[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
PENSION BENEFIT GUARANTY CORPORATION
Table of Contents
1. Correspondence Between the PBGC and Persons Outside the
PBGC--PBGC.
2. Disbursements--PBGC.
3. Employee Payroll, Leave, and Attendance Records--PBGC.
4. Employee Travel Records--PBGC.
5. Personnel Files--PBGC.
6. Plan Participant and Beneficiary Data--PBGC.
7. [System deleted]
8. Employee Relations Files--PBGC.
9. Plan Participant and Beneficiary Address Identification
File--PBGC.
10. Administrative Appeals File--PBGC.
11. Call Detail Records--PBGC.
12. Personnel Security Investigation Records--PBGC.
13. Debt Collection--PBGC.
14. My Plan Administration Account Authentication Records--
PBGC.
15. Emergency Notification Records.
Prefatory Statement of General Routine Uses
The following routine uses are incorporated by reference into
various systems of records, as set forth below.
G1. Routine Use--Law Enforcement: In the event that a system of
records maintained by the PBGC to carry out its functions indicates a
violation or potential violation of law, whether criminal, civil, or
regulatory in nature, and whether arising by general statute or
particular program pursuant thereto, the relevant records in the
system of records may be disclosed to the appropriate agency, whether
federal, state, local, or foreign, charged with the responsibility of
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation, or order issued
pursuant thereto.
G2. Routine Use--Disclosure When Requesting Information: A record
from this system of records may be disclosed to a federal, state, or
local agency or to another public or private source maintaining
civil, criminal, or other relevant enforcement information or other
pertinent information, if and to the extent necessary to obtain
information relevant to a PBGC decision concerning the hiring or
retention of an employee, the retention of a security clearance, or
the letting of a contract.
G3. Routine Use--Disclosure of Existence of Record Information:
With the approval of the Director, Human Resources Department (or his
or her designee), the fact that this system of records includes
information relevant to a federal agency's decision in connection
with the hiring or retention of an employee, the retention of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit may be disclosed to that federal
agency.
G4. Routine Use--Disclosure in Litigation: A record from this
system of records may be disclosed in a proceeding before a court or
other adjudicative body in which the PBGC, an employee of the PBGC in
his or her official capacity, or an employee of the PBGC in his or
her individual capacity if the PBGC (or the Department of Justice
(``DOJ'')) has agreed to represent him or her is a party, or the
United States or any other federal agency is a party and the PBGC
determines that it has an interest in the proceeding, if the PBGC
determines that the record is relevant to the proceeding and that the
use is compatible with the purpose for which the PBGC collected the
information.
G5. Routine Use--Disclosure to the Department of Justice in
Litigation: When the PBGC, an employee of the PBGