[Federal Register Volume 75, Number 125 (Wednesday, June 30, 2010)]
[Notices]
[Pages 37842-37856]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-15872]


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PENSION BENEFIT GUARANTY CORPORATION


Privacy Act of 1974; Systems of Records

AGENCY: Pension Benefit Guaranty Corporation.

ACTION: Notice of changes to systems of records and addition of routine 
use.

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SUMMARY: The Pension Benefit Guaranty Corporation (PBGC) is proposing a 
new routine use applicable to all of its existing systems of records 
maintained pursuant to the Privacy Act of 1974, as amended (5 U.S.C. 
552a), adding a new routine use to an existing system of records, and 
is amending its systems of records to make technical and clarifying 
changes.

DATES: Comments on the proposed routine uses must be received on or 
before July 30, 2010. The routine uses and amendments to PBGC's system 
of

[[Page 37843]]

records will become effective August 9, 2010, without further notice, 
unless comments results in a contrary determination and a notice is 
published to that effect.

ADDRESSES: You may submit written comments to PBGC by any of the 
following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the Web site instructions for submitting comments.
     E-mail: [email protected].
     Fax: 202-326-4224.
     Mail or Hand Delivery: Legislative and Regulatory 
Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Comments received, including personal information provided, will be 
posted to http://www.pbgc.gov. Copies of comments may also be obtained 
by writing to Disclosure Division, Office of General Counsel, Pension 
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026, or calling 202-326-4040 during normal business hours. (TTY and 
TDD users may call the Federal relay service toll-free at 1-800-877-
8339 and ask to be connected to 202-326-4040.)

FOR FURTHER INFORMATION CONTACT: Margaret E. Drake, Attorney, Pension 
Benefit Guaranty Corporation, Office of the General Counsel, 1200 K 
Street, NW., Washington, DC 20005-4026, 202-326-4400, extension 3228 
(TTY and TDD users may call the Federal relay service toll-free at 1-
800-877-8339 and ask to be connected to 202-326-4400). For access to 
any of the PBGC's systems of records, contact E. William FitzGerald, 
Disclosure Officer, Office of the General Counsel, Disclosure Division, 
at the above address, 202-326-4040. (These are not toll-free numbers.)

SUPPLEMENTARY INFORMATION: PBGC is proposing to alter each of its 
systems of records maintained pursuant to the Privacy Act of 1974, as 
amended, by establishing a new general routine use and adding a new 
routine use to an existing system of records, PBGC-6, Plan Participant 
and Beneficiary Data-PBGC (last updated at 68 FR 12389 (March 14, 
2003)). PBGC is also amending its systems of records to make technical 
and clarifying changes after undertaking a periodic review of those 
systems as required under Appendix 1 to the Office of Management and 
Budget (OMB) Circular A-130, Management of Federal Information 
Resources (Nov. 28, 2000). The systems of records being amended are: 
PBGC-1, Correspondence Between the PBGC and Persons Outside of the 
PBGC--PBGC (last published at 60 FR 57464 (Nov. 15, 1995), PBGC-2, 
Disbursements--PBGC (last published at 60 FR 57464 (Nov. 15, 1995), 
PBGC-3, Employee Payroll, Leave and Attendance Records--PBGC (last 
updated at 61 FR 18184 (April 24, 1996)), PBGC-4, Employee Travel 
Records--PBGC (last published at 60 FR 57465 (Nov. 15, 1995)), PBGC-5, 
Personnel Files--PBGC, (last published at 60 FR 57466 (Nov. 15, 1995)), 
PBGC-6, Plan Participant and Beneficiary Data--PBGC (last updated at 68 
FR 12389 (March 14, 2003)), PBGC-8, Employee Relations Files--PBGC 
(last published at 60 FR 57467 (Nov. 15, 1995)), PBGC-9, Plan 
Participant and Beneficiary Address Identification File--PBGC (last 
published at 60 FR 57468 (Nov. 15, 1995)), PBGC-10, Administrative 
Appeals File--PBGC (last published at 60 FR 57469 (Nov. 15, 1995)), 
PBGC-11, Call Detail Records--PBGC (last published at 60 FR 57469 (Nov. 
15, 1995)), PBGC-12, Security Investigation Records--PBGC (last updated 
at 66 FR 17587 (April 2, 2001)), PBGC-13, Debt Collection--PBGC (last 
updated at 65 FR 25398 (May 1, 2000)), PBGC-14, My Plan Administration 
Account Authentication Records--PBGC (last published at 68 FR 74656 
(Dec. 24, 2003)), PBGC-15, Emergency Notification Records--PBGC (last 
published at 70 FR 30497 (May 26, 2005)), PBGC-16, Employee Online 
Directory--PBGC (last published at 73 FR 51024 (Aug. 29, 2008)), and 
PBGC-17, Office of Inspector General Investigative File System--PBGC 
(last published at 74 FR 14168 (March 30, 2009)).

General Routine Uses

    PBGC is proposing to amend its Prefatory Statement of General 
Routine Uses by establishing a new general routine use that will apply 
to all its systems of records. PBGC's Prefatory Statement of General 
Routine Uses was last published at 60 FR 57462, 57563-57564 (Nov. 15, 
1995).
    Proposed routine use G9 will permit PBGC to respond effectively to 
a suspected or confirmed data breach by allowing for the disclosure of 
information to those individuals affected by the breach, as well as to 
others who are in a position to assist in PBGC's response efforts, 
either by a role in preventing, minimizing or remedying harms from the 
breach. PBGC is proposing to establish the routine use to comply with 
the guidance issued by OMB in memorandum M-07-16, Safeguarding Against 
and Responding to the Breach of Personally Identifiable Information 
(May 22, 2007), and the President's Identity Theft Task Force's 
Strategic Plan (April 11, 2007), published at http://www.identitytheft.gov/reports/StrategicPlan.pdf.
    The Privacy Act authorizes PBGC to adopt routine uses that are 
consistent with the purpose for which information is collected. 5 
U.S.C. 552a(a)(7) and (b)(3). OMB, in its initial Privacy Act guidance, 
also recognized routine uses that are necessary and proper for the 
efficient conduct of the government and in the best interest of both 
the individual and the public. 40 FR 28948, 28953 (July 9, 1975). A 
routine use to provide for disclosure in connection with response and 
remedial efforts in the event of a breach of federal data would qualify 
as a necessary and proper use of information. Proposed routine use G9 
will apply to all systems of records.

Revising Routine Uses in PBGC System of Records PBGC-3 and PBGC-6

PBGC-3

    For PBGC-3, PBGC is deleting a routine use for disclosure to the 
Department of Labor that is no longer necessary.

PBGC-6

    PBGC is proposing to revise routine use 9 under its system of 
records entitled PBGC-6, Plan Participant and Beneficiary Data--PBGC 
that was last revised at 68 FR 12389, 12390 (Mar. 14, 2003). The 
revised routine use will permit PBGC to periodically disclose the names 
and addresses of participants and beneficiaries to licensees of the 
United States Postal Service (USPS) to update the address records from 
change-of-address information submitted to USPS by customers who are 
relocating. The existing routine use limits disclosure of names and 
addresses to USPS licensees when ``mail sent to the individual at the 
last known address is returned as undeliverable.''
    This revision is necessary because of a change in USPS mailing 
standards that require bulk mailers such as PBGC to update addresses 
within 95 days before any mailing from change-of-address information 
submitted to USPS. See 39 CFR 111.1 (2009), incorporating by reference 
the Mailing Standards of the United States Postal Service, Domestic 
Mail Manual (DMM) Sec.  443.3.9.1, at http://pe.usps.com/text/dmm300/443.htm. To meet the revised mailing standard, PBGC will use the 
National Change of Address Linkage System (NCOA \Link\) offered through 
licensees of the USPS. NCOA \Link\ is a USPS-

[[Page 37844]]

approved method for updating addresses. See DMM Sec.  443.3.9.2.
    To protect the privacy of individuals, disclosure of PBGC records 
under the routine use will be made under a contract that subjects 
licensees of the Postal Service and its employees to criminal penalties 
under the Privacy Act. The contract will provide that the records 
disclosed by PBGC will be used exclusively for updating addresses under 
NCOA \Link\ and must be returned to PBGC or destroyed when the process 
is completed. The records will be exchanged electronically in an 
encrypted format.

