conducted during the background
investigation; results of suitability
decisions; and other information
developed from above.
Records pertaining to security
violations may contain information
pertaining to circumstances of the
violation; witness statements;
investigator’s notes; and documentation
of agency action taken in response to
security violations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 5 U.S.C. 3301; 44
U.S.C. 3101; Executive Order 10450;
Executive Order 13488; 5 CFR 5.2; 5
CFR 731 and 736; OMB Circular No. A–
130 Revised, Appendix III, 61 FR 6428;
and Homeland Security Presidential
Directive 12.
PURPOSE(S):
The records in this system of records
are used to document and support
decisions as to the suitability, eligibility,
and fitness for service of applicants for
federal employment and contract
positions, and may include students,
interns, or volunteers, to the extent their
duties require access to federal
facilities, information, systems, or
applications.
The records may also be used to help
streamline and make more efficient the
investigations and adjudications
processes generally.
The records may also be used to
document security violations and
supervisory actions taken in response to
such violations.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G13 apply to this system of records (see
Prefatory Statement of General Routine
Uses).
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2. 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, to inform the
source of the nature and purpose of the
investigation, or to identify the type of
information requested.
3. 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 respective
authorized functions (under 5 U.S.C.
1103, 1204, and 7105, and 42 U.S.C.
2000e–4, in that order).
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/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: name; social
security number; unique case serial
number; or other unique identifier of the
individual about whom they are
maintained.
SAFEGUARDS:
tkelley on DSK3SPTVN1PROD with NOTICES2
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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
both network and system-specific 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 in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
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Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Workplace Solutions
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
PO 00000
Frm 00015
Fmt 4701
Sfmt 4703
53585
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Applications and other personnel and
security forms, including but not limited
to a SF–85, SF–85P, SF–86, SF–87 (via
eQIP); personal interviews with various
individuals, including but not limited to
the subject of the investigation, present
and former employers, references,
neighbors, and other associates who
may have information about the subject
of the investigation; investigative
records and notices of personnel actions
furnished by other federal agencies;
public records such as court filings;
publications such as newspapers,
magazines, and periodicals; tax records;
educational institutions; police
departments; credit bureaus; probation
officials; prison officials; and medical
professionals.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2),
records in this system are exempt from
the requirements of subsections (c)(3),
(d), (e)(1), (e)(4) (G), (H), (I), and (f) of
5 U.S.C. 552a, provided, however, that
if any individual is denied any right,
privilege, or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of the material would reveal
the identity of a source who furnished
information to the Government with an
express promise that the identity of the
source would be held in confidence.
Pursuant to 5 U.S.C. 552a(k)(5),
records in this system are exempt from
the requirements of subsections (c)(3),
(d), (e)(1), (e)(4) (G), (H), (I), and (f) of
5 U.S.C. 552a, but only to the extent that
the disclosure of such material would
reveal the identity of a source who
furnished information to the
Government under an express promise
that the identity of the source would be
held in confidence.
PBGC–13
SYSTEM NAME:
Debt Collection—PBGC.
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SECURITY CLASSIFICATION:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005, and/or field
benefit administrator, plan
administrator, and paying agent
worksites.
Records may also be kept at an
additional location as back up for
Continuity of Operations.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Any individual who may owe a debt
to PBGC, including but not limited to:
Pension plans and/or sponsors owing
insurance premiums, interest, and
penalties; employees and former
employees of PBGC; individuals who
are consultants and vendors to PBGC;
participants, alternate payees, and
beneficiaries in terminating and
terminated pension plans covered by
ERISA; and individuals who received
payments to which they are not entitled.
CATEGORIES OF RECORDS IN THE SYSTEM:
Pension plan filings; names;
addresses; social security numbers;
taxpayer identification numbers;
employee numbers; pay records; travel
vouchers, and related documents filed
by PBGC employees; invoices filed by
consultants and vendors to PBGC;
records of benefit payments made to
participants, alternate payees, and
beneficiaries in terminating and
terminated pension plans covered by
ERISA; and other relevant records
relating to a debt including the amount,
status, and history of the debt, and the
program under which the debt arose.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 31 U.S.C. 3711(a); 44
U.S.C. 3101; 5 U.S.C. 301.
tkelley on DSK3SPTVN1PROD with NOTICES2
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, pension
plans and/or sponsors owing insurance
premiums, interest and penalties; PBGC
employees and former employees;
consultants and vendors; participants,
alternate payees, and beneficiaries in
terminating and terminated pension
plans covered by ERISA; and
individuals who received payments
from PBGC to which they are not
entitled. This system facilitates PBGC’s
compliance with the Debt Collection
Improvement Act of 1996.
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Jkt 232001
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G13 apply to this system of records (see
Prefatory Statement of General Routine
Uses).
2. A record from this system of
records may be disclosed to the United
States Department of the Treasury for
cross-servicing to effect debt collection
in accordance with 31 U.S.C. 3711(e).
3. Names, addresses, and telephone
numbers of employees, participants, and
beneficiaries and information pertaining
to debts owed by such individuals to the
PBGC may be disclosed to a debt
collection agency or firm to collect a
claim. Disclosure to a debt collection
agency or firm 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.
4. These records may be used to
disclose information to any Federal
agency, state or local agency, U.S.
territory or commonwealth, or the
District of Columbia, or their agents or
contractors, including private collection
agencies (consumer and commercial):
a. To facilitate the collection of debts
through the use of any combination of
various debt collection methods
required or authorized by law,
including, but not limited to:
i. Request for repayment by telephone
or in writing;
ii. Negotiation of voluntary repayment
or compromise agreements;
iii. Offset of Federal payments, which
may include the disclosure of
information contained in the records for
the purpose of providing the debtor
with appropriate pre-offset notice and to
otherwise comply with offset
prerequisites, to facilitate voluntary
repayment in lieu of offset, and to
otherwise effectuate the offset process;
iv. Referral of debts to private
collection agencies, to Treasury
designated debt collection centers, or for
litigation;
v. Administrative and court-ordered
wage garnishment;
vi. Debt sales;
PO 00000
Frm 00016
Fmt 4701
Sfmt 4703
vii. Publication of names and
identities of delinquent debtors in the
media or other appropriate places; and
viii. Any other debt collection method
authorized by law;
b. To collect a debt owed to the
United States through the offset of
payments made by states, territories,
commonwealths, or the District of
Columbia;
c. To account or report on the status
of debts for which such entity has a
financial or other legitimate need for the
information in the performance of
official duties; or,
d. For any other appropriate debt
collection purpose.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
Information may be disclosed to a
consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: Employer
identification number; social security
number; plan number; name of debtor,
plan, plan sponsor, plan administrator,
participant, alternate payee, or
beneficiary.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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 are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
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records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Financial Operations
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
tkelley on DSK3SPTVN1PROD with NOTICES2
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Subject individuals; plan
administrators; labor organization
officials; debt collection agencies or
firms; firms or agencies providing
locator services; field benefit
administrator offices, and other federal
agencies.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–14
SYSTEM NAME:
My Plan Administration Account
Records—PBGC.
SECURITY CLASSIFICATION:
SYSTEM LOCATION:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who use the My Plan
Administration Account (‘‘My PAA’’)
application to make PBGC filings and
payments electronically via the PBGC’s
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:
User’s name; work telephone number;
work email address; other contact
information; a temporary PBGC-issued
user ID and password; a user-selected
user ID and password; a secret question/
secret answer combination for
authentication; for each pension plan
for which the user intends to participate
in making filings with the PBGC: The
plan name; employer identification
number (EIN); plan number (PN); the
plan administrator’s name, address,
phone number, email address, and other
contact information; and the role that
the user will play in the filing process,
e.g., creating and editing filings, signing
filings electronically as the plan
administrator, signing filings
Fmt 4701
Sfmt 4703
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302, 1306, 1307, 1341, and
1343; 44 U.S.C. 3101; 5 U.S.C. 301.
PURPOSE(S):
This system of records is maintained
for use in verifying the identity of
individuals who register to use the My
PAA application to make PBGC filings,
and receiving, authenticating,
processing, and keeping a history of
filings and premium payments
submitted to PBGC by registered users.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1, G4,
G5, G6, G7, G9, G10, and G12 apply to
this system of records (see Prefatory
Statement of General Routine Uses).
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
None.
STORAGE:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
Frm 00017
electronically as the enrolled actuary, or
authorizing payments to the PBGC.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
None.
PO 00000
53587
Records are maintained in electronic
form, including computer databases,
magnetic tapes and discs. Records are
also maintained on PBGC’s network
back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: Name; user ID;
email address; telephone number; plan
name; EIN; or plan number.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to unauthorized
individuals.
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 in
accordance with the General Records
Retention Schedules issued by the
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National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Financial Operations
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
tkelley on DSK3SPTVN1PROD with NOTICES2
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Registered users.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1, G4,
G5, G7, and G9 through G11 apply to
this system of records (see Prefatory
Statement of General Routine Uses).
2. A record in this system of records
may be disclosed to family members,
emergency medical personnel, or to law
enforcement officials in case of a
medical or other emergency involving
the subject individual (without the
subsequent notification prescribed in 5
U.S.C. 552a(b)(8)).
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
None.
PBGC–15
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
SYSTEM NAME:
Emergency Notification Records—
PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
STORAGE:
Records are maintained in paper and
electronic form, including magnetic
tapes and discs. Records are also
maintained on PBGC’s network back-up
tapes.
RETRIEVABILITY:
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
PBGC employees and individuals who
work for PBGC as contractors or as
employees of contractors.
Records are retrieved by any one or
more of the following: Name;
organizational component; or user ID
and password.
SAFEGUARDS:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301; Executive Order 12656, 53
FR 47491 (1988); Presidential Decision
Directive 67 (1998).
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
Paper records are kept in locked file
cabinets in areas of restricted access.
Electronic records are stored on
computer networks and protected by
assigning both network and systemspecific usernames and passwords to
individuals needing access to the
records.
PURPOSE(S):
RETENTION AND DISPOSAL:
This system of records is maintained
for 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;
and 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.
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name; title; organizational
component; employer; PBGC and
personal telephone numbers; PBGC and
personal email addresses; other contact
information; user ID; a temporary PBGCissued password; and a user-selected
password.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
PO 00000
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SYSTEM MANAGER(S) AND ADDRESS:
SECURITY CLASSIFICATION:
Director, Workplace Solutions
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
PBGC employees and contractors with
PBGC network access.
CATEGORIES OF RECORDS IN THE SYSTEM:
Name; photograph; personal
description; skills; interests; schools;
birthday; mobile phone number; home
phone number; organizational
component and title; supervisor’s name;
PBGC street address; room or
workstation number; PBGC network ID;
work email address; and work telephone
number and extension.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301.
PURPOSE(S):
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 Notification Procedures
above.
This system of records is used by
PBGC employees and contractors to
identify other PBGC employees 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:
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
tkelley on DSK3SPTVN1PROD with NOTICES2
RECORD SOURCE CATEGORIES:
Subject individuals.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–16
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. Records are also
maintained on PBGC’s network back-up
tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: Name; username;
organizational component; job title;
work phone number; office number;
supervisor; work email; skills; interests;
birth date; education; peers; and
employee type (federal or contractor).
