Privacy Act Regulation; Exemption for Legal Case Management Records, 84314-84316 [2024-24210]

Agencies

• Pension Benefit Guaranty Corporation

[Federal Register Volume 89, Number 204 (Tuesday, October 22, 2024)]
[Proposed Rules]
[Pages 84314-84316]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-24210]


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PENSION BENEFIT GUARANTY CORPORATION

29 CFR Part 4902

RIN 1212-AB59


Privacy Act Regulation; Exemption for Legal Case Management 
Records

AGENCY: Pension Benefit Guaranty Corporation.

ACTION: Proposed rule.

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SUMMARY: The Pension Benefit Guaranty Corporation is proposing to amend 
its Privacy Act regulation to exempt a system of records that supports 
law enforcement investigations through legal case management.

DATES: Comments must be received on or before November 21, 2024 to be 
assured of consideration.

ADDRESSES: Comments may be submitted by any of the following methods:
     Federal eRulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Email: [email protected]. Refer to RIN 1212-AB59 in 
the subject line.
     Mail or Hand Delivery: Regulatory Affairs Division, Office 
of the General Counsel, Pension Benefit Guaranty Corporation, 445 12th 
Street SW, Washington, DC 20024-2101.
    Commenters are strongly encouraged to submit comments 
electronically. Commenters who submit comments on paper by mail should 
allow sufficient time for mailed comments to be received before the 
close of the comment period. All submissions must include the agency's 
name (Pension Benefit Guaranty Corporation or PBGC), the title for this 
rulemaking (Privacy Act Regulation; Exemption for Legal Case Management 
Records), and the Regulation Identifier Number for this rulemaking (RIN 
1212-AB59).
    Comments received will be posted without change to PBGC's website, 
www.pbgc.gov, including any personal information provided. Do not 
submit comments that include any personally identifiable information or 
confidential business information.
    Copies of comments may also be obtained by writing to Disclosure 
Division, Office of the General Counsel, Pension Benefit Guaranty 
Corporation, 445 12th Street SW, Washington, DC 20024-2101, or calling 
202-326-4040 during normal business hours. If you are deaf or hard of 
hearing, or have a speech disability, please dial 7-1-1 to access 
telecommunications relay services.

FOR FURTHER INFORMATION CONTACT: Karen Levin ([email protected]), 
Attorney, Regulatory Affairs Division ([email protected]), Office 
of the General Counsel, at 202-229-3559, or Shawn Hartley 
([email protected]), Chief Privacy Officer, Office of the General 
Counsel, at 202-229-6321. If you are deaf or hard of hearing, or have a 
speech disability, please dial 7-1-1 to access telecommunications relay 
services.

SUPPLEMENTARY INFORMATION:

Executive Summary

    This proposed rule would amend PBGC's regulation on Disclosure and 
Amendment of Records Pertaining to Individuals under the Privacy Act 
(29 CFR part 4902) to exempt from disclosure information contained in a 
system of records for PBGC's Office of Negotiations and Restructuring/
Office of General Counsel Case Management System. The exemption is 
needed because records in this system include

[[Page 84315]]

investigatory material compiled for administrative, civil, and criminal 
law enforcement purposes.
    Legal authority for this proposed rule is provided by section 
4002(b)(3) of the Employee Retirement Income Security Act of 1974 
(ERISA) and 5 U.S.C. 552a(k)(2).

Background

    The Pension Benefit Guaranty Corporation (PBGC) administers two 
insurance programs for private-sector defined benefit pension plans 
under title IV of the Employee Retirement Income Security Act of 1974 
(ERISA): a single-employer plan termination insurance program and a 
multiemployer plan insolvency insurance program. In addition, PBGC 
administers a special financial assistance program for certain 
financially distressed multiemployer plans.
    As a Federal agency, PBGC is subject to the Privacy Act of 1974, 5 
U.S.C. 552a (Privacy Act), in its collection, maintenance, use, and 
dissemination of any personally identifiable information that it 
maintains in a ``system of records.'' A system of records is defined 
under the Privacy Act as ``a group of any records under the control of 
any agency from which information is retrieved by the name of the 
individual or by some identifying number, symbol, or other identifying 
particular assigned to the individual.'' \1\
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    \1\ See 5 U.S.C. 552a(a)(5)
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    PBGC previously established a system of records, ``PBGC-19, Office 
of Negotiations and Restructuring/Office of General Counsel Case 
Management System--PBGC.'' This system of records was last published in 
the ``Notice'' section of the Federal Register on September 1, 2021, at 
86 FR 49061.
    This system collects and maintains personally identifiable 
information obtained by the Office of General Counsel in matters 
involving administrative, civil, or criminal law enforcement 
investigations. Records from this system are used on a need-to-know 
basis to manage various legal matters; to facilitate administrative, 
civil, or criminal law enforcement investigations and activities; to 
receive referrals for investigation from internal and external 
partners; to meet other Office of General Counsel program requirements; 
and to investigate/manage cases involving violations of administrative, 
civil, or criminal laws.