Technical and Clarifying Amendments

    In addition to establishing new general routine use G9, PBGC is 
amending PBGC-1, Correspondence Between the PBGC and Persons Outside of 
the PBGC--PBGC, PBGC-2, Disbursements--PBGC, PBGC-3, Employee Payroll, 
Leave and Attendance Records--PBGC, PBGC-4, Employee Travel Records--
PBGC, PBGC-5, Personnel Files--PBGC, PBGC-6, Plan Participant and 
Beneficiary Data--PBGC, PBGC-8, Employee Relations Files--PBGC, PBGC-9, 
Plan Participant and Beneficiary Address Identification File--PBGC, 
PBGC-10, Administrative Appeals File--PBGC, PBGC-11, Call Detail 
Records--PBGC, PBGC-12, Security Investigation Records--PBGC, PBGC-13, 
Debt Collection--PBGC, PBGC-14, My Plan Administration Account 
Authentication Records--PBGC, PBGC-15, Emergency Notification Records--
PBGC, PBGC-16, Employee Online Directory--PBGC, and PBGC-17, Office of 
Inspector General Investigative File System--PBGC, to correct and 
update the categories of individuals covered by the system, categories 
of records in the system, purposes, storage, retrievability, 
safeguards, retention and disposal, records in the system, and record 
source categories. The amendments clarify the nature and purposes of 
the systems of records and reflect changes that have occurred since 
they were last published.
    For the convenience of the public, PBGC's Prefatory Statement of 
General Routine Uses with proposed general routine use G9 and the 
amended systems of records are published in full below with changes 
italicized.

    Issued in Washington, DC, this 24 day of June 2010.
Vincent Snowbarger,
Acting Director, Pension Benefit Guaranty Corporation.

Prefatory Statement of General Routine Uses

    The following routine uses are incorporated by reference into 
various systems of records, as set forth below.
    G1. Routine Use--Law Enforcement: In the event that a system of 
records maintained by PBGC to carry out its functions indicates a 
violation or potential violation of law, whether criminal, civil, or 
regulatory in nature, and whether arising by general statute or 
particular program pursuant thereto, the relevant records in the system 
of records may be disclosed to the appropriate agency, whether federal, 
state, local, or foreign, charged with the responsibility of 
investigating or prosecuting such violation or charged with enforcing 
or implementing the statute, or rule, regulation, or order issued 
pursuant thereto.
    G2. Routine Use--Disclosure When Requesting Information: A record 
from this system of records may be disclosed to a federal, state, or 
local agency or to another public or private source maintaining civil, 
criminal, or other relevant enforcement information or other pertinent 
information, if and to the extent necessary to obtain information 
relevant to a PBGC decision concerning the hiring or retention of an 
employee, the retention of a security clearance, or the letting of a 
contract.
    G3. Routine Use--Disclosure of Existence of Record Information: 
With the approval of the Director, Human Resources Department (or his 
or her designee), the fact that this system of records includes 
information relevant to a federal agency's decision in connection with 
the hiring or retention of an employee, the retention of a security 
clearance, the letting of a contract, or the issuance of a license, 
grant, or other benefit may be disclosed to that federal agency.
    G4. Routine Use--Disclosure in Litigation: A record from this 
system of records may be disclosed in a proceeding before a court or 
other adjudicative body in which PBGC, an employee of the PBGC in his 
or her official capacity, or an employee of PBGC in his or her 
individual capacity if the PBGC (or the Department of Justice (DOJ)) 
has agreed to represent him or her is a party, or the United States or 
any other federal agency is a party and the PBGC determines that it has 
an interest in the proceeding, if the PBGC determines that the record 
is relevant to the proceeding and that the use is compatible with the 
purpose for which PBGC collected the information.
    G5. Routine Use--Disclosure to the Department of Justice in 
Litigation: When PBGC, an employee of PBGC in his or her official 
capacity, or an employee of PBGC in his or her individual capacity whom 
PBGC has agreed to represent is a party to a proceeding before a court 
or other adjudicative body, or the United States or any other federal 
agency is a party and PBGC determines that it has an interest in the 
proceeding, a record from this system of records may be disclosed to 
the DOJ if PBGC is consulting with the DOJ regarding the proceeding or 
has decided that the DOJ will represent PBGC, or its interest, in the 
proceeding and PBGC determines that the record is relevant to the 
proceeding and that the use is compatible with the purpose for which 
PBGC collected the information.
    G6. Routine Use--Disclosure to OMB: A record from this system of 
records may be disclosed to the OMB in connection with the review of 
private relief legislation as set forth in OMB Circular No. A-19 at any 
stage of the legislative coordination and clearance process as set 
forth in that Circular.
    G7. Routine Use--Congressional Inquiries: A record from this system 
of records may be disclosed to a congressional office from the record 
of an individual in response to an inquiry from the congressional 
office made at the request of the individual.
    G8. Routine Use--Disclosure to Labor Organizations: A record from 
this system of records may be disclosed to an official of a labor 
organization recognized under 5 U.S.C. Chapter 71 when necessary for 
the labor organization to perform properly its duties as the collective 
bargaining representative of PBGC employees in the bargaining unit.
    G9. Routine Use--Disclosure in Response to a Federal Data Breach. A 
record from this system of records may be disclosed to appropriate 
agencies, entities, and persons when (1) PBGC suspects or has confirmed 
that the security or confidentiality of information in the system of 
records has been compromised; (2) PBGC has determined that as a result 
of the suspected or confirmed compromise there is a risk of harm to 
economic or property interests, identity theft or fraud, or harm to the 
security or integrity of this system or other systems or programs 
(whether maintained by PBGC or another agency or entity) that rely upon 
the compromised information; and (3) the disclosure made to such 
agencies, entities, and

[[Page 37845]]

persons is reasonably necessary to assist in connection with PBGC's 
efforts to respond to the suspected or confirmed compromise and 
prevent, minimize, or remedy such harm.
PBGC-1

System name:
    Correspondence Between PBGC and Persons Outside the PBGC--PBGC.

System classification:
    Not Applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Individuals who have corresponded with PBGC and with components of 
PBGC and individuals who have received replies in response to their 
correspondence with PBGC.

Categories of records in the system:
    Correspondence containing the name and address of the correspondent 
and other information regarding various aspects of PBGC and Title IV of 
the Employee Retirement Income Security Act of 1974, as amended.

Authority for maintenance of the system:
    29 U.S.C. 1302.

Purpose(s):
    This system of records is maintained for programmatic and 
regulatory purposes (including use in adjudicatory proceedings).

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    General Routine Uses G1 through G7, and G9 (see Prefatory Statement 
of General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and/or in 
electronic form.

Retrievability:
    Records are indexed by name of correspondent or plan.

Safeguards:
    Paper records are kept in file folders in areas of restricted 
access that are locked after office hours. Electronic records are 
stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    General requests for information that do not involve administrative 
action, policy decisions, or special research are destroyed 1 year 
after reply. Correspondence with members of Congress is destroyed 1 
year after the end of the fiscal year in which it is received or sent.