SAFEGUARDS:
SYSTEM NAME:
The PBGC has adopted appropriate
administrative, technical, and physical
People Search—PBGC.
VerDate Mar<15>2010
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1
through G13 apply to this system of
records (see Prefatory Statement of
General Routine Uses).
18:22 Sep 08, 2014
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53589
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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 in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Information Technology
Infrastructure Operations Department,
PBGC, 1200 K Street NW., Washington,
DC 20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
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c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Subject individuals and PBGC
personnel records.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–17
SYSTEM NAME:
Office of Inspector General
Investigative File System—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Inspector General, PBGC,
1200 K Street NW., Washington DC,
20005.
tkelley on DSK3SPTVN1PROD with NOTICES2
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals named in investigations
conducted by OIG; complainants and
subjects of complaints collected through
the operation of the OIG Hotline; 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
18:22 Sep 08, 2014
Jkt 232001
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3; 5 U.S.C. App. 6.
PURPOSE(S):
This system of records is used to
supervise and conduct audits and
investigations relating to programs and
operations of PBGC.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
RECORD SOURCE CATEGORIES:
VerDate Mar<15>2010
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 personnel, financial,
contractual, and property management
records maintained by PBGC;
information submitted by or about
pension plan sponsors or plan
participants; 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, dates of birth and death,
fingerprints, handwriting samples,
reports of confidential informants,
physical identifying data, voiceprints,
polygraph tests, photographs, and
individual personnel and payroll
information.
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1, G2,
G4, G5, G7, and G9 through G13 apply
to this system of records (see Prefatory
Statement of General Routine Uses).
2. 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.
3. 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.
4. 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
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Fmt 4701
Sfmt 4703
any official investigation or during a
trial or hearing or when preparing for a
trial or hearing.
5. 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.
6. A record originating exclusively
within this system of records may be
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.
7. 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.
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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
Information may be disclosed to a
consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, discs, and an
automated database.
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RETRIEVABILITY:
CONTESTING RECORD PROCEDURE:
Records may be retrieved by any one
or more of the following: Name; social
security number; subject category; or
assigned case number.
This system is exempt from the
notification requirements. However,
consideration will be given requests
made in compliance with 29 CFR
4902.3.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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 onsite audits and inspections. Computers
are protected by mechanical locks, cardkey 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:
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Inspector General, PBGC, 1200 K
Street NW., Washington, DC, 20005.
tkelley on DSK3SPTVN1PROD with NOTICES2
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 PROCEDURE:
This system is exempt from the access
requirements. However, consideration
will be given to requests made in
compliance with 29 CFR 4902.3.
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
RECORD SOURCE CATEGORIES:
Subject individuals; 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; service providers; other
law enforcement organizations; grantees
and subgrantees; contractors and
subcontractors; pension plan sponsors
and participants; and other sources.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
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.
PBGC—19
SYSTEM NAME:
Office of General Counsel Case
Management System—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington DC, 20005.
Records may also be kept at an
additional location as backup for
Continuity of Operations.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Individuals who are participants,
beneficiaries, and alternate payees in
pension plans covered by ERISA;
pension plan sponsors, administrators,
control group members and third
parties, who are responsible for,
manage, or have control over ERISA
pension plans; other individuals who
are identified in connection with
investigations conducted pursuant to
section 4003(a) of ERISA and/or
litigation conducted with regard to
ERISA pension plans; individuals
(including PBGC employees) who are
parties or witnesses in civil litigation or
administrative proceedings involving or
concerning the PBGC or its officers or
employees; individuals who are the
subject of a breach of personally
identifiable information; individuals
who are potential contractors or
contractors with PBGC or are otherwise
personally associated with a contract or
PO 00000
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53591
procurement matter; individuals who
receive legal advice from the Office of
General Counsel; and other individuals
(including current, former, and potential
PBGC employees, contract employees,
interns, externs, and volunteers) who
are the subject of or are otherwise
connected to an inquiry, investigation,
other matter handled by the Office of
General Counsel.
CATEGORIES OF RECORDS IN THE SYSTEM:
Notes, reports, memoranda;
settlements; agreements;
correspondence; contracts; contract
proposal and other procurement
documents; plan documents;
participant, alternate payee, and
beneficiary files; initial and final PBGC
determinations of ERISA matters;
Freedom of Information Act and the
Privacy Act appeals and decisions of
those appeals; drafts and legal reviews
of proposed personnel actions;
personnel records; litigation files; labor
relations files; information provided by
labor unions or other organizations;
witness statements; summonses and
subpoenas, discovery requests and
responses; and breach reports and
supporting documentation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. Sections 1055, 1056(d)(3),
1302, 1303, 1310, 1321, 1322, 1322a,
1341, 1342, 1343 and 1350; 5 U.S.C.
app. 105; 5 U.S.C. 301; 44 U.S.C. 3101.
PURPOSE(S):
The purpose of this system of records
is to catalog, litigate, or otherwise
resolve any case or matter handled by
the following practice groups of the
Office of the General Counsel: General
Law and Ethics Group, General Law and
Procurement Group, Litigation and
Employment Law Group, Legal
Technology & Administration Division,
and ERISA Counseling Group.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1
through G13 apply to this system of
records (see Prefatory Statement of
General Routine Uses).
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.
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3. Names, addresses, and telephone
numbers of employees, former
employees, participants, and
beneficiaries and information pertaining
to debts to the PBGC may be disclosed
to the Department of Treasury, the
Department of Justice, a credit agency,
and a debt collection firm to collect the
debt. Disclosure to a debt collection firm
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.
4. Information may be disclosed to a
court, magistrate, or administrative
tribunal in the course of presenting
evidence, including disclosures to
opposing counsel or witnesses in the
course of civil discovery, litigation, or
settlement negotiations in response to a
court order or in connection with
criminal law proceedings.
5. Information may be provided to a
congressional office in response to an
inquiry made at the request of the
individual to whom the record pertains.
6. Information may be provided to
third parties during the course of an
investigation to the extent necessary to
obtain information pertinent to the
investigation.
7. Relevant and necessary information
may be disclosed to a former employee
of PBGC for the purposes of: (1)
Responding to an official inquiry by
federal, state, or local government entity
or professional licensing authority; or,
(2) facilitating communications with a
former employee that may be necessary
for personnel-related or other official
purposes where PBGC requires
information and/or consultation
assistance from the former employee
regarding a matter within that person’s
former area of responsibility.
8. A record relating to a case or matter
may be disseminated to a foreign
country pursuant to an international
treaty or convention entered into and
ratified by the United States or to an
executive agreement.
9. A record may be disseminated to a
foreign country, through the United
States Department of State or directly to
the representative of such country, to
the extent necessary to assist such
country in civil or criminal proceedings
in which the United States or one of its
officers or agencies has an interest.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
Information may be disclosed to a
consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
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18:22 Sep 08, 2014
Jkt 232001
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
RETRIEVABILITY:
Records are indexed by assigned case
number and sequential record ID.
Records are full-text indexed and thus
can be retrieved by any free-form key,
which may include names or other
personal identifiers.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
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 unique user identification
numbers to individuals who are
authorized to access the records, and by
passwords set by these users that must
be changed periodically.
RETENTION AND DISPOSAL:
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Associate General Counsel, PBGC,
1200 K Street NW., Washington, DC
20005.
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
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Fmt 4701
Sfmt 4703
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Subject individuals; pension plan
participants, sponsors, administrators
and third-parties; federal government
records; current and former employees,
contractors, interns, and externs; PBGC
claim and payment files; insurers; the
Social Security Administration; labor
organizations; court records; articles
from publications; and other
individuals, organizations, and
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corporate entities with relevant
knowledge/information.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:
Pursuant to 5 U.S.C. 552a(k)(2),
records in this system are exempt from
the requirements of subsections (c)(3),
(d), (e)(1), (e)(4) (G), (H), (I), and (f) of
5 U.S.C. 552a, provided, however, that
if any individual is denied any right,
privilege, or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of the material would reveal
the identity of a source who furnished
information to the Government with an
express promise that the identity of the
source would be held in confidence.
PBGC–21
SYSTEM NAME:
Reasonable Accommodation
Records—PBGC.
SECURITY CLASSIFICATION:
relating to the processing of the request,
and whether the request was approved
or denied, and whether the
accommodation was approved for a trial
period; notification(s) to the employee
and his/her supervisor(s) regarding the
accommodation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301; 29 U.S.C. 701 et seq.; 42
U.S.C. 12101 et seq.; Executive Order
13164 (July 28, 2000); and Executive
Order 13548 (July 10, 2010).
PURPOSE(S):
The purposes of this system are: (1)
To allow PBGC to collect and maintain
records on prospective, current, and
former employees with disabilities who
requested or received reasonable
accommodation by PBGC; (2) to track
and report the processing of requests for
reasonable accommodation PBGC-wide
to comply with applicable law and
regulations; and (3) to preserve and
maintain the confidentiality of medical
information submitted by or on behalf of
applicants or employees requesting
reasonable accommodation.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
None.
SYSTEM LOCATION:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
CATEGORIES OF INDIVIDUALS COVERED BY THE
of 1974, 5 U.S.C. 552a(b), and:
SYSTEM:
1. General Routine Uses G1 through
Prospective, current, and former
G13 apply to this system of records (see
employees of the PBGC who request
Prefatory Statement of General Routine
and/or receive a reasonable
Uses).
2. A record from this system of
accommodation for a disability; and
records may be disclosed to physicians
authorized individuals or
or other medical professionals to
representatives (e.g., family members,
union representatives, or attorneys) who provide them with or obtain from them
the necessary medical documentation
file a request for a reasonable
and/or certification for reasonable
accommodation on behalf of a
accommodation.
prospective, current, or former
3. A record from this system of
employee.
records may be disclosed to another
CATEGORIES OF RECORDS IN THE SYSTEM:
federal agency or commission with
Name and employment information of responsibility for labor or employment
employee needing an accommodation;
relations or other issues, including
requester’s name and contact
equal employment opportunity and
information (if different that the
reasonable accommodation issues, when
employee who needs an
that agency or commission has
accommodation); date request was
jurisdiction over reasonable
initiated; information concerning the
accommodation issues.
4. A record from this system of
nature of the disability and the need for
records may be disclosed to the Office
accommodation, including appropriate
of Management and Budget (OMB),
medical documentation; details of the
Department of Labor (DOL), Office of
accommodation request, such as: type
Personnel Management (OPM), Equal
of accommodation requested, how the
Employment Opportunity Commission
requested accommodation would assist
(EEOC), or Office of Special Counsel
in job performance, the sources of
(OSC) to obtain advice regarding
technical assistance consulted in trying
statutory, regulatory, policy, and other
to identify alternative reasonable
requirements related to reasonable
accommodation, any additional
accommodation.
information provided by the requester
tkelley on DSK3SPTVN1PROD with NOTICES2
PBGC, 1200 K Street NW.,
Washington, DC 20005.