Exemption

    Under section 552a(k) of the Privacy Act, PBGC may promulgate 
regulations exempting information contained in certain systems of 
records from specified sections of the Privacy Act including the 
section mandating disclosure of information to an individual who has 
requested it. Among other systems, PBGC may exempt a system that is 
``investigatory material compiled for law enforcement purposes.'' \2\ 
Under this provision, PBGC has exempted, in Sec. Sec.  4902.10, 
4902.11, and 4902.12 of its Privacy Act regulation, records of the 
investigations conducted by its Personnel Security Department contained 
in ``PBGC-12, Personnel Security Investigation Records,'' records of 
the investigations conducted by the Office of Inspector General and 
contained in ``PBGC-17, Office of Inspector General Investigative File 
System--PBGC,'' and records of insider threat investigations conducted 
by PBGC contained in ``PBGC-26, PBGC Insider Threat and Data Loss 
Prevention--PBGC.''
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    \2\ See 5 U.S.C. 552a(k)(2).
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    The PBGC-19, Office of Negotiations and Restructuring/Office of 
General Counsel Case Management System--PBGC system contains: (1) 
records derived from the Office of Inspector General, Personnel 
Security, or insider threat investigations, (2) summaries or reports 
containing information about administrative, civil, and criminal legal 
investigations, (3) information related to investigative or analytical 
efforts by PBGC legal, security, or law enforcement personnel, (4) 
reports about potential administrative, civil, or criminal law 
enforcement activities obtained through the management and operation of 
the Office of General Counsel, and (5) reports about potential civil or 
criminal legal investigations obtained from other Federal Government 
sources involving PBGC. The records contained in this system include 
investigative material of actual, potential, or alleged criminal, 
civil, or administrative violations and law enforcement actions. These 
records are within the material permitted to be exempted under section 
552a(k)(2) of the Privacy Act.
    This proposed rule would amend PBGC's Privacy Act regulation to 
redesignate Sec.  4902.13 (Filing rules; computation of time) as Sec.  
4902.14 and to add a new Sec.  4902.13 as an exemption for PBGC-19, 
Office of Negotiations and Restructuring/Office of General Counsel Case 
Management System--PBGC, from 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I) and (f). Exemption from these sections of the 
Privacy Act would mean that, with respect to records in the system, 
PBGC would not be required to: (1) disclose records to an individual 
upon request, (2) keep an accounting of individuals who request 
records, (3) maintain only records as necessary to accomplish an agency 
purpose, or (4) publish notice of certain revisions of the system of 
records.

Compliance With Rulemaking Guidelines

    The Office of Management and Budget (OMB) has determined that this 
rulemaking is not a ``significant regulatory action'' under Executive 
Order 12866. Accordingly, OMB has not reviewed the proposed rule under 
Executive Order 12866.
    PBGC certifies under section 605(b) of the Regulatory Flexibility 
Act that the proposed rule, if adopted, would not have a significant 
economic impact on a substantial number of small entities. The rule 
would only affect the maintenance and disclosure of information about 
individuals by PBGC under the Privacy Act and therefore would have no 
economic impact on entities of any size. Accordingly, sections 603 and 
604 of the Regulatory Flexibility Act do not apply. See 5 U.S.C. 603, 
604.

List of Subjects in 29 CFR Part 4902

    Privacy.

    In consideration of the foregoing, PBGC proposes to amend 29 CFR 
part 4902 as follows:

PART 4902--DISCLOSURE AND AMENDMENT OF RECORDS PERTAINING TO 
INDIVIDUALS UNDER THE PRIVACY ACT

0
1. The authority citation for part 4902 will continue to read as 
follows:

    Authority:  5 U.S.C. 552a, 29 U.S.C. 1302(b)(3).


Sec.  4902.1  [Amended]

0
2. In Sec.  4902.1, amend paragraph (d) by removing ``4902.12'' and 
adding in its place ``4902.13''.


Sec.  4902.13  [Redesignated as Sec.  4902.14]

0
3. Redesignate Sec.  4902.13 as Sec.  4902.14.
0
4. Add new Sec.  4902.13 to read as follows:


Sec.  4902.13  Specific exemptions: Legal Case Management.

    (a) Exemption. Under the authority granted by 5 U.S.C. 552a(k)(2), 
PBGC hereby exempts the system of records entitled ``PBGC-19, Office of 
Negotiations and Restructuring/Office of General Counsel Case 
Management System-PBGC'' from the provisions of 5 U.S.C. 552a(c)(3), 
(d), (e)(1), (e)(4)(G), (H), and (I) and (f).
    (b) Reasons for exemption. The reasons for asserting this exemption 
are

[[Page 84316]]

because the disclosure and other requirements of the Privacy Act could 
substantially compromise the efficacy and integrity of PBGC's ability 
to investigate administrative, civil, or criminal legal matters. 
Disclosure could invade the privacy of individuals and disclose their 
identity when they were expressly promised confidentiality. Disclosure 
could interfere with the integrity of information which would otherwise 
be subject to legal privileges, see, e.g., 5 U.S.C. 552(b)(5), and 
which could interfere with other important law enforcement concerns, 
see, e.g., 5 U.S.C. 552(b)(7).

    Issued in Washington, DC.
Ann Y. Orr,
Acting Director, Pension Benefit Guaranty Corporation.
[FR Doc. 2024-24210 Filed 10-21-24; 8:45 am]
BILLING CODE 7709-02-P