System manager(s) and address:
    Correspondence is kept by the director of the department to which 
the correspondence was addressed or the director of the department who 
replied. These department directors are: General Counsel, Office of the 
General Counsel; Inspector General, Office of Inspector General; Chief 
Counsel, Office of Chief Counsel; Director, Policy and Research 
Department; Director, Communications and Public Affairs Department; 
Director, Financial Operations Department; Director, Budget and 
Organizational Performance Department; Director, Procurement 
Department; Director, Contract and Controls Review Department; Chief 
Information Officer, Office of Information Technology; Director, 
Department of Insurance Supervision and Compliance; Director, 
Facilities and Services Department; Director, Human Resources 
Department; Director, Benefits Administration and Payment Department. 
Correspondence addressed to or replied to by the Office of the Director 
is kept by the Deputy Director and Chief Operating Officer. PBGC's 
address is: 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Individuals writing to PBGC and PBGC's responses.

Exemptions claimed for the system:
    None.
PBGC-2

System name:
    Disbursements--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Individuals who are consultants and vendors to PBGC.

Categories of records in the systems:
    Payment vouchers, including SF 1082.

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained for use in determining amounts 
to be paid and in effecting payments by the Department of the Treasury 
to consultants and vendors.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be transmitted to the 
United States Department of Treasury to effect payments to consultants 
and vendors.
    2. General Routine Uses G1 through G7, and G9 (see Prefatory 
Statement of General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    Information may be disclosed to a consumer reporting agency in 
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and/or in 
electronic format, including magnetic tapes or discs.

Retrievability:
    Records are indexed by name.

Safeguards:
    Records are kept in file cabinets in areas of restricted access 
that are locked after office hours. Electronic records are stored on 
computer networks and are protected by assigning user identification 
numbers to individuals needing access to the records and by passwords 
set by authorized users that must be changed periodically.

Retention and disposal:
    Records created after June 30, 1975, are destroyed 6 years and 3 
months after

[[Page 37846]]

date of voucher. Records may also be maintained on PBGC's network back-
up tapes.

System manager(s) and address:
    Director, Financial Operation Department, Pension Benefit Guaranty 
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Individuals who are consultants and vendors to PBGC.

Exemptions claimed for the system:
    None.
PBGC-3

System name:
    Employee Payroll, Leave, and Attendance Records--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Current and former employees of PBGC.

Categories of records in the system:
    Names; addresses; social security numbers and employee numbers; 
earnings records; leave status and data; jury duty data; military leave 
data; time and attendance records, including number of regular, 
overtime, holiday, and compensatory hours worked; co-owner and/or 
beneficiary of bonds; marital status and number of dependents; and 
notifications of personnel actions. The records listed herein are 
included only as pertinent or applicable to the individual employee.

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained to perform functions involving 
employee leave, attendance, and payments, including determinations 
relating to the amounts to be paid to employees, the distribution of 
pay according to employee directions (for savings bonds and allotments, 
to financial institutions, and for other authorized purposes), and tax 
withholdings and other authorized deductions, and for statistical 
purposes.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to the 
United States Department of the Interior to effect payments to 
employees.
    2. General Routine Uses G1 through G9 (see Prefatory Statement of 
General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    Information may be disclosed to a consumer reporting agency in 
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and/or in automated 
form, including magnetic tapes or discs.

Retrievability:
    Records are indexed by name and/or employee or social security 
number.

Safeguards:
    Manual records are kept in file cabinets in areas of restricted 
access that are locked after office hours. Electronic records are 
stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Records are maintained for various periods of time, as provided in 
National Archives and Records Administration General Records Schedule 
2. Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Financial Operations Department, Pension Benefit Guaranty 
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Subject individual and the Office of Personnel Management.

Exemptions claimed for the system:
    None.
PBGC-4

System name:
    Employee Travel Records--PBGC.

System classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Current and former employees of PBGC who have filed travel vouchers 
and related documents.

Categories of records in the system:
    Travel vouchers and related documents filed by employees of PBGC.

Authority for maintenance of the system:
    5 U.S.C. 6701; 29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained to perform functions related 
to travel on behalf of PBGC, including determinations involving travel 
authorization and arrangements and documentation of travel advances and 
reimbursements.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to the 
United States Department of Treasury to effect reimbursement of 
employees for travel expenses.
    2. General Routine Uses G1 through G9 (see Prefatory Statement of 
General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    Information may be disclosed to a consumer reporting agency in 
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and/or in 
electronic format, including magnetic tapes and discs.

Retrievability:
    Records are indexed by name.

[[Page 37847]]

Safeguards:
    Records are kept in file cabinets in areas of restricted access 
that are locked after office hours. Electronic records are stored on 
computer network and protected by assigning user identification numbers 
to individuals needing access to the records and by passwords set by 
authorized users that must be changed periodically.

Retention and disposal:
    Records are maintained for various periods of time, as provided in 
National Archives and Records Administration General Records Schedule 
9. Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Financial Operations Department, Pension Benefit Guaranty 
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Current and former PBGC employee vouchers.

Exemptions claimed for the system:
    None.
PBGC-5

System name:
    Personnel Files--PBGC.

System classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Employees and applicants for employment with PBGC.

Categories of records in the system:
    Personnel records that PBGC maintains, including applications and 
related information for attorneys maintained by the Office of the 
General Counsel. (Records included in the permanent Official Personnel 
Folder are maintained as a system of records by the Office of Personnel 
Management (OPM/GOVT-1) and are not included in this system of 
records.)

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is used in carrying out authorized personnel 
functions, including the evaluation of qualifications; determinations 
about status, eligibility, and rights and benefits under pertinent laws 
and regulations governing federal employment; and computations of 
length of service.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    General Routine Uses G1 through G9 (see Prefatory Statement of 
General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in paper form in file folders and/or in 
electronic form, including magnetic tapes and discs.

Retrievability:
    Records are indexed by name.

Safeguards:
    Access is restricted to agency personnel or contractors whose 
responsibilities require access. Paper records are kept in areas of 
restricted access that are locked after office hours. Electronic 
records are stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Temporary personnel file records are destroyed when superseded or 
obsolete, or upon separation or transfer of employee from PBGC. 
Applications for employment are destroyed after the receipt of an OPM 
inspection report or 2 years after date of application, whichever is 
sooner. Applications for training are destroyed 5 years after 
completion of a specific training program.
    Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Human Resources Department, and Administrative Officer, 
Office of the General Counsel, Pension Benefit Guaranty Corporation, 
1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Subject individuals, present and past employers, and references 
given by any subject individuals.

Exemptions claimed for the system:
    None.
PBGC-6

System name:
    Plan Participant and Beneficiary Data--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026 and/or field benefit administrator, plan 
administrator, and paying agent worksites.

Categories of individuals covered by the system:
    Participants and beneficiaries in terminating and terminated 
pension plans covered by Title IV of the Employee Retirement Income 
Security Act of 1974, as amended (``ERISA'').

Categories of records in the system:
    Names, addresses, telephone numbers, sex, social security numbers 
and other Social Security Administration information, dates of birth, 
dates of hire, salary, marital status, domestic relations orders, time 
of plan participation, eligibility status, pay status, benefit data, 
health-related information, insurance information where plan benefits 
are provided by private insurers, initial and final PBGC determinations 
(29 CFR 4003.21 and 4003.59). The records listed herein are included 
only as pertinent or applicable to the individual plan participant or 
beneficiary.