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18:22 Sep 08, 2014
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Frm 00023
Fmt 4701
Sfmt 4703
53593
5. A record from this system of
records may be disclosed to appropriate
third-parties contracted by the Agency
to facilitate mediation or other dispute
resolution procedures or programs.
6. A record from this system of
records may be disclosed to the
Department of Defense (DOD) for
purposes of procuring assistive
technologies and services through the
Computer/Electronic Accommodation
Program in response to a request for
reasonable accommodation.
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
in electronic form, including computer
databases, magnetic tapes, or discs.
Records are also maintained on PBGC’s
network back-up tapes.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: Employee name
or assigned case number.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
Paper records are kept in file cabinets
in areas of restricted access that are
locked after office hours. Only
authorized personnel may be given
access to either the secured area or the
locked file cabinet.
Electronic records are stored on
computer networks and protected by
assigning both network and systemspecific 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 in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
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SYSTEM MANAGER(S) AND ADDRESS:
Reasonable Accommodation
Coordinator, Human Resources
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD SOURCE CATEGORIES:
RECORD ACCESS PROCEDURE:
Prospective, current, and former
employees of the PBGC who have been
granted or denied authorization to
participate in PBGC’s Telework Program
to work at an alternative worksite apart
from their official PBGC duty station.
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
tkelley on DSK3SPTVN1PROD with NOTICES2
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
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18:22 Sep 08, 2014
Jkt 232001
Subject individuals; individual
making the request (if different than the
subject individuals); medical
professionals; and the subject
individuals’ supervisor(s).
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
PBGC–22
SYSTEM NAME:
Telework and Alternative Worksite
Records—PBGC.
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
CATEGORIES OF RECORDS IN THE SYSTEM:
Name, position title, grade, job series,
and department name; official PBGC
duty station address and telephone
number; alternative worksite address
and telephone number(s); date telework
agreement received and approved/
denied; telework request and approval
form; telework agreement, selfcertification home safety checklist, and
supervisor-employee checklist; type of
telework requested (e.g., episodic or
regular); regular work schedule;
telework schedule; approvals/
disapprovals; description and list of
government-owned equipment and
software provided to the teleworker;
mass transit benefits received through
PBGC’s mass transit subsidy program;
parking subsidies received through
PBGC’s subsidized parking program;
and any other miscellaneous documents
supporting telework.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301; 5 U.S.C. 6120; 29 U.S.C. 701
et seq.
PURPOSE(S):
The purpose of this system of records
it to collect and maintain records on
PO 00000
Frm 00024
Fmt 4701
Sfmt 4703
prospective, current, and former
employees who have participated in,
presently participate in, or have sought
to participate in PBGC’s Telework
Program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through
G13 apply to this system of records (see
Prefatory Statement of General Routine
Uses).
2. A record from this system may be
disclosed to medical professionals to
obtain information about an employee’s
medical background necessary to grant
or deny approval of medical telework.
3. A record from this system may be
disclosed to federal, state, or local
governments during actual emergencies,
exercises, or continuity of operations
tests for the purposes of emergency
preparedness and responding to
emergency situations.
4. A record from this system may be
disclosed to the Department of Labor
when an employee is injured when
working at home while in the
performance of normal duties.
5. A record from this system may be
disclosed to the Office of Personnel
Management (OPM) for use in its
Telework Survey to provide
consolidated data on participation in
PBGC’s Telework Program.
6. A record from this system of
records may be disclosed to appropriate
third-parties contracted by the Agency
to facilitate mediation or other dispute
resolution procedures or programs.
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 computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
Also, each of PBGC’s departments has
a Telework Liaison who maintains
copies of the records pertaining to
employees working in his or her
department.
RETRIEVABILITY:
Records are retrieved by any one or
more of the following: employee name;
and the department in which the
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employee works, will work, or
previously worked.
identity and access to records (29 CFR
4902.3).
SAFEGUARDS:
RECORD ACCESS PROCEDURE:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
Paper records are kept in file cabinets
in areas of restricted access that are
locked after office hours. Only
authorized personnel may be given
access to either the secured area or the
locked file cabinet.
Electronic records are stored on
computer networks and protected by
assigning both network and systemspecific user identification numbers to
individuals needing access to the
records and by passwords set by
authorized users that must be changed
periodically.
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RETENTION AND DISPOSAL:
Records are maintained in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Agency Telework Managing Officer,
Workplace Solutions Department,
PBGC, 1200 K Street NW., Washington,
DC 20005.
tkelley on DSK3SPTVN1PROD with NOTICES2
NOTIFICATION PROCEDURE:
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
CONTESTING RECORD PROCEDURE:
Individuals wishing to request an
amendment to their records should
submit a written request to the
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Subject individuals; subject
individuals’ supervisors.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
None.
53595
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Current or former PBGC employees,
contractors, and interns who have filed
a complaint or report of harassment, or
have been accused of harassing
conduct, as described in PBGC’s Policy
to Prevent Harassing Conduct in the
Workplace.
CATEGORIES OF RECORDS IN THE SYSTEM:
The system contains all documents
related to a complaint or report of
harassment, which may include the
name, position, grade, and supervisor(s)
of the complainant and the accused; the
complaint; statements of witnesses;
reports of interviews; final decisions and
corrective actions taken; and related
correspondence and exhibits.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1302; 44 U.S.C. 3101; 5
U.S.C. 301; 42 U.S.C. 2000e et seq.
PURPOSE:
This system of records is maintained
for the purpose of upholding PBGC’s
Policy to Prevent Harassing Conduct in
the Workplace and eradicating
harassment in the workplace, including
conducting and resolving internal
investigations of allegations of
harassment brought by or against PBGC
employees.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Information about covered
individuals may be disclosed without
consent as permitted by the Privacy Act
of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1
through G13 apply to this system of
records (see Prefatory Statement of
General Routine Uses).
2. Disclosure of information from this
system of records regarding the status of
any investigation that may have been
conducted may be made to the
complaining party and to the alleged
harasser when the purpose of the
disclosure is both relevant and
necessary and is compatible with the
purpose for which the information was
collected.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:
PBGC—23
None.
SYSTEM NAME:
Internal Investigations of Allegations
of Harassing Conduct—PBGC
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
SECURITY CLASSIFICATION:
STORAGE:
None.
SYSTEM LOCATION:
PBGC, 1200 K Street NW.,
Washington, DC 20005.
PO 00000
Frm 00025
Fmt 4701
Sfmt 4703
Records are maintained in paper and/
or electronic form, including computer
databases, magnetic tapes, and discs.
Records are also maintained on PBGC’s
network back-up tapes.
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RETRIEVABILITY:
Records are retrieved by any one or
more of the following: Name;
department; or unique identifier
assigned to each incident reported.
SAFEGUARDS:
The PBGC has adopted appropriate
administrative, technical, and physical
controls in accordance with PBGC’s
security program to protect the security,
integrity, and availability of the
information, and to ensure that records
are not disclosed to or accessed by
unauthorized individuals.
Paper records are kept in 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 in
accordance with the General Records
Retention Schedules issued by the
National Archives and Records
Administration (NARA) or a PBGC
records disposition schedule approved
by NARA.
Records existing on paper are
destroyed beyond recognition. Records
existing on computer storage media are
destroyed according to the applicable
PBGC media sanitization practice.
SYSTEM MANAGERS AND ADDRESS:
Director, Human Resources
Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
NOTIFICATION PROCEDURE:
tkelley on DSK3SPTVN1PROD with NOTICES2
Individuals wishing to learn whether
this system of records contains
information about them should submit
a written request to the Disclosure
VerDate Mar<15>2010
18:22 Sep 08, 2014
Jkt 232001
Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the
following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
RECORD ACCESS PROCEDURE:
Individuals wishing to request access
to their records should submit a written
request to the Disclosure Officer, PBGC,
1200 K Street NW., Washington, DC
20005, and provide the following
information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. The address to which the record
information should be sent.
d. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
Individuals requesting access must
also comply with PBGC’s Privacy Act
regulations regarding verification of
identity and access to records (29 CFR
4902.3).
CONTESTING RECORD PROCEDURE:
Individuals wishing to request
amendment to their records should
submit a written request to the
PO 00000
Frm 00026
Fmt 4701
Sfmt 9990
Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information
regarding the type of record involved.
c. A statement specifying the changes
to be made in the records and the
justification therefor.
d. The address to which the response
should be sent.
e. You must sign your request.
Attorneys or other persons acting on
behalf of an individual must provide
written authorization from that
individual for the representative to act
on their behalf.
RECORD SOURCE CATEGORIES:
Subject individuals; supervisors and
other PBGC employees with knowledge;
agency EEO specialists; management
officials; employee relations staff; PBGC
attorneys; outside counsel retained by
subject individuals; and medical
professionals.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2),
records in this system are exempt from
the requirements of subsections (c)(3),
(d), (e)(1), (e)(4)(G), (H), (I), and (f) of 5
U.S.C. 552a, provided, however, that if
any individual is denied any right
privilege, or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of the material would reveal
the identity of a source who furnished
information to the Government with an
express promise that the identity of the
source would be held in confidence.
[FR Doc. 2014–21438 Filed 9–8–14; 8:45 am]
BILLING CODE 7709–02–P
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09SEN2
Agencies
[Federal Register Volume 79, Number 174 (Tuesday, September 9, 2014)]
[Notices]
[Pages 53571-53596]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-21438]
[[Page 53571]]
Vol. 79
Tuesday,
No. 174
September 9, 2014
Part III
Pension Benefit Guaranty Corporation
-----------------------------------------------------------------------
Privacy Act of 1974; Systems of Records; Notice
Federal Register / Vol. 79 , No. 174 / Tuesday, September 9, 2014 /
Notices
[[Page 53572]]
-----------------------------------------------------------------------
PENSION BENEFIT GUARANTY CORPORATION
Privacy Act of 1974; Systems of Records
AGENCY: Pension Benefit Guaranty Corporation.
ACTION: Notice of retirement of systems of records, revision of routine
uses, revision of purpose and routine uses, technical revisions to
systems of records, and establishment of a new system of records.
-----------------------------------------------------------------------
SUMMARY: Pursuant to the Privacy Act of 1974, 5 U.S.C. 552a, the
Pension Benefit Guaranty Corporation (PBGC) is proposing to: (1) Retire
four existing systems of records, (2) revise the routine uses to an
existing system of records, (3) revise the purpose and routine uses to
an existing system of records, (4) add one exemption to three existing
systems of records, (5) make technical and clarifying changes to
seventeen existing systems of records, and (6) establish a new systems
of records. The revisions implemented under this republication are
corrective and administrative changes that refine previously published
system of records notices and present them in a clear and cohesive
format.
DATES: Comments must be received on or before October 9, 2014. The
revised and additional systems of records described herein will become
effective October 24, 2014, 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: https://www.regulations.gov.
Follow the Web site instructions for submitting comments.