Authority for maintenance of the system:
    29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342 and 
1350; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained for use in determining whether

[[Page 37848]]

participants and beneficiaries are eligible for benefits under plans 
covered by Title IV of ERISA, the amounts of benefits to be paid, 
making benefit payments, and collecting benefit overpayments. Names, 
addresses, and telephone numbers are used to survey customers to 
measure their satisfaction with PBGC's benefit payment services and to 
track (for follow up) those who do not respond to surveys.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to third 
parties, such as banks, insurance companies, or trustees, to make 
benefit payments to plan participants and beneficiaries.
    2. A record from this system of records may be disclosed, in 
furtherance of proceedings under Title IV of ERISA, to a contributing 
sponsor (or other employer who maintained the plan), including any 
predecessor or successor, and any member of the same controlled group.
    3. A record from this system of records may be disclosed, upon 
request for a purpose authorized under Title IV of ERISA, to an 
official of a labor organization recognized as the collective 
bargaining representative of the individual about whom a request is 
made.
    4. Names, addresses, and telephone numbers of participants and 
beneficiaries and information pertaining to debts owed by such 
participants and beneficiaries to PBGC may be disclosed to a debt 
collection agency or firm to collect a claim. Disclosure shall be made 
only under a contract that binds any such contractor or employee of 
such contractor to the criminal penalties of the Privacy Act. The 
information so disclosed shall be used exclusively pursuant to the 
terms and conditions of such contract and shall be used solely for the 
purposes prescribed therein. The contract shall provide that the 
information so disclosed shall be returned at the conclusion of the 
debt collection effort.
    5. The name and social security number of a participant employed or 
formerly employed as a pilot by a commercial airline may be disclosed 
to the Federal Aviation Administration (FAA) to obtain information 
relevant to the participant's eligibility or continued eligibility for 
disability benefits.
    6. Names and social security numbers of plan participants and 
beneficiaries may be disclosed to the Internal Revenue Service (IRS) to 
obtain current addresses from tax return information and to the Social 
Security Administration (SSA) to obtain current addresses. Such 
information will be disclosed only if PBGC has no address for an 
individual or if mail sent to the individual at the last known address 
is returned as undeliverable.
    7. Names and last known addresses may be disclosed to an official 
of a labor organization recognized as the collective bargaining 
representative of participants for posting in union halls or for other 
means of publication to obtain current addresses of participants and 
beneficiaries. Such information will be disclosed only if PBGC has no 
address for an individual or if mail sent to the individual at the last 
known address is returned as undeliverable.
    8. Names, social security numbers, last known addresses, and dates 
of birth and death may be disclosed to private firms and agencies that 
provide locator services, including credit reporting agencies and debt 
collection firms or agencies, to locate participants and beneficiaries. 
Such information will be disclosed only if PBGC has no address for an 
individual or if mail sent to the individual at the last known address 
is returned as undeliverable. Disclosure shall be made only under a 
contract that subjects the firm or agency providing the service and its 
employees to the criminal penalties of the Privacy Act. The information 
so disclosed shall be used exclusively pursuant to the terms and 
conditions of such contract and shall be used solely for the purposes 
prescribed therein. The contract shall provide that the information so 
disclosed shall be returned at the conclusion of the locating effort.
    9. Names and addresses may be disclosed to licensees of the United 
States Postal Service (USPS) to obtain current addresses under the 
USPS's National Change of Address Linkage System (NCOA \Link\). 
Disclosure shall be made only under a contract that binds the licensee 
of the Postal Service and its employees to the criminal penalties of 
the Privacy Act. The contract shall provide that the records disclosed 
by PBGC shall be used exclusively for updating addresses under NCOA 
\Link\ and must be returned to PBGC or destroyed when the process is 
completed. The records will be exchanged electronically in an encrypted 
format.
    10. Names and last known addresses may be disclosed to other 
participants in, and beneficiaries under, a pension plan to obtain the 
current addresses of individuals. Such information will be disclosed 
only if PBGC has no address for an individual or if mail sent to the 
individual at the last known address is returned as undeliverable.
    11. Names and last known addresses of participants and 
beneficiaries, and the names and addresses of participants' former 
employers, may be disclosed to the public to obtain current addresses 
of the individuals. Such information will be disclosed to the public 
only if PBGC is unable to make benefit payments to the participants and 
beneficiaries because the address it has does not appear to be current 
or correct.
    12. The name of a participant's pension plan, the actual or 
estimated amount of a participant's benefit under Title IV of ERISA, 
the form(s) in which the benefit is payable, and whether the 
participant is currently receiving benefit payments under the plan or 
(if not) the earliest date(s) such payments could commence may be 
disclosed to the participant's spouse, former spouse, child, or other 
dependent solely to obtain a qualified domestic relations order under 
29 U.S.C. 1056(d) and 26 U.S.C. 414(p). PBGC will disclose the 
information only upon the receipt of a notarized, written request by a 
prospective alternate payee that describes the requester's relationship 
to the participant and states that the information will be used solely 
to obtain a qualified domestic relations order under state domestic 
relations law. PBGC will notify the participant of any information 
disclosed to a prospective alternate payee under this routine use. Any 
person who knowingly and willfully requests or obtains any record 
concerning an individual under false pretenses is subject to a criminal 
penalty under 5 U.S.C. 552a(i)(3).
    13. Information from a participant's initial determination under 29 
CFR 4003.1(b) (excluding the participant's address, telephone number, 
social security number, and any sensitive medical information) may be 
disclosed to a participant's spouse, former spouse, child, or other 
dependent who is an alternate payee under a qualified domestic 
relations order issued pursuant to 29 U.S.C. 1056(d) and 26 U.S.C. 
414(p) to explain how PBGC determined the benefit due the alternate 
payee so that the alternate payee can pursue an administrative appeal 
of the benefit determination under 29 CFR 4003.51. PBGC will notify the 
participant of the information disclosed to an alternate payee under 
this routine use.
    14. The names, addresses, social security numbers, and dates of 
birth of eligible PBGC pension recipients may be disclosed to the 
Department of Treasury and the Department of Labor to implement the 
income tax credit for

[[Page 37849]]

health insurance costs under 26 U.S.C. 35 and the program for advance 
payment of the tax credit under 26 U.S.C. 7527.
    15. The names, addresses, social security numbers, and dates of 
birth of eligible PBGC pension recipients residing in a particular 
state may be disclosed to the state's workforce agency if the agency 
received a National Emergency Grant from the Department of Labor under 
the Workforce Investment Act of 1988 to provide health insurance 
coverage assistance and support services for state residents under 29 
U.S.C. 2918(a) and (f).
    16. General Routine Uses G1 and G4 through G7, and G9 (see 
Prefatory Statement of General Routine Uses) apply to this system of 
records.

Disclosure to consumer reporting agencies:
    Information may be disclosed to a consumer reporting agency in 
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in paper and electronic form.

Retrievability:
    Records are indexed by plan and participant and/or beneficiary 
name. Customer satisfaction survey responses are aggregated for 
statistical purposes after they have been received by PBGC and are not 
retrievable by a participant or beneficiary's name or other assigned 
identifier.

Safeguards:
    Paper records are kept in file folders in areas of restricted 
access that are locked after office hours. Electronic records are 
stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Records for plan participants are transferred to the Washington 
National Federal Records Center 6 months after either the final payment 
to a participant and/or beneficiary or PBGC's final determination that 
a participant or beneficiary is not entitled to any benefits and are 
destroyed 7 years after such payment or determination.
    Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Benefit Administration and Payments Department, Pension 
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026.

Notification procedure:
    Procedures are detailed in PBGC's regulations: 29 CFR part 4902.

Record access procedures:
    Same as notification procedure.

Contesting records procedure:
    Same as notification procedure.
PBGC-8

System name:
    Employee Relations Files 8-PBGC.

System classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Current and former PBGC employees with respect to whom PBGC has 
initiated a reduction-in-force or a disciplinary or performance-based 
action and PBGC employees who have initiated grievances under an 
administrative grievance procedure or under an applicable collective 
bargaining agreement.

Categories of records in the system:
    Notices of reductions-in-force or disciplinary or performance-based 
actions and employees' replies to such notices, employees' notices of 
grievance and appeal, investigative reports, records of proceedings, 
appeal decisions, and related information. (Records of actions proposed 
or taken in accordance with 5 CFR Part 315 (Subpart H or I) or Part 752 
are maintained as a system of records by the Office of Personnel 
Management (OPM) (OPM/GOVT-3) and are not included in this system of 
records.)

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained for use in decision-making 
involving grievances and appeals by PBGC employees regarding 
compensation, benefits, or other terms and conditions of employment, 
including terms and conditions of employment under an applicable 
collective bargaining agreement, and reductions-in-force and certain 
disciplinary and performance-based actions involving PBGC employees.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to OPM, 
the Merit Systems Protection Board, the Federal Labor Relations 
Authority, or the Equal Employment Opportunity Commission to carry out 
its authorized functions (under 5 U.S.C. 1103, 1204, 7105, and 42 
U.S.C. 2000e-4, in that order).
    2. General Routine Uses G1 through G9 (see Prefatory Statement of 
General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in paper form in file folders and/or in 
electronic form, including magnetic tapes or discs.

Retrievability:
    Records are indexed by employee name.

Safeguards:
    Access is restricted to agency personnel or contractors whose 
responsibilities require access. Paper records are kept in areas of 
restricted access that are locked after office hours. Electronic 
records are stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Registers and related records used to effect reduction-in-force 
actions are maintained as provided in the National Archives and Record 
Administration General Records Schedule 1. Records relating to 
grievances raised by employees, except Equal Employment Opportunity 
complaints, are maintained for 7 years after the close of the matter as 
provided in the National Archives and Record Administration General 
Records Schedule 1 and PBGC Schedule 1.2. Records related to 
disciplinary or performance based actions are maintained for 7 years as 
provided in the National Archives and Record Administration General 
Records Schedule 1 and PBGC Schedule 1.2.
    Records are also maintained on PBGC's network back-up tapes.

[[Page 37850]]

System manager(s) and address:
    Director, Human Resources Department, Pension Benefit Guaranty 
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Records in this system of records are provided by an affected 
employee, the employee's supervisors, other PBGC employees, and from 
investigations and interviews.

Exemptions claimed for the system:
    None.
PBGC-9

System name:
    Plan Participant and Beneficiary Address Identification File--PBGC.

System classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Certain participants and beneficiaries in terminating and 
terminated pension plans covered by Title IV of the Employee Retirement 
Income Security Act of 1974, as amended.

Categories of records in the system:
    Names, social security numbers, addresses, and names of pension 
plans.

Authority for maintenance of the system:
    26 U.S.C. 6103 and 26 CFR 301.6103(l)(2)-3; 29 U.S.C. 1055, 
1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342, and 1350; 44 U.S.C. 
3101.

Purpose(s):
    This system of records is maintained to locate participants and 
beneficiaries under pension plans covered by Title IV of ERISA.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed only to a 
person to whom disclosure is permitted by 26 U.S.C. 6103 and 26 CFR 
301.6103(i)-1.
    2. General Routine Uses G1 and G4 through G7, and G9 (see Prefatory 
Statement of General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and/or in 
electronic form, including magnetic tapes or discs.

Retrievability:
    Records are indexed by participant or beneficiary name and social 
security number.

Safeguards:
    Records are kept in locked file cabinets in areas of restricted 
access under procedures that meet IRS safeguarding standards. 
Electronic records are stored on computer networks and protected by 
assigning user identification numbers to individuals needing access to 
the records and by passwords set by authorized users that must be 
changed periodically.

Retention and disposal:
    Records of a participant or beneficiary who verifies the address 
are transferred to PBGC-6. All other records are retained for 2 years 
from the date the request was sent to the IRS and then are sent to the 
IRS for disposal or are destroyed.

System manager(s) and address:
    Director, Benefits Administration and Payments Department, Pension 
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    PBGC-6 and the IRS.

Exemptions claimed for the system:
    None.
PBGC-10

System name:
    Administrative Appeals File--PBGC.

System classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Participants and beneficiaries in terminated pension plans covered 
by Title IV of the Employee Retirement Income Security Act of 1974, as 
amended, who have filed administrative appeals with PBGC's Appeals 
Board pursuant to 29 CFR 4003.1(b)(6), (7), (8), or (10), Rules for 
Administrative Review of Agency Decisions.

Categories of records in the system:
    Names of pension plans, names of participants, beneficiaries, and 
alternate payees, and personal information such as addresses, social 
security numbers, sex, dates of birth, dates of hire, salary, marital 
status (including domestic relations orders), medical records, dates of 
commencement of plan participation or employment, statements regarding 
employment, dates of termination of plan participation or retirement, 
benefit payment data, pay status, Social Security Administration 
(``SSA'') information, insurance claims and awards, workman's 
compensation awards, calculations of benefit amounts, calculations of 
amounts subject to recapture, correspondence and other information 
relating to appeals, and initial and final PBGC determinations (29 
CFR4003.22 and 4003.59). The records listed herein are included only as 
pertinent or applicable to the individual participant, beneficiary, 
and/or alternate payee.

Authority for maintenance of the system:
    29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342, 
1345, and 1350.

Purpose(s):
    This system of records is maintained for use in appeals of matters 
specified in 29 CFR 4003.1(b)(6), (7), (8), and (10) and in subsequent 
agency actions.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. General Routine Uses G1, G4, G5, G6, G7, and G8 apply to this 
system of records.
    2. A record from this system of records may be disclosed to third 
parties who may be aggrieved by the decision of the Appeals Board under 
29 CFR 4003.57, including disclosure to the contributing sponsor (or 
other employer who maintained the plan) including any predecessor or 
successor, and any member of the same controlled group.

[[Page 37851]]

    3. A record from this system of records may be disclosed, upon 
request, to an attorney representative or a non-attorney representative 
who has a power of attorney for the subject individual, under 29 CFR 
4003.6.
    4. A record from this system of records may be disclosed to third 
parties, such as banks, insurance companies, and trustees, to make 
benefit payments to plan participants and beneficiaries.
    5. A record from this system of records may be disclosed to third 
parties, such as contractors and expert witnesses, to obtain expert 
analysis of an issue necessary to resolve an appeal.
    6. The name and social security number of a participant may be 
disclosed to an official of a labor organization recognized as the 
collective bargaining representative of the participant to obtain 
information relevant to the resolution of an appeal.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and/or in 
electronic form.

Retrievability:
    Records are indexed by participant or beneficiary name, plan name, 
and appeal number or extension request number.

Safeguards:
    Paper records are kept in file folders in areas of restricted 
access that are locked after office hours. Electronic records are 
stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Paper records for a closed appeal file are retained for 30 days 
after the Appeals Board's final determination. Thereafter, the closed 
appeal file is transferred to a records storage facility and destroyed 
40 years later.
    Electronic records are destroyed or deleted 135 years after a 
determination that all participants have been paid.

System manager(s) and address:
    Manager of the Appeals Division, Office of the General Counsel, 
Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, 
DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Information in this system of records may be received from the plan 
administrator, the contributing sponsor (or other employer who 
maintained the plan), including any predecessor, successor, or member 
of the same controlled group, the labor organization recognized as the 
collective bargaining representative of a participant, the SSA, a third 
party affected by the decision, and the participant or beneficiary.