Email: reg.comments@pbgc.gov.
Fax: 202-326-4224.
Mail or Hand Delivery: Legislative and Regulatory
Department, Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005.
Comments received, including personal information provided, will be
posted to https://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,
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: Andrew Seff, Assistant General
Counsel, Pension Benefit Guaranty Corporation, Office of the General
Counsel, 1200 K Street NW., Washington, DC 20005, 202-326-4400,
extension 3228. For access to any of the PBGC's systems of records,
contact Camilla Perry, Disclosure Officer, Office of the General
Counsel, Disclosure Division, at the above address, 202-326-4040.
SUPPLEMENTARY INFORMATION:
(1) PBGC Is Proposing To Retire Four Systems of Records
Pursuant the Privacy Act of 1974, 5 U.S.C. 552a, and as part of its
ongoing integration and management efforts, the Pension Benefit
Guaranty Corporation (PBGC) is retiring the following four systems of
records notices: PBGC-4, Employee Travel Records--PBGC (last published
at 77 FR 59252 (September 26, 2012)), PBGC-5, Personnel Files--PBGC
(last published at 77 FR 59252 (September 26, 2012)), PBGC-18, Office
of Negotiations and Restructuring Risk Management Early Warning
System--PBGC (last published at 77 FR 59252 (September 26, 2012)), and
PBGC-20, Identity Management System (IDMS) (last published at 77 FR
59252 (September 26, 2012)).
With regard to PBGC-4, PBGC will continue to collect and maintain
records regarding individuals who use PBGC's travel and transportation
resources and will rely upon the existing Federal Government-wide
system of records titled GSA/GOVT-4 (Contracted Travel Service Program
(50 FR 20294 April 15, 1985), which is written to cover all Federal
travel service programs.
With regard to PBGC-5, PBGC will continue to collect and maintain
personnel records and will rely upon the existing Federal Government-
wide systems of records titled OPM/GOVT-1, General Personnel Records
(71 FR 35342 June 19, 2006) and OPM/GOVT-2, Employee Performance File
System of Records (71 FR 35347 June 19, 2006), which are written to
cover all general Federal Government personnel records.
With regard to PBGC-18, PBGC's Office of Negotiations and
Restructuring will continue to maintain its Risk Management and Early
Warning Program, but because none of the program records are retrieved
by individuals' personally identifiable information, the program does
not constitute a system of records as defined by the Privacy Act.
With regard to PBGC-20, PBGC will continue to collect and maintain
records pertaining to the Personal Identity Verification Management
System and will rely upon the existing Federal Government-wide system
of records titled GSA/GOVT-7 Personal Identity Verification Identity
Management System (73 FR 22377 April 25, 2008), which is written to
cover all PIV IDMS records of participating agencies.
Eliminating these notices will have no adverse impacts on
individuals, but will promote the overall streamlining and management
of PBGC Privacy Act record systems.
(2) PBGC Is Proposing To Revise Its Routine Uses for PBGC-6
PBGC is proposing to reorder the routine uses for PBGC-6 (this
change is being made to all existing systems of records to the extent
necessary to make all of PBGC's notices uniform in this regard).
PBGC is proposing to revise routine use 5 (last published as
routine use 4) PBGC-6, Plan Participant and Beneficiary Data--PBGC
(last revised at 78 FR 64031 (October 25, 2013)). The existing routine
use allows disclosure of payees' names, addresses, and telephone
numbers, and ``information pertaining to debts owed to by such payees''
to the Department of Treasury or a debt collection agency or firm to
collect a claim. PBGC is proposing that the phrase, ``information
pertaining to debts owed to by such payees,'' be changed to,
``information related to how the PBGC determined that a debt was owed
by such payees . . .'' The amended routine use better describes the
information that PBGC periodically discloses under the routine use.
PBGC is also proposing to add two additional routine uses to PBGC-
6. Routine use 15 will read, ``Information relating to revocation of a
power of attorney may be disclosed to the former agent that was named
in the revoked power of attorney.'' This routine use is necessary to
allow PBGC to notify an agent that he/she no longer has power of
attorney for a given individual because the individual has provided
PBGC with written notice of a new power of attorney. This routine use
will make it possible for PBGC to avoid delays and confusion when an
individual changes his/her power of attorney while interacting or
communicating with PBGC.
Routine use 16 will read, ``Name and date of birth of a
participant's beneficiary may be provided to that participant upon
request by that participant.'' This routine use is necessary to allow
PBGC to better respond to requests from participants for ``a copy of my
file.'' Presently, when responding to such a request, PBGC withholds
the personal information (i.e. name, date of birth, address, social
[[Page 53573]]
security number, etc.) of a beneficiary that is contained in
participant's file, even though it was often the participant who
originally provided the beneficiary's personal information (as a
function of naming the individual as a beneficiary), because it is
personally identifiable information about an individual other than the
requester. By allowing PBGC to disclose the name and date of birth of a
participant's beneficiary to that participant, routine use 16 will
allow PBGC to provide sufficient information about a beneficiary for a
participant to know who he/she named as a beneficiary while still
protecting the beneficiary's privacy (e.g. not disclosing the
beneficiary's social security number). This routine use will improve
customer service without sacrificing any individuals' privacy
interests.
(3) PBGC Is Proposing To Revise the Purpose of and Routine Uses to
PBGC-11
PBGC is proposing to revise the purpose of the PBGC-11, Call Detail
Records (last revised at 77 FR 59252 (September 26, 2012)). The
existing purpose focuses on operating costs, one element of which is
monitoring employees' phone usage. Operating costs are no longer a
concern, but PBGC continues to use the system of records to monitor
employees' phone usage. PBGC is therefore proposing to narrow the
purpose of PBGC-11 accordingly.
In accordance with the proposed narrower purpose, PBGC is proposing
to delete Routine Uses 1 and 2 of PBGC--11.
(4) PBGC Is Proposing To Add Exemption (k)(2) to Three of Its Existing
Systems of Records
PBGC is proposing to add exemption (k)(2) to PBGC-8, Employee
Relations Files, PBGC-12, Personnel Security Investigation Records, and
PBGC-19, Office of General Counsel Case Management System. Adding this
exemption will permit PBGC to assist civil and criminal law enforcement
when necessary without unfairly or inappropriately limiting any
individuals' access to Privacy Act records. This exemption will also be
included in PBGC's new systems of records, PBGC-23, Internal
Investigations of Allegations of Harassing Conduct.
(5) Pbgc Is Proposing To Make Technical and Clarifying Amendments to
Seventeen Systems of Records
PBGC is proposing to correct and update the security
classification, system location, categories of individuals covered by
the system, categories of records in the system, authority for
maintenance of the system, purpose(s), routine uses of records
maintained in the system, including categories of users and the
purposes of such uses, disclosure to consumer reporting agencies,
storage, retrievability, safeguards, retention and disposal, system
manager(s) and address, notification procedure, record access
procedures, contesting record procedures, record source categories, and
systems exempted from certain provisions of the Act of PBGC-1,
Correspondence Between the PBGC and Persons Outside of the PBGC (last
published at 77 FR 59252 (September 26, 2012)), PBGC-2, Disbursements
(last published at 78 FR 64031 (October 25, 2013)), PBGC-3, Employee
Payroll, Leave, and Attendance Records (last published at 77 FR 59252
(September 26, 2012)), PBGC-6, Plan Participant and Beneficiary Data
(last published at 78 FR 64031 (October 25, 2013)), PBGC-8, Employee
Relations Files (last published at 77 FR 59252 (September 26, 2012)),
PBGC-9, Plan Participant and Beneficiary Address Identification File
(last published at 77 FR 59252 (September 26, 2012)), PBGC-10,
Administrative Appeals File (last published at 77 FR 59252 (September
26, 2012)), PBGC-11, Call Detail Records (last published at 77 FR 59252
(September 26, 2012)), PBGC-12, Personnel Security Investigation
Records (last published at 77 FR 59252 (September 26, 2012)), PBGC-13,
Debt Collection (last published at 77 FR 59252 (September 26, 2012)),
PBGC-14, My Plan Administration Account Authentication Records (last
published at 77 FR 59252 (September 26, 2012)), PBGC-15, Emergency
Notification Records (last published at 77 FR 59252 (September 26,
2012)), PBGC-16, Employee Online Directory (last published at 77 FR
59252 (September 26, 2012)), PBGC-17, Inspector General Investigative
File System (last published at 77 FR 59252 (September 26, 2012)), PBGC-
19, Office of General Counsel Case Management System (last published at
77 FR 59252 (September 26, 2012)), PBGC-21, Reasonable Accommodation
Records (last published at 78 FR 64031 (October 25, 2013)), and PBGC-
22, Telework and Alternative Worksite Records (last published at 78 FR
64031 (October 25, 2013)). These amendments, the majority of which are
non-substantive, will make the systems of records notices more accurate
and easier to understand, individually, and when read together.
PBGC is also proposing to amend the names of PBGC-1, Correspondence
Between the PBGC and Persons Outside of the PBGC-PBGC, PBGC-9, Plan
Participant and Beneficiary Address Identification File, PBGC-14, My
Plan Administration Account Authentication Records, and PBGC-16,
Employee Online Directory--PBGC. PBGC-1 will now be named Congressional
Correspondence, PBGC-9 will now be named Unclaimed Pensions, PBGC-14
will now be named My Plan Administration Account Records, and PBGC-16
will now be named People Search. These amendments make the system names
more accurate of the respective systems of records.
(6) PBGC Is Proposing To Establish a New System Of Records
PBGC is proposing establish a new system of records titled, ``PBGC-
23, Internal Investigations of Allegations of Harassing Conduct--
PBGC.'' The proposed system of records is necessary to carry out PBGC's
Prevention of Workplace Harassment Policy and will cover files that
identify by name, or other personal identifier, individuals who have
complained that they have been subjected to harassment in the
workplace, as well as individuals about whom such complaints have been
made. These files may include: Complaints (including a completed
complaint form), details pertaining to interim measures considered and/
or taken, investigation notes, witness statements, emails and other
evidence collected during an investigation, correspondence,
communications with PBGC's Office of General Counsel, results of an
investigation, and close-out memoranda. The Human Resources Department,
as it has always done, will continue to respect the privacy of
individuals named in these files and will disclose, within the
boundaries of the law, the least amount of information necessary to
perform its responsibilities.
The collection and maintenance of records subject to this system
are not new because records of the same type have been collected and
maintained by the Human Resources since its establishment. Those
records, however, were not previously maintained or retrieved by a name
or other personal identifier. With the implementation of new harassment
investigation procedures (scheduled to become effective on October 1,
2014), which includes a new record-keeping scheme, the records will be
in a system of records, as defined in The Privacy Act Implementation:
Guidelines and Responsibilities, 40 FR 28,498 (July 9, 1975).
[[Page 53574]]
Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to
submit written comments on the proposal of these two systems of
records. A report on the proposed systems has been sent to Congress and
the Office of Management and Budget for their evaluation.