Exemptions claimed for the system:
    None.
PBGC-11

System name:
    Call Detail Records--PBGC.

System classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Employees, contract employees, and consultants of PBGC, and 
officials of a labor organization representing PBGC employees who have 
made long distance or other toll calls from PBGC telephones or PBGC-
issued portable electronic devices.

Categories of records in the system:
    Records relating to use of PBGC telephones and PBGC-issued portable 
electronic devices to place toll calls and receive calls; records 
indicating assignment of telephone extension numbers PBGC-issued 
portable electronic devices to employees and other covered individuals; 
records relating to location of telephone extensions.

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained to control the costs of 
operating PBGC's telephone system by, among other things, monitoring 
telephone usage by PBGC employees and other covered individuals and 
obtaining reimbursement for unauthorized toll calls.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to 
contract employees and consultants of PBGC and officials of a labor 
organization representing PBGC employees to determine individual 
responsibility for telephone calls, but only to the extent that such 
disclosures consist of comprehensive lists of called numbers and length 
of calls.
    2. General Routine Uses G1, G3, G4, G5, G7 through G9 (see 
Prefatory Statement of General Routine Uses) apply to this system of 
records.

Disclosure to consumer reporting agencies:
    Information may be disclosed to a consumer reporting agency in 
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained manually in file folders and in electronic 
form, including magnetic tapes and discs.

Retrievability:
    Records are retrieved by name of employee or other covered 
individual, telephone extension number, or telephone number called.

Safeguards:
    Manual records are kept in areas of restricted access that are 
locked after office hours. Electronic records are stored on computer 
networks and protected by assigning user identification numbers to 
individuals needing access to the records and by passwords set by 
authorized users that must be changed periodically.

Retention and disposal:
    Records are retained for 2 years and then destroyed.
    Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Office of Information Technology, Pension Benefit 
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

[[Page 37852]]

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Telephone and PBGC-issued portable electronic device assignment 
records; call detail listings; private telephone billing information.

Exemptions claimed for the system:
    None.
PBGC-12

System name:
    Personnel Security Investigation Records--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Current and former employees and applicants for employment with 
PBGC. Current and former individuals who work, or who are being 
considered for work, for PBGC as contractors or as employees of 
contractors.

Categories of records in the system:
    Investigatory material regarding an individual's character, 
conduct, and behavior, including: Records of arrests and convictions 
for violations of law; reports of interviews with the subject of the 
investigation and with persons such as present and former supervisors, 
neighbors, co-workers, associates, and educators who may have 
information about the subject of the investigation; reports about the 
qualifications of an individual for a specific position; reports of 
inquiries to law enforcement agencies, employers, and educational 
institutions; reports of action after an Office of Personnel Management 
(OPM) or Federal Bureau of Investigation field investigation; and other 
information or correspondence relating to or developed from the above.
    This system of records is distinct from the OPM's Privacy Act 
system of records, OPM/Central-9 (Personnel Investigation Records), 
which covers records of personnel security investigations conducted by 
the OPM with respect to employees or applicants for employment with 
PBGC.

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101; Executive Order 10450; 5 CFR Sec.  
5.2(c) and (d); 5 CFR parts 731 and 736; and OMB Circular No. A-130--
Revised, Appendix III, 61 FR 6428.

Purpose(s):
    This system of records is maintained to document investigations of 
individuals' character, conduct, and behavior. Records are used, in 
accordance with Federal personnel regulations, in making determinations 
relating to an individual's suitability and fitness for PBGC employment 
or work for PBGC as a contractor or as an employee of a contractor, 
access to information, and security clearance.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to an 
authorized source from which information is requested in the course of 
an investigation, to the extent necessary to identify the individual, 
inform the source of the nature and purpose of the investigation, or 
identify the type of information requested.
    2. A record from this system of records may be disclosed to OPM, 
the Merit Systems Protection Board, the Federal Labor Relations 
Authority, or the Equal Employment Opportunity Commission to carry out 
its authorized functions (under 5 U.S.C. 1103, 1204, and 7105, and 42 
U.S.C. 2000e-4, in that order).
    3. General Routine Uses G1 through G9 (see Prefatory Statement of 
General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in paper and electronic form, including 
magnetic tapes and discs.

Retrievability:
    Records are indexed by name.

Safeguards:
    Paper records are kept in file cabinets in areas of restricted 
access that are locked after office hours. Electronic records are 
stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Records are destroyed upon notification of death or not later than 
5 years after separation or transfer of employee, or no later than 5 
years after contract relationship expires, whichever is applicable.
    Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Facilities and Services Department, Pension Benefit 
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR Part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Information contained in this system of records is obtained from 
the following: (a) Applications and other personnel and security forms; 
(b) personal interviews with the individual that is the subject of the 
investigation and with persons such as employers, references, 
neighbors, and associates who may have information about the subject of 
the investigation; (c) investigative records and notices of personnel 
actions furnished by other federal agencies; (d) sources such as 
educational institutions, police departments, credit bureaus, probation 
officials, prison officials, and doctors; and (e) public records such 
as court filings and publications such as newspapers, magazines, and 
periodicals.

Exemptions claimed for the system:
    This system of records is exempt from the access and contest and 
certain other provisions of the Privacy Act (5 U.S.C. 552a(c)(3), (d), 
(e)(1), (e)(4)(G) through (I), and (f)) to the extent that disclosure 
would reveal the identity of a source who furnished information to PBGC 
under an express promise of confidentiality or, prior to September 27, 
1975, under an implied promise of confidentiality (5 U.S.C. 
552a(k)(5)).
PBGC-13

System name:
    Debt Collection--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026 and/or field benefit administrator, plan 
administrator, and paying agent worksites.

[[Page 37853]]

Categories of individuals covered by the system:
    Anyone who may owe a debt to PBGC, including but not limited to: 
Employees and former employees of PBGC; individuals who are consultants 
and vendors to PBGC; participants and beneficiaries in terminating and 
terminated pension plans covered by Title IV of the Employee Retirement 
Income Security Act of 1974, as amended (ERISA), and individuals who 
received benefit payments to which they are not entitled.

Categories of records in the system:
    Names; addresses; social security numbers; taxpayer identification 
numbers; employee number; travel vouchers and related documents filed 
by employees of PBGC; invoices filed by consultants and vendors to 
PBGC; records of benefit payments made to participants and 
beneficiaries in terminating and terminated pension plans covered by 
Title IV of ERISA; and other relevant records relating to the debt 
including the amount, status, and history of the debt, and the program 
under which the debt arose. The records listed herein are included only 
as pertinent or applicable to the individual debtor.

Authority for maintenance of the system:
    29 U.S.C. 1302; 31 U.S.C. 3711(e) & (g); 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained for the purpose of collecting 
debts owed to PBGC by various individuals, including, but not limited 
to, PBGC's employees and former employees, consultants and vendors, 
participants and beneficiaries in terminating and terminated pension 
plans covered by Title IV of ERISA, and individuals who received 
benefit payments to which they are not entitled. This system 
facilitates PBGC's compliance with the Debt Collection Improvement Act 
of 1996.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    1. A record from this system of records may be disclosed to the 
United States Department of Treasury for cross-servicing to effect debt 
collection in accordance with 31 U.S.C. 3711(e).
    2. General Routine Uses G1 and G4 through G9 (see Prefatory 
Statement of General Routine Uses) apply to this system of records.

Disclosure to consumer reporting agencies:
    Information may be disclosed to a consumer reporting agency in 
accordance with 31 U.S.C. 3711(e) (5 U.S.C. 552a(b)(12)).

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in paper and electronic form, including 
magnetic tapes or discs.

Retrievability:
    Records are indexed by any one or more of the following: employer 
identification number; social security number; plan number; and name of 
debtor, plan, plan sponsor, plan administrator, participant or 
beneficiary.

Safeguards:
    Paper records are kept in file folders in areas of restricted 
access that are locked after office hours. Electronic records are 
stored on computer networks and protected by assigning user 
identification numbers to individuals needing access to the records and 
by passwords set by authorized users that must be changed periodically.

Retention and disposal:
    Records relating to the debts of consultants and vendors are 
destroyed 6 years and 3 months after the date of the voucher, unless 
the transaction is at or below the simplified acquisition threshold, in 
which case records are destroyed 3 years after the date of final 
payment.
    Records relating to debts of PBGC employees and former employees 
involving payroll, leave, attendance, and travel are maintained for 
various periods of time, as provided in National Archives and Records 
Administration General Records Schedules 2 and 9.
    Records relating to debts of participants and beneficiaries in 
terminating and terminated pension plans covered by Title IV of ERISA 
are transferred to the Washington National Federal Records Center 6 
months after either the final payment to a participant and/or 
beneficiary, or the PBGC's final determination that a participant or 
beneficiary is not entitled to any benefits, and are usually destroyed 
7 years after such payment or determination.
    Records relating to debts of other individuals are maintained until 
their disposition is authorized by the National Archives and Records 
Administration.
    Records are also maintained on PBGC's network back-up tapes.

System manager(s) and address:
    Director, Financial Operations Department, Pension Benefit Guaranty 
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR part 4902.

Record access procedures:
    Same as notification procedure.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Subject individual, plan administrators, labor organization 
officials, firms or agencies providing locator services, and other 
Federal agencies.

Exemptions claimed for the system:
    None.
PBGC-14

System name:
    My Plan Administration Account Authentication Records--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    Individuals who register to use the My PAA application to make PBGC 
filings and payments electronically via PBGC's Internet Web site 
(http://www.pbgc.gov), including individuals acting for plan sponsors, 
plan administrators, and pension practitioners such as enrolled 
actuaries and other benefit professionals.

Categories of records in the system:
    Records include the user's name, work telephone number, work e-mail 
address, other contact information, a temporary, PBGC-issued user ID 
and password, a user-selected user ID and password, and a secret 
question/secret answer combination for authentication. Records 
maintained for each pension plan for which the user intends to 
participate in making filings with PBGC include the plan name, employer 
identification number (EIN), and plan number (PN); the plan 
administrator's name, address, phone number, and e-mail address; other 
contact information; and the role that the user will play in the filing 
process, e.g., creating and editing filings, signing filings

[[Page 37854]]

electronically as the plan administrator, signing filings 
electronically as the enrolled actuary, or authorizing payments to 
PBGC.

Authority for maintenance of the system:
    29 U.S.C. 1302, 1306, 1307, 1341, and 1343; 44 U.S.C. 3101.

Purpose(s):
    This system of records is maintained for use in verifying the 
identity of, and authenticating actions taken by, individuals who 
register to use the My PAA application to make PBGC filings.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    PBGC General Routine Uses G1, G4, G5, G6, G7, and G9 apply to this 
system of records (See Prefatory Statement of General Routine Uses).

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in automated form in computer databases 
maintained by PBGC.

Retrievability:
    Records are indexed by name, user ID and password, and by plan name 
and EIN/PN.

Safeguards:
    PBGC has adopted appropriate administrative, technical, and 
physical controls in accordance with PBGC's Automated Information 
Systems Security Program to protect the security, integrity, and 
availability of the information, and to assure that records are not 
disclosed to unauthorized individuals.

Retention and disposal:
    Records are maintained in accordance with PBGC's established 
records disposition schedule for premium-related records.

System manager(s) and address:
    Director, Financial Operations Department, Pension Benefit Guaranty 
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR part 4902.

Record access procedures:
    An individual may access his or her records via the My PAA 
application available on PBGC's Internet Web site (http://www.pbgc.gov), or by following the procedures outlined at 29 CFR part 
4902.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Subject individual and other registered users.

Exemptions claimed for the system:
    None.
PBGC-15

System name:
    PBGC-15, Emergency Notification Records--PBGC.

Security classification:
    Not applicable.

System location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    PBGC employees and individuals who work for PBGC as contractors or 
as employees of contractors.

Categories of records in the system:
    Records include name, title, organizational component, employer, 
PBGC and personal telephone numbers, PBGC and personal e-mail 
addresses, other contact information, user ID, a temporary, PBGC-issued 
password, and a user-selected password.

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101; Executive Order 12656, 53 FR 47491 
(1988); Presidential Decision Directive 67 (1998).

Purpose(s):
    This system of records is maintained for use in notifying PBGC 
employees and individuals who work for PBGC as contractors or employees 
of contractors of PBGC's operating status in the event of an emergency, 
natural disaster or other event affecting PBGC operations; for 
contacting employees or contractors who are out of the office on leave 
or after regular duty hours to obtain information necessary for 
official business; or to contact friends or family members if an 
employee or contractor experiences a medical emergency in the 
workplace.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    PBGC General Routine Uses G1, G4, G5, G7, and G9 apply to this 
system of records (See Prefatory Statement of General Routine Uses).

Disclosure to consumer reporting agencies:
    None.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in an electronic database that is available 
to authorized PBGC employees and contractors who have been granted 
access to PBGC's Intranet Web site. Paper printouts are also maintained 
by authorized PBGC personnel in accordance with PBGC's continuity of 
operations plan.

Retrievability:
    Records are indexed by name, organizational component, or user ID 
and password.

Safeguards:
    PBGC has adopted appropriate administrative, technical, and 
physical controls in accordance with PBGC's Automated Information 
Systems Security Program to protect the security, integrity, and 
availability of the information, and to assure that paper and 
electronic records are not disclosed to or accessed by unauthorized 
individuals.

Retention and disposal:
    Records are maintained until they are superseded or obsolete.

System manager(s) and address:
    Director, Facilities and Services Department, Pension Benefit 
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR part 4902.

Record access procedures:
    An employee or contractor may access his or her record with a valid 
user-id and password via the electronic notification and messaging 
system through PBGC's Intranet Web site, or by following the procedures 
outlined at 29 CFR part 4902.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Subject individual.

Exemptions claimed for the system:
    None.

[[Page 37855]]

PBGC-16

System name:
    PBGC-16, Employee Online Directory--PBGC

Security classification:
    Not applicable.

System Location:
    Pension Benefit Guaranty Corporation, 1200 K Street, NW., 
Washington, DC 20005-4026.

Categories of individuals covered by the system:
    PBGC employees.

Categories of records in the system:
    Employee's name, photograph, organizational component and title, 
supervisor's name, PBGC street address, room or workstation number, and 
telephone number and extension.

Authority for maintenance of the system:
    29 U.S.C. 1302; 44 U.S.C. 3101.

Purpose(s):
    This system of records is used by PBGC employees and employees of 
PBGC's contractors to identify other PBGC employees by name, face, 
organizational component or title, or supervisor, and to access contact 
information for PBGC employees.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    PBGC General Routine Uses G1 through G9 apply to this system of 
records (See Prefatory Statement of General Routine Uses).

Disclosure to consumer reporting agencies:
    Not applicable.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in electronic format in a database that is 
available to authorized PBGC employees and employees of PBGC's 
contractors who have been granted access to PBGC's Intranet Web site.

Retrievability:
    Records are retrieved by name, or organizational component.

Safeguards:
    PBGC has adopted appropriate administrative, technical, and 
physical controls to protect the security, integrity, and availability 
of information maintained in electronic format, and to assure that 
records are not disclosed to or accessed by anyone who does not have a 
need-to-know to perform official duties.