For the convenience of the public, PBGC's Prefatory Statement of
General Routine Uses, the amended systems of records, and the new
systems of records are published in full below with changes italicized.
Issued in Washington, DC, this 3rd day of September, 2014.
Alice Maroni
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 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.
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 the PBGC or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such
agencies, entities, and 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.
G10. Routine Use--Contractors, Experts, and Consultants. To
contractors, experts, consultants, and the agents of thereof, and
others performing or working on a contract, service, cooperative
agreement, or other assignment for Pension Benefit Guaranty
Corporation, (PBGC) when necessary to accomplish an agency function.
Individuals provided information under this routine use are subject to
the same Privacy Act requirements and limitations on disclosure as are
applicable to PBGC employees.
G11. Routine Use--Records Management. To the National Archives and
Records Administration or to the General Services Administration for
records management inspections conducted under 44 U.S.C. Sec. Sec.
2904 and 2906.
G12. Routine Use--Gathering Information. To any source from which
information is requested in the course of processing a grievance,
investigation, arbitration, or other litigation, to the extent
necessary to identify the individual, inform the source of the
purpose(s) of the request, and identify the type of information
requested.
G13. Routine Use--Disclosure to a Federal Agency. To disclose
information to a Federal agency, in response to its request, in
connection with hiring or retaining an employee, issuing a security
clearance, conducting a security or suitability investigation of an
individual, or classifying jobs, to the extent that the information is
relevant and necessary to the requesting agency's decision on the
matter.
[[Page 53575]]
PBGC-1
System Name:
Congressional Correspondence--PBGC.
System Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Individuals who have corresponded with PBGC.
Categories of Records in the System:
Correspondence received; replies to such correspondence.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; and 5 U.S.C. 301
Purpose(s):
This system of records is maintained to catalog and respond to
correspondence received from members of Congress.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G11 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 manually in paper and/or electronic form,
including computer databases, magnetic tapes, and discs. Records are
also maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by name of the correspondent.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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 maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Communications Outreach and Legislative Affairs, PBGC,
1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Correspondents; agency employees preparing responses to incoming
correspondence or who generate original correspondence in their
official capacities.
Exemptions Claimed for the System:
None.
PBGC-2
System Name:
Disbursements--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005, and/or field benefit
administrator, plan administrator, and paying agent worksites.
Records may also be kept at an additional location as backup for
Continuity of Operations.
Categories of Individuals Covered by the System:
Individuals who are consultants and vendors to the PBGC; PBGC
employees; and any other individuals who receive payments from PBGC.
Categories of Records in the Systems:
Acquisition data for the procurement of goods and services;
invoices; payment vouchers; Commercial and Government Entity (CAGE)
codes; Dun & Bradstreet
[[Page 53576]]
Data Universal Numbering System (DUNS) numbers; supplier status; Web
site; name; address; taxpayer identification number; bank information;
Social Security number; and other information related to the
disbursements of funds.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301.
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
on behalf of PBGC.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G7, and G9 through G12 apply to
this system of records (see Prefatory Statement of General Routine
Uses).
2. A record from this system of records may be transmitted to the
United States Department of the Treasury to effect payments to
consultants and vendors, or to verify consultants' and vendors'
eligibility to receive payments.
Disclosure to Consumer Reporting Agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained by PBGC in paper and/or electronic form,
including computer databases, magnetic tapes, and discs. Records are
also maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: name,
tax payer identification number; and contract number.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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 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 are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Financial Operations Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K
Street, NW., Washington, DC 20005, and provide the following
information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals and PBGC.
Exemptions Claimed for the System:
None.
PBGC-3
System Name:
Employee Payroll, Leave, and Attendance Records--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Current and former PBGC employees.
Categories of Records in the System:
Personnel information, including names, addresses, social security
numbers, employee numbers, and notifications of personnel actions
payroll information, including co-owner and/or beneficiary of bonds,
marital status and number of dependents, child support enforcement
court orders, debts owed to PBGC, garnishments, personal bank account
and direct deposit information, tax information, and other deductions;
salary data; fiscal year data; and time and attendance records.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301.
[[Page 53577]]
Purpose(s):
This system of records is maintained to perform agency 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 allotments,
to financial institutions, and for other authorized purposes), 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:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. A record from this system of records may be disclosed to the
United States Department of the Interior, the United States Department
of Labor, and the United States Department of the Treasury to effect
payments to employees.
3. Payments owed to PBGC through current and former employees may
be shared with the Department of the Interior for the purposes of
offsetting the employee's salary. Payments owed to PBGC through current
and former employees who become delinquent in repaying the necessary
funds may be shared with the Department of Treasury for the purposes of
offsetting the employee's salary.
Disclosure to Consumer Reporting Agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: name;
employee number; or social security number.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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 both network and
system-specific 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Financial Operations Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K
Street, NW., Washington, DC 20005, and provide the following
information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; subject individuals' supervisor(s); subject
individuals' timekeeper(s); and the Office of Personnel Management.
Exemptions Claimed for the System:
None.
PBGC-6
System Name:
Plan Participant and Beneficiary Data--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005, and/or field benefit
administrator, plan administrator, and paying agent worksites.
Categories of Individuals Covered by the System:
Participants, alternate payees, and beneficiaries in terminating
and terminated pension plans covered ERISA.
Categories of Records in the System:
Names; addresses; telephone numbers; sex; social security numbers
and other Social Security Administration information; dates of
[[Page 53578]]
birth; dates of hire; salary; marital status; domestic relations
orders; time of plan participation; eligibility status; pay status;
benefit data, including records of benefit payments made to
participants, alternate payees, and beneficiaries in terminating and
terminated pension plans covered by ERISA; health-related information;
powers of attorney; insurance information where plan benefits are
provided by private insurers; pension plan names and numbers; initial
and final PBGC determinations (see 29 CFR 4003.21 and 4003.59); and
other records relating to debts owed to PBGC.
Authority for Maintenance of the System:
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342,
and 1350; 26 U.S.C. 6103; 29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301.
Purpose(s):
This system of records is maintained for use in determining whether
participants, alternate payees, and beneficiaries are eligible for
benefits under plans covered by ERISA, determining supplemental
payments to be paid to those persons by a party other than PBGC,
determining the amounts of benefits to be paid, making benefit
payments, collecting benefit overpayments, and complying with statutory
and regulatory mandates.
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:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1, G2, G4 through G7, and G9 through G12
apply to this system of records (see Prefatory Statement of General
Routine Uses).
2. A record from this system of records may be disclosed to third
parties, such as banks, insurance companies, or trustees:
a. To enable these third parties to make or determine benefit
payments, or
b. To report to the IRS the amounts of benefits paid (or required
to be paid) and taxes withheld.
3. 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.
4. 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 current or former
collective bargaining representative of the individual about whom a
request is made.
5. Payees' names, addresses, telephone numbers, and information
related to how PBGC determined that a debt was owed by such payees to
the PBGC may be disclosed to the Department of the Treasury or a debt
collection agency or firm to collect a claim. Disclosure to a debt
collection agency or firm shall be made only under a contract issued by
the federal government that binds any such contractor or employee of
such contractor to the 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.
6. 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.
7. 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 written request by a prospective
alternate payee, or the payee's representative, 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 or their representative under this routine use.
8. 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 an alternate payee, or their representative, 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 may notify the participant of the information
disclosed to an alternate payee or their representative under this
routine use.
9. Information from an alternate payee's initial determination
under 29 CFR 4003.1(b) (excluding the alternate payee's address,
telephone number, social security number, and any sensitive medical
information) may be disclosed to a participant, or their
representative, 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 participant so that the participant
can pursue an administrative appeal of the benefit determination under
29 CFR 4003.51. The PBGC may notify the alternate payee of the
information disclosed to a participant or their representative under
this routine use.
10. Information used in calculating the benefit, or share of the
benefit, of a participant or alternate payee (excluding the
participant's or alternate payee's address, telephone number, social
security number, and any sensitive medical information) may be
disclosed to a participant or an alternate payee, or their
representative, when (a) a qualified domestic relations order issued
pursuant to 29 U.S.C. 1056(d) and 26 U.S.C. 414(p) affects the
calculation of the benefit, or share of the benefit, of the participant
or alternate payee; and (b) the information is needed to explain to the
participant or alternate payee how the PBGC calculated the benefit, or
share of the benefit, of the participant or alternate payee. The PBGC
may notify the participant or the alternate payee, or their
representative, as appropriate, of the information disclosed to the
participant or the alternate payee, or their representative, under this
routine use.
11. The names, addresses, social security numbers, dates of birth,
and the pension plan name and number of eligible PBGC pension
recipients may be disclosed to the Department of the 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
[[Page 53579]]
payment of the tax credit under 26 U.S.C. 7527.
12. 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).
13. Payees' names, social security numbers, and dates of birth may
be provided to the Department of the Treasury's Bureau of the Public
Debt, the Social Security Administration, and the Internal Revenue
Service to verify payees' eligibility to receive payments.
14. Names and social security numbers of participants and
beneficiaries may be provided to the Department of the Treasury, the
Department of the Treasury's financial agent, and the Federal Reserve
Bank for the purpose of learning which of PBGC's check payees have
established electronic debit card accounts used for the electronic
deposit of federal benefit payments.
15. Information relating to revocation of a power of attorney may
be disclosed to the former agent that was named in the revoked power of
attorney.
16. The name and date of birth of a participant's beneficiary may
be provided to that participant upon request by that participant.
Disclosure to Consumer Reporting Agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: name;
social security number; customer identification number; date of birth;
or date of death.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
Paper and electronic records that contain federal tax information
are stored separately and are kept in locked file cabinets in areas of
restricted access under procedures that meet IRS safeguarding
standards.
Other paper and microfiche records that do not contain federal tax
information are kept in file folders in areas of restricted access that
are locked after office hours. Electronic records that do not contain
federal tax information 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on other media and computer storage media are destroyed
according to the applicable PBGC Information Assurance Handbook
guidance on media sanitization practice.
System Manager(s) and Address:
Director, Benefits Administration and Payment Department, PBGC,
1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Plan administrators; participants, alternate payees, and
beneficiaries; agents listed on power of attorneys; field benefit
administrator offices; the SSA; the FAA; and the IRS.
Exemptions Claimed for the System:
None.
PBGC-8
System Name:
Employee Relations Files--PBGC.
System Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Current and former PBGC employees who have initiated grievances
under an
[[Page 53580]]
administrative grievance procedure or under an applicable collective
bargaining agreement.
Categories of Records in the System:
Administrative and union grievances submitted by PBGC employees;
agency responses to employees' employees grievances; employees' appeals
of responses to grievances; agency responses to such appeals;
investigative notes; records of proceedings; appeal decisions; last
chance, last rights, and settlement agreements, and related
information.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301.
Purpose(s):
The purpose of this system to catalog, investigate, and
appropriately and timely respond to administrative and union grievances
and appeals filed by PBGC employees pursuant to PBGC's Administrative
Grievance Procedure and the Collective Bargaining Agreement.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. A record from this system of records may be disclosed to OPM,
the Merit Systems Protection Board, the Federal Labor Relations
Authority, Office of Special Counsel, 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).