Retention and disposal:
    Records are maintained until the subject leaves PBGC employment.

System manager(s) and address:
    Director, Communications and Public Affairs Department, Pension 
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026.

Notification procedure:
    Procedures are detailed in PBGC regulations: 29 CFR part 4902.

Record access procedures:
    Same as notification procedures.

Contesting record procedures:
    Same as notification procedure.

Record source categories:
    Subject individual and PBGC personnel records.

Exemptions claimed for the system:
    None.
PBGC-17

System name:
    PBGC-17, Office of Inspector General Investigative File System--
PBGC.

Security classification:
    Not applicable.

System location:
    Office of Inspector General, Pension Benefit Guaranty Corporation, 
1200 K Street, NW., Washington, DC 20005-4026; Washington National 
Records Center, 4205 Suitland Road, Suitland, MD 20746-8001.

Categories of individuals covered by the system:
    1. Persons who are named individuals in investigations conducted by 
OIG.
    2. Complainants and subjects of complaints collected through the 
operation of the OIG Hotline.
    3. Other individuals, including witnesses, sources, and members of 
the general public, who are named individuals in connection with 
investigations conducted by OIG.

Categories of records in the system:
    Information within this system relates to OIG investigations 
carried out under applicable statutes, regulations, policies, and 
procedures. The investigations may relate to criminal, civil, or 
administrative matters. These OIG files may contain investigative 
reports; copies of financial, contractual, and property management 
records maintained by PBGC; background data including arrest records, 
statements of informants and witnesses, and laboratory reports of 
evidence analysis; search warrants, summonses and subpoenas; and other 
information related to investigations. Personal data in the system may 
consist of names, Social Security numbers, addresses, fingerprints, 
handwriting samples, reports of confidential informants, physical 
identifying data, voiceprints, polygraph tests, photographs, and 
individual personnel and payroll information.

Authority for maintenance of the system:
    5 U.S.C. App. 3.

Purposes:
    This system of records is used to maintain information related to 
investigations of criminal, civil, or administrative matters.

Routine uses of records maintained in system, including categories of 
users and purposes of such uses:
    PBGC General Routine Uses G1, G2, G4, G5, G7, and G9 (see Prefatory 
Statement of General Routine Uses) apply to this system of records. In 
addition:
    1. A record relating to a person held in custody pending or during 
arraignment, trial, sentence, or extradition proceedings or after 
conviction may be disclosed to a federal, state, local, or foreign 
prison; probation, parole, or pardon authority; or any other agency or 
individual involved with the maintenance, transportation, or release of 
such a person.
    2. A record relating to a case or matter may be disclosed to an 
actual or potential party or his or her attorney for the purpose of 
negotiation or discussion on such matters as settlement of the case or 
matter, plea bargaining, or informal discovery proceedings.
    3. A record may be disclosed to any source, either private or 
governmental, when reasonably necessary to elicit information or obtain 
the cooperation of a witness or informant when conducting any official 
investigation or during a trial or hearing or when preparing for a 
trial or hearing.
    4. A record relating to a case or matter may be disclosed to a 
foreign country, through the United States Department of State or 
directly to the representative of such country, under an international 
treaty, convention, or executive agreement; or to the extent necessary 
to assist such country in apprehending or returning a fugitive to a 
jurisdiction that seeks that individual's return.
    5. A record originating exclusively within this system of records 
may be

[[Page 37856]]

disclosed to other federal offices of inspectors general and councils 
comprising officials from other federal offices of inspectors general, 
as required by the Inspector General Act of 1978, as amended. The 
purpose is to ensure that OIG audit and investigative operations can be 
subject to integrity and efficiency peer reviews, and to permit other 
offices of inspectors general to investigate and report on allegations 
of misconduct by senior OIG officials as directed by a council, the 
President, or Congress. Records originating from any other PBGC systems 
of records, which may be duplicated in or incorporated into this 
system, also may be disclosed with all personally identifiable 
information redacted.
    6. A record may be disclosed to the Department of the Treasury and 
the Department of Justice when the OIG seeks an ex parte court order to 
obtain taxpayer information from the Internal Revenue Service.
    7. A record may be disclosed to a ``consumer reporting agency,'' as 
that term is defined in the Fair Credit Reporting Act (15 U.S.C. 
1681a(f)) and the Federal Claims Collection Act of 1966 (31 U.S.C. 
3701(a)(3)), to obtain information in the course of an investigation, 
audit, or evaluations.
    8. A record may be disclosed to any governmental, professional or 
licensing authority when such record reflects on qualifications, either 
moral, educational or vocational, of an individual seeking to be 
licensed or to maintain a license.
    9. A record may be disclosed to any direct or indirect recipient of 
federal funds, e.g., a contractor, where such record reflects problems 
with the personnel working for a recipient, and disclosure of the 
record is made to permit a recipient to take corrective action 
beneficial to the government.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    The information in the records is maintained in a variety of media, 
including paper, magnetic tapes or discs, and an automated database. 
The records are maintained in limited access areas during all times; 
electronic records are maintained in computers and networks that 
require multiple individual identifications and passwords.
    Records are also maintained on magnetic tapes and back-up hard 
drives.

Retrievability:
    Records are indexed by name or other personal identifier, subject 
category, or assigned case number.

Safeguards:
    Paper records, computers, and computer-storage media are located in 
controlled-access areas under supervision of program personnel. Access 
to these areas is limited to authorized personnel, who must be 
identified with a badge. Access to records is limited to individuals 
whose official duties require such access. Contractors and licensees 
are subject to contract controls and unannounced on-site audits and 
inspections. Computers are protected by mechanical locks, card-key 
systems, or other physical-access control methods. The use of computer 
systems is regulated with installed security software, computer-logon 
identifications, and operating-system controls including access 
controls, terminal and transaction logging, and file-management 
software.

Retention and disposal:
    1. Official investigative case files, evidence and custody files, 
and informant files are retained up to 11 years after closeout of the 
investigation. If significant, the files are transferred to the 
National Archives and Records Administration.
    2. Information reports, investigative analysis reports, and inquiry 
files are retained up to 6 years after closeout of the investigation.
    3. Internal administrative reports are retained up to 3 years after 
closeout of the investigation.
    Records existing on paper are destroyed by burning, pulping, or 
shredding. Records existing on computer storage media are destroyed 
according to the applicable PBGC media sanitization practice.

System manager(s) and address:
    Inspector General, Pension Benefit Guaranty Corporation, 1200 K 
Street, NW., Washington, DC 20005-4026.

Notification procedure:
    This system is exempt from the notification requirements. However, 
consideration will be given to inquiries made in compliance with 29 CFR 
4902.3.

Record access procedures:
    This system is exempt from the access requirements. However, 
consideration will be given to requests made in compliance with 29 CFR 
4902.3.

Contesting record procedures:
    Exempt. However, consideration will be given requests made in 
compliance with 29 CFR 4902.3.

Record source categories:
    The information contained in this system may be derived or received 
from individual complainants, witnesses, interviews conducted during 
investigations, Federal, state and local government records, individual 
or company records, claim and payment files, employer medical records, 
insurance records, court records, articles from publications, financial 
data, bank information, telephone data, insurers, service providers, 
other law enforcement organizations, grantees and subgrantees, 
contractors and subcontractors, and other sources.

Systems exempted from certain provisions of the act:
    Pursuant to 5 U.S.C. 552a(j) and (k), PBGC has established 
regulations at 29 CFR 4902.11 that exempt records in this system 
depending on their purpose.

[FR Doc. 2010-15872 Filed 6-29-10; 8:45 am]
BILLING CODE 7709-01-P