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 computer databases, magnetic tapes, and
discs. Records are also maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by employee name.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Human Resources Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; subject individuals' supervisor(s),
representative(s), and colleagues; PBGC General Counsel; and other
individuals with relevant information.
Exemptions Claimed for the System:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), (I), and (f) of 5 U.S.C. 552a, provided, however, that if any
individual is denied any right, privilege, or benefit that he or she
would otherwise be entitled to by Federal law, or for which he or she
would otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of the material would reveal the
identity of a source who furnished information to the Government with
an express promise that the identity of the source would be held in
confidence.
PBGC-9
System Name:
Unclaimed Pensions--PBGC.
[[Page 53581]]
System Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005 and/or field benefit
administrator, plan administrator, and paying agent worksites.
Categories of Individuals Covered by the System:
Participants, alternate payees, and beneficiaries in terminating
and terminated pension plans covered by ERISA.
Categories of Records in the System:
Names; social security numbers; addresses; email addresses;
telephone numbers; pension plans names; and pension plan numbers.
Authority for Maintenance of the System:
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342,
and 1350; 29 U.S.C. 1203; 44 U.S.C. 3101; 5 U.S.C. 310.
Purpose(s):
This system of records is maintained to locate participants,
alternate payees, and beneficiaries of pension plans covered by ERISA.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 and G4 through G7, G9 through G11 apply
to this system of records (see Prefatory Statement of General Routine
Uses).
2. Names and social security numbers of plan participants and
beneficiaries may be disclosed to the Internal Revenue Service to
obtain current addresses from tax return information and to the Social
Security Administration 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.
3. 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.
4. 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 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.
5. 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). 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 and
must be returned to PBGC or destroyed when the process is completed.
The records will be exchanged electronically in an encrypted format.
6. 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.
7. 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.
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/or in electronic form,
including computer databases, magnetic tapes, and discs. Records are
also maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: name;
social security number; customer identification number; date of birth;
or date of death.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to unauthorized individuals.
Paper and electronic records that contain federal tax information
are stored separately and are kept in locked file cabinets in areas of
restricted access under procedures that meet IRS safeguarding
standards.
Other paper and microfiche records that do not contain federal tax
information are kept in file folders in areas of restricted access that
are locked after office hours. Electronic records that do not contain
federal tax information 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Benefits Administration and Payments Department, PBGC,
1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit
[[Page 53582]]
a written request to the Disclosure Officer, PBGC, 1200 K Street NW.,
Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
PBGC-6; the SSA; the IRS; labor organization officials; firms or
agencies providing locator services; USPS licensees; field benefit
administrator offices; and any other individual that provides PBGC with
information regarding a missing participant, beneficiary, or alternate
payee.
Exemptions Claimed for the System:
None.
PBGC--10
System Name:
Administrative Appeals File--PBGC.
System Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Individuals who file administrative appeals with PBGC's Appeals
Board.
Categories of Records in the System:
Names and personal information (such as addresses, social security
numbers, sex, dates of birth, dates of hire, salary, marital status
(including domestic relations orders), and medical records); employment
and pension plan information (such as name of pension plan, plan
number, dates of commencement of plan participation or employment,
statements regarding employment, dates of termination of plan
participation or retirement, benefit payment data, pay status,
calculations of benefit amounts, calculations of amounts subject to
recoupment and/or recovery, and workman's compensation awards); Social
Security Administration information, insurance claims and awards;
correspondence and other information relating to appeals, and initial
and final PBGC determinations.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301; 29 U.S.C. ch. 18.; 29
CFR 4003.1(b); 29 CFR 4003.22; 29 CFR 4003.59.
Purpose(s):
The purpose of this system is to catalog, review, and respond to
administrative appeals of: determinations that a plan is not covered
under section 4021 of ERISA; determinations of benefit entitlements
under section 4022(a) or (c) of ERISA; determinations that a domestic
relations order is or is not a qualified domestic relations order under
section 206(d)(3) of ERISA or section 414(p) of the Internal Revenue
Code; determinations of benefits payable under section 4022(b) or (c)
or 4022B of ERISA; and determinations of the amount of liability under
sections 4062(b)(1), 4063, or 4064 of ERISA.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1, and G4 through G12 apply to this system
of records (see Prefatory Statement of General Routine Uses).
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.
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 individuals, 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, beneficiaries, and/or alternate
payees.
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, Retain and
Disposing of Records in the System:
Storage:
Records are maintained in paper and/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following:
participant, beneficiary, and/or alternate payee's name; plan name;
appeal number; or extension request number.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's
[[Page 53583]]
security program to protect the security, integrity, and availability
of the information, and to ensure that records are not disclosed to or
accessed by unauthorized individuals.
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 are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Manager of the Appeals Division, Office of the General Counsel,
PBGC, 1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; the participant, beneficiary, or alternate
payee; plan administrators, contributing sponsors (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
Social Security Administration; and any third party affected by the
decision.
Exemptions Claimed for the System:
None.
PBGC-11
System Name:
Call Detail Records--PBGC.
System Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
PBGC employees and contractor employees.
Categories of Records in the System:
Records relating to the use of PBGC telephones and PBGC-issued
portable electronic devices to place calls outside of PBGC and receive
calls from outside of PBGC and records indicating the assignment of
telephone extension numbers and PBGC-issued portable electronic devices
to PBGC employees.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301.
Purpose(s):
This system of records is used to review bills from
telecommunication providers for telephone and cellular device usage by
PBGC employees and contractor employees.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1, G3, G4, G5, and G7 through G13 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 electronic form, including computer
databases, magnetic tapes, and discs.
Retrievability:
Records are retrieved by one or more of the following: name of
employee or contractor employee; telephone extension number; PBGC-
issued portable electronic device number; or telephone number called.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of information, and to ensure
that records are not disclosed to or accessed by unauthorized
individuals.
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.
[[Page 53584]]
Retention and Disposal:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on computer storage media are destroyed according
to the applicable PBGC media sanitization practice.
System Manager(s) and Address:
Chief Information Officer, Office of Information Technology, PBGC,
1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Telephone and PBGC-issued portable electronic device assignment
records.
Exemptions Claimed for the System:
None.
PBGC-12
System Name:
Personnel Security Investigation Records--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Records may also be kept at an additional location as backup for
Continuity of Operations.
Categories of Individuals Covered by the System:
Current and former Applicants, employees, students, interns,
volunteers, government contractors, experts, instructors, and
consultants to Federal programs who undergo a personnel background
investigation for the purpose of determining suitability for
employment, contractor employee fitness, credentialing for HSPD 12,
and/or access to PBGG facilities or information technology system.
This system also includes individuals accused of or found in
violation of PBGC's security rules and regulations.
Categories of Records in the System:
Name; former names; date and place of birth; home address; email
address; phone numbers; employment history; residential history;
education and degrees earned; citizenship; passport information; name,
date and place of birth, social security number, and citizenship
information for spouse or cohabitant; the name and marriage information
for current and former spouse(s), names of associates and references
and their contact information; names, dates and places of birth,
citizenship, and addresses of relatives; names of relatives who work
for the federal government; information on foreign contacts and
activities; association records; information on loyalty to the United
States; criminal history; mental health history; drug use; financial
information; fingerprints; information from the Internal Revenue
Service pertaining to income tax returns; credit reports; information
pertaining to security clearances; other agency reports furnished to
PBGC in connection with the background investigation process; summaries
of personal and third party interviews conducted during the background
investigation; results of suitability decisions; and other information
developed from above.
Records pertaining to security violations may contain information
pertaining to circumstances of the violation; witness statements;
investigator's notes; and documentation of agency action taken in
response to security violations.
Authority for Maintenance of the System:
29 U.S.C. 1302; 5 U.S.C. 3301; 44 U.S.C. 3101; Executive Order
10450; Executive Order 13488; 5 CFR 5.2; 5 CFR 731 and 736; OMB
Circular No. A-130 Revised, Appendix III, 61 FR 6428; and Homeland
Security Presidential Directive 12.
Purpose(s):
The records in this system of records are used to document and
support decisions as to the suitability, eligibility, and fitness for
service of applicants for federal employment and contract positions,
and may include students, interns, or volunteers, to the extent their
duties require access to federal facilities, information, systems, or
applications.
The records may also be used to help streamline and make more
efficient the investigations and adjudications processes generally.
The records may also be used to document security violations and
supervisory actions taken in response to such violations.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
[[Page 53585]]
2. 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,
to inform the source of the nature and purpose of the investigation, or
to identify the type of information requested.
3. 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 respective authorized functions (under 5 U.S.C. 1103, 1204, and
7105, and 42 U.S.C. 2000e-4, in that order).
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/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: name;
social security number; unique case serial number; or other unique
identifier of the individual about whom they are maintained.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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 both network and
system-specific 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Workplace Solutions Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Applications and other personnel and security forms, including but
not limited to a SF-85, SF-85P, SF-86, SF-87 (via eQIP); personal
interviews with various individuals, including but not limited to the
subject of the investigation, present and former employers, references,
neighbors, and other associates who may have information about the
subject of the investigation; investigative records and notices of
personnel actions furnished by other federal agencies; public records
such as court filings; publications such as newspapers, magazines, and
periodicals; tax records; educational institutions; police departments;
credit bureaus; probation officials; prison officials; and medical
professionals.
Exemptions Claimed for the System:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4) (G),
(H), (I), and (f) of 5 U.S.C. 552a, provided, however, that if any
individual is denied any right, privilege, or benefit that he or she
would otherwise be entitled to by Federal law, or for which he or she
would otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of the material would reveal the
identity of a source who furnished information to the Government with
an express promise that the identity of the source would be held in
confidence.
Pursuant to 5 U.S.C. 552a(k)(5), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4) (G),
(H), (I), and (f) of 5 U.S.C. 552a, but only to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence.
PBGC-13
System Name:
Debt Collection--PBGC.
[[Page 53586]]
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005, and/or field benefit
administrator, plan administrator, and paying agent worksites.
Records may also be kept at an additional location as back up for
Continuity of Operations.
Categories of Individuals Covered by the System:
Any individual who may owe a debt to PBGC, including but not
limited to: Pension plans and/or sponsors owing insurance premiums,
interest, and penalties; employees and former employees of PBGC;
individuals who are consultants and vendors to PBGC; participants,
alternate payees, and beneficiaries in terminating and terminated
pension plans covered by ERISA; and individuals who received payments
to which they are not entitled.
Categories of Records in the System:
Pension plan filings; names; addresses; social security numbers;
taxpayer identification numbers; employee numbers; pay records; travel
vouchers, and related documents filed by PBGC employees; invoices filed
by consultants and vendors to PBGC; records of benefit payments made to
participants, alternate payees, and beneficiaries in terminating and
terminated pension plans covered by ERISA; and other relevant records
relating to a debt including the amount, status, and history of the
debt, and the program under which the debt arose.
Authority for Maintenance of the System:
29 U.S.C. 1302; 31 U.S.C. 3711(a); 44 U.S.C. 3101; 5 U.S.C. 301.
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, pension plans and/or sponsors owing insurance premiums, interest
and penalties; PBGC employees and former employees; consultants and
vendors; participants, alternate payees, and beneficiaries in
terminating and terminated pension plans covered by ERISA; and
individuals who received payments from PBGC 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:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. A record from this system of records may be disclosed to the
United States Department of the Treasury for cross-servicing to effect
debt collection in accordance with 31 U.S.C. 3711(e).
3. Names, addresses, and telephone numbers of employees,
participants, and beneficiaries and information pertaining to debts
owed by such individuals to the PBGC may be disclosed to a debt
collection agency or firm to collect a claim. Disclosure to a debt
collection agency or firm 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.
4. These records may be used to disclose information to any Federal
agency, state or local agency, U.S. territory or commonwealth, or the
District of Columbia, or their agents or contractors, including private
collection agencies (consumer and commercial):
a. To facilitate the collection of debts through the use of any
combination of various debt collection methods required or authorized
by law, including, but not limited to:
i. Request for repayment by telephone or in writing;
ii. Negotiation of voluntary repayment or compromise agreements;
iii. Offset of Federal payments, which may include the disclosure
of information contained in the records for the purpose of providing
the debtor with appropriate pre-offset notice and to otherwise comply
with offset prerequisites, to facilitate voluntary repayment in lieu of
offset, and to otherwise effectuate the offset process;
iv. Referral of debts to private collection agencies, to Treasury
designated debt collection centers, or for litigation;
v. Administrative and court-ordered wage garnishment;
vi. Debt sales;
vii. Publication of names and identities of delinquent debtors in
the media or other appropriate places; and
viii. Any other debt collection method authorized by law;
b. To collect a debt owed to the United States through the offset
of payments made by states, territories, commonwealths, or the District
of Columbia;
c. To account or report on the status of debts for which such
entity has a financial or other legitimate need for the information in
the performance of official duties; or,
d. For any other appropriate debt collection purpose.
Disclosure to Consumer Reporting Agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: Employer
identification number; social security number; plan number; name of
debtor, plan, plan sponsor, plan administrator, participant, alternate
payee, or beneficiary.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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 are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC
[[Page 53587]]
records disposition schedule approved by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Financial Operations Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; plan administrators; labor organization
officials; debt collection agencies or firms; firms or agencies
providing locator services; field benefit administrator offices, and
other federal agencies.
Exemptions Claimed for the System:
None.
PBGC-14
System Name:
My Plan Administration Account Records--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Individuals who use the My Plan Administration Account (``My PAA'')
application to make PBGC filings and payments electronically via the
PBGC's 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:
User's name; work telephone number; work email address; other
contact information; a temporary PBGC-issued user ID and password; a
user-selected user ID and password; a secret question/secret answer
combination for authentication; for each pension plan for which the
user intends to participate in making filings with the PBGC: The plan
name; employer identification number (EIN); plan number (PN); the plan
administrator's name, address, phone number, email address, and other
contact information; and the role that the user will play in the filing
process, e.g., 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; 44 U.S.C. 3101; 5
U.S.C. 301.
Purpose(s):
This system of records is maintained for use in verifying the
identity of individuals who register to use the My PAA application to
make PBGC filings, and receiving, authenticating, processing, and
keeping a history of filings and premium payments submitted to PBGC by
registered users.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1, G4, G5, G6, G7, G9, G10, and G12
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 electronic form, including computer
databases, magnetic tapes and discs. Records are also maintained on
PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: Name;
user ID; email address; telephone number; plan name; EIN; or plan
number.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to unauthorized individuals.
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 in accordance with the General Records
Retention Schedules issued by the
[[Page 53588]]
National Archives and Records Administration (NARA) or a PBGC records
disposition schedule approved by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Financial Operations Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Registered users.
Exemptions Claimed for the System:
None.
PBGC-15
System Name:
Emergency Notification Records--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
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:
Name; title; organizational component; employer; PBGC and personal
telephone numbers; PBGC and personal email 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; 5 U.S.C. 301; Executive Order
12656, 53 FR 47491 (1988); Presidential Decision Directive 67 (1998).
Purpose(s):
This system of records is maintained for 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; and 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.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1, G4, G5, G7, and G9 through G11
apply to this system of records (see Prefatory Statement of General
Routine Uses).
2. A record in this system of records may be disclosed to family
members, emergency medical personnel, or to law enforcement officials
in case of a medical or other emergency involving the subject
individual (without the subsequent notification prescribed in 5 U.S.C.
552a(b)(8)).
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. Records are also maintained on PBGC's network
back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: Name;
organizational component; or user ID and password.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
Paper records are kept in locked file cabinets in areas of
restricted access. Electronic records are stored on computer networks
and protected by assigning both network and system-specific usernames
and passwords to individuals needing access to the records.
Retention and Disposal:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
[[Page 53589]]
System Manager(s) and Address:
Director, Workplace Solutions Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
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
Notification Procedures above.
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals.
Exemptions Claimed for the System:
None.
PBGC-16
System Name:
People Search--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
PBGC employees and contractors with PBGC network access.
Categories of Records in the System:
Name; photograph; personal description; skills; interests; schools;
birthday; mobile phone number; home phone number; organizational
component and title; supervisor's name; PBGC street address; room or
workstation number; PBGC network ID; work email address; and work
telephone number and extension.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301.
Purpose(s):
This system of records is used by PBGC employees and contractors to
identify other PBGC employees 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:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1 through G13 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. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: Name;
username; organizational component; job title; work phone number;
office number; supervisor; work email; skills; interests; birth date;
education; peers; and employee type (federal or contractor).
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of information, and to ensure
that records are not disclosed to or accessed by unauthorized
individuals.
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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Director, Information Technology Infrastructure Operations
Department, PBGC, 1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
[[Page 53590]]
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals and PBGC personnel records.
Exemptions Claimed for the System:
None.
PBGC-17
System Name:
Office of Inspector General Investigative File System--PBGC.
Security Classification:
None.
System Location:
Office of Inspector General, PBGC, 1200 K Street NW., Washington
DC, 20005.
Categories of Individuals Covered by the System:
Individuals named in investigations conducted by OIG; complainants
and subjects of complaints collected through the operation of the OIG
Hotline; 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 personnel, financial, contractual, and property
management records maintained by PBGC; information submitted by or
about pension plan sponsors or plan participants; 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, dates of birth and death, 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; 5 U.S.C. App. 6.
Purpose(s):
This system of records is used to supervise and conduct audits and
investigations relating to programs and operations of PBGC.
Routine Uses of Records Maintained in the System, including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1, G2, G4, G5, G7, and G9 through G13
apply to this system of records (see Prefatory Statement of General
Routine Uses).
2. 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.
3. 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.
4. 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.
5. 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.
6. A record originating exclusively within this system of records
may be 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.
7. 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.
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.
Disclosure to Consumer Reporting Agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and/or electronic form, including
computer databases, magnetic tapes, discs, and an automated database.
[[Page 53591]]
Retrievability:
Records may be retrieved by any one or more of the following: Name;
social security number; subject category; or assigned case number.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Inspector General, PBGC, 1200 K Street NW., Washington, DC, 20005.
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 Procedure:
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 Procedure:
This system is exempt from the notification requirements. However,
consideration will be given requests made in compliance with 29 CFR
4902.3.
Record Source Categories:
Subject individuals; 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;
service providers; other law enforcement organizations; grantees and
subgrantees; contractors and subcontractors; pension plan sponsors and
participants; and other sources.
Exemptions Claimed for the System:
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.
PBGC--19
System Name:
Office of General Counsel Case Management System--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington DC, 20005.
Records may also be kept at an additional location as backup for
Continuity of Operations.
Categories of Individuals Covered by the System:
Individuals who are participants, beneficiaries, and alternate
payees in pension plans covered by ERISA; pension plan sponsors,
administrators, control group members and third parties, who are
responsible for, manage, or have control over ERISA pension plans;
other individuals who are identified in connection with investigations
conducted pursuant to section 4003(a) of ERISA and/or litigation
conducted with regard to ERISA pension plans; individuals (including
PBGC employees) who are parties or witnesses in civil litigation or
administrative proceedings involving or concerning the PBGC or its
officers or employees; individuals who are the subject of a breach of
personally identifiable information; individuals who are potential
contractors or contractors with PBGC or are otherwise personally
associated with a contract or procurement matter; individuals who
receive legal advice from the Office of General Counsel; and other
individuals (including current, former, and potential PBGC employees,
contract employees, interns, externs, and volunteers) who are the
subject of or are otherwise connected to an inquiry, investigation,
other matter handled by the Office of General Counsel.
Categories of Records in the System:
Notes, reports, memoranda; settlements; agreements; correspondence;
contracts; contract proposal and other procurement documents; plan
documents; participant, alternate payee, and beneficiary files; initial
and final PBGC determinations of ERISA matters; Freedom of Information
Act and the Privacy Act appeals and decisions of those appeals; drafts
and legal reviews of proposed personnel actions; personnel records;
litigation files; labor relations files; information provided by labor
unions or other organizations; witness statements; summonses and
subpoenas, discovery requests and responses; and breach reports and
supporting documentation.
Authority for Maintenance of the System:
29 U.S.C. Sections 1055, 1056(d)(3), 1302, 1303, 1310, 1321, 1322,
1322a, 1341, 1342, 1343 and 1350; 5 U.S.C. app. 105; 5 U.S.C. 301; 44
U.S.C. 3101.
Purpose(s):
The purpose of this system of records is to catalog, litigate, or
otherwise resolve any case or matter handled by the following practice
groups of the Office of the General Counsel: General Law and Ethics
Group, General Law and Procurement Group, Litigation and Employment Law
Group, Legal Technology & Administration Division, and ERISA Counseling
Group.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
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.
[[Page 53592]]
3. Names, addresses, and telephone numbers of employees, former
employees, participants, and beneficiaries and information pertaining
to debts to the PBGC may be disclosed to the Department of Treasury,
the Department of Justice, a credit agency, and a debt collection firm
to collect the debt. Disclosure to a debt collection firm 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.
4. Information may be disclosed to a court, magistrate, or
administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations in response to a
court order or in connection with criminal law proceedings.
5. Information may be provided to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
6. Information may be provided to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
7. Relevant and necessary information may be disclosed to a former
employee of PBGC for the purposes of: (1) Responding to an official
inquiry by federal, state, or local government entity or professional
licensing authority; or, (2) facilitating communications with a former
employee that may be necessary for personnel-related or other official
purposes where PBGC requires information and/or consultation assistance
from the former employee regarding a matter within that person's former
area of responsibility.
8. A record relating to a case or matter may be disseminated to a
foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement.
9. A record may be disseminated to a foreign country, through the
United States Department of State or directly to the representative of
such country, to the extent necessary to assist such country in civil
or criminal proceedings in which the United States or one of its
officers or agencies has an interest.
Disclosure to Consumer Reporting Agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e).
Policies and Practices for Storing, Retrieving, Accessing, Retaining,
and Disposing of Records in the System:
Storage:
Records are maintained in paper and/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are indexed by assigned case number and sequential record
ID. Records are full-text indexed and thus can be retrieved by any
free-form key, which may include names or other personal identifiers.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
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 unique user identification numbers to individuals who are
authorized to access the records, and by passwords set by these users
that must be changed periodically.
Retention and Disposal:
Records are maintained in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Associate General Counsel, PBGC, 1200 K Street NW., Washington, DC
20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; pension plan participants, sponsors,
administrators and third-parties; federal government records; current
and former employees, contractors, interns, and externs; PBGC claim and
payment files; insurers; the Social Security Administration; labor
organizations; court records; articles from publications; and other
individuals, organizations, and
[[Page 53593]]
corporate entities with relevant knowledge/information.
Systems Exempted From Certain Provisions of the Act:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4) (G),
(H), (I), and (f) of 5 U.S.C. 552a, provided, however, that if any
individual is denied any right, privilege, or benefit that he or she
would otherwise be entitled to by Federal law, or for which he or she
would otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of the material would reveal the
identity of a source who furnished information to the Government with
an express promise that the identity of the source would be held in
confidence.
PBGC-21
System Name:
Reasonable Accommodation Records--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Prospective, current, and former employees of the PBGC who request
and/or receive a reasonable accommodation for a disability; and
authorized individuals or representatives (e.g., family members, union
representatives, or attorneys) who file a request for a reasonable
accommodation on behalf of a prospective, current, or former employee.
Categories of Records in the System:
Name and employment information of employee needing an
accommodation; requester's name and contact information (if different
that the employee who needs an accommodation); date request was
initiated; information concerning the nature of the disability and the
need for accommodation, including appropriate medical documentation;
details of the accommodation request, such as: type of accommodation
requested, how the requested accommodation would assist in job
performance, the sources of technical assistance consulted in trying to
identify alternative reasonable accommodation, any additional
information provided by the requester relating to the processing of the
request, and whether the request was approved or denied, and whether
the accommodation was approved for a trial period; notification(s) to
the employee and his/her supervisor(s) regarding the accommodation.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301; 29 U.S.C. 701 et
seq.; 42 U.S.C. 12101 et seq.; Executive Order 13164 (July 28, 2000);
and Executive Order 13548 (July 10, 2010).
Purpose(s):
The purposes of this system are: (1) To allow PBGC to collect and
maintain records on prospective, current, and former employees with
disabilities who requested or received reasonable accommodation by
PBGC; (2) to track and report the processing of requests for reasonable
accommodation PBGC-wide to comply with applicable law and regulations;
and (3) to preserve and maintain the confidentiality of medical
information submitted by or on behalf of applicants or employees
requesting reasonable accommodation.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. A record from this system of records may be disclosed to
physicians or other medical professionals to provide them with or
obtain from them the necessary medical documentation and/or
certification for reasonable accommodation.
3. A record from this system of records may be disclosed to another
federal agency or commission with responsibility for labor or
employment relations or other issues, including equal employment
opportunity and reasonable accommodation issues, when that agency or
commission has jurisdiction over reasonable accommodation issues.
4. A record from this system of records may be disclosed to the
Office of Management and Budget (OMB), Department of Labor (DOL),
Office of Personnel Management (OPM), Equal Employment Opportunity
Commission (EEOC), or Office of Special Counsel (OSC) to obtain advice
regarding statutory, regulatory, policy, and other requirements related
to reasonable accommodation.
5. A record from this system of records may be disclosed to
appropriate third-parties contracted by the Agency to facilitate
mediation or other dispute resolution procedures or programs.
6. A record from this system of records may be disclosed to the
Department of Defense (DOD) for purposes of procuring assistive
technologies and services through the Computer/Electronic Accommodation
Program in response to a request for reasonable accommodation.
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 in electronic form, including
computer databases, magnetic tapes, or discs. Records are also
maintained on PBGC's network back-up tapes.
Retrievability:
Records are retrieved by any one or more of the following: Employee
name or assigned case number.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
Paper records are kept in file cabinets in areas of restricted
access that are locked after office hours. Only authorized personnel
may be given access to either the secured area or the locked file
cabinet.
Electronic records are stored on computer networks and protected by
assigning both network and system-specific 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
[[Page 53594]]
System Manager(s) and Address:
Reasonable Accommodation Coordinator, Human Resources Department,
PBGC, 1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; individual making the request (if different
than the subject individuals); medical professionals; and the subject
individuals' supervisor(s).
Exemptions Claimed for the System:
None.
PBGC-22
System Name:
Telework and Alternative Worksite Records--PBGC.
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered by the System:
Prospective, current, and former employees of the PBGC who have
been granted or denied authorization to participate in PBGC's Telework
Program to work at an alternative worksite apart from their official
PBGC duty station.
Categories of Records in the System:
Name, position title, grade, job series, and department name;
official PBGC duty station address and telephone number; alternative
worksite address and telephone number(s); date telework agreement
received and approved/denied; telework request and approval form;
telework agreement, self-certification home safety checklist, and
supervisor-employee checklist; type of telework requested (e.g.,
episodic or regular); regular work schedule; telework schedule;
approvals/disapprovals; description and list of government-owned
equipment and software provided to the teleworker; mass transit
benefits received through PBGC's mass transit subsidy program; parking
subsidies received through PBGC's subsidized parking program; and any
other miscellaneous documents supporting telework.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301; 5 U.S.C. 6120; 29
U.S.C. 701 et seq.
Purpose(s):
The purpose of this system of records it to collect and maintain
records on prospective, current, and former employees who have
participated in, presently participate in, or have sought to
participate in PBGC's Telework Program.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. A record from this system may be disclosed to medical
professionals to obtain information about an employee's medical
background necessary to grant or deny approval of medical telework.
3. A record from this system may be disclosed to federal, state, or
local governments during actual emergencies, exercises, or continuity
of operations tests for the purposes of emergency preparedness and
responding to emergency situations.
4. A record from this system may be disclosed to the Department of
Labor when an employee is injured when working at home while in the
performance of normal duties.
5. A record from this system may be disclosed to the Office of
Personnel Management (OPM) for use in its Telework Survey to provide
consolidated data on participation in PBGC's Telework Program.
6. A record from this system of records may be disclosed to
appropriate third-parties contracted by the Agency to facilitate
mediation or other dispute resolution procedures or programs.
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
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
Also, each of PBGC's departments has a Telework Liaison who
maintains copies of the records pertaining to employees working in his
or her department.
Retrievability:
Records are retrieved by any one or more of the following: employee
name; and the department in which the
[[Page 53595]]
employee works, will work, or previously worked.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
Paper records are kept in file cabinets in areas of restricted
access that are locked after office hours. Only authorized personnel
may be given access to either the secured area or the locked file
cabinet.
Electronic records are stored on computer networks and protected by
assigning both network and system-specific 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Manager(s) and Address:
Agency Telework Managing Officer, Workplace Solutions Department,
PBGC, 1200 K Street NW., Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request an amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; subject individuals' supervisors.
Exemptions Claimed for the System:
None.
PBGC--23
System Name:
Internal Investigations of Allegations of Harassing Conduct--PBGC
Security Classification:
None.
System Location:
PBGC, 1200 K Street NW., Washington, DC 20005.
Categories of Individuals Covered By the System:
Current or former PBGC employees, contractors, and interns who have
filed a complaint or report of harassment, or have been accused of
harassing conduct, as described in PBGC's Policy to Prevent Harassing
Conduct in the Workplace.
Categories of Records in the System:
The system contains all documents related to a complaint or report
of harassment, which may include the name, position, grade, and
supervisor(s) of the complainant and the accused; the complaint;
statements of witnesses; reports of interviews; final decisions and
corrective actions taken; and related correspondence and exhibits.
Authority for Maintenance of the System:
29 U.S.C. 1302; 44 U.S.C. 3101; 5 U.S.C. 301; 42 U.S.C. 2000e et
seq.
Purpose:
This system of records is maintained for the purpose of upholding
PBGC's Policy to Prevent Harassing Conduct in the Workplace and
eradicating harassment in the workplace, including conducting and
resolving internal investigations of allegations of harassment brought
by or against PBGC employees.
Routine Uses of Records Maintained in the System, Including Categories
of Users and the Purposes of Such Uses:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. PBGC General Routine Uses G1 through G13 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. Disclosure of information from this system of records regarding
the status of any investigation that may have been conducted may be
made to the complaining party and to the alleged harasser when the
purpose of the disclosure is both relevant and necessary and is
compatible with the purpose for which the information was collected.
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/or electronic form, including
computer databases, magnetic tapes, and discs. Records are also
maintained on PBGC's network back-up tapes.
[[Page 53596]]
Retrievability:
Records are retrieved by any one or more of the following: Name;
department; or unique identifier assigned to each incident reported.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with PBGC's security program to protect
the security, integrity, and availability of the information, and to
ensure that records are not disclosed to or accessed by unauthorized
individuals.
Paper records are kept in 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 in accordance with the General Records
Retention Schedules issued by the National Archives and Records
Administration (NARA) or a PBGC records disposition schedule approved
by NARA.
Records existing on paper are destroyed beyond recognition. Records
existing on computer storage media are destroyed according to the
applicable PBGC media sanitization practice.
System Managers and Address:
Director, Human Resources Department, PBGC, 1200 K Street NW.,
Washington, DC 20005.
Notification Procedure:
Individuals wishing to learn whether this system of records
contains information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW., Washington, DC 20005, and
provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Record Access Procedure:
Individuals wishing to request access to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. The address to which the record information should be sent.
d. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Individuals requesting access must also comply with PBGC's Privacy
Act regulations regarding verification of identity and access to
records (29 CFR 4902.3).
Contesting Record Procedure:
Individuals wishing to request amendment to their records should
submit a written request to the Disclosure Officer, PBGC, 1200 K Street
NW., Washington, DC 20005, and provide the following information:
a. Full name.
b. Any available information regarding the type of record involved.
c. A statement specifying the changes to be made in the records and
the justification therefor.
d. The address to which the response should be sent.
e. You must sign your request.
Attorneys or other persons acting on behalf of an individual must
provide written authorization from that individual for the
representative to act on their behalf.
Record Source Categories:
Subject individuals; supervisors and other PBGC employees with
knowledge; agency EEO specialists; management officials; employee
relations staff; PBGC attorneys; outside counsel retained by subject
individuals; and medical professionals.
Exemptions Claimed for the System:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), (I), and (f) of 5 U.S.C. 552a, provided, however, that if any
individual is denied any right privilege, or benefit that he or she
would otherwise be entitled to by Federal law, or for which he or she
would otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of the material would reveal the
identity of a source who furnished information to the Government with
an express promise that the identity of the source would be held in
confidence.
[FR Doc. 2014-21438 Filed 9-8-14; 8:45 am]
BILLING CODE 7709-02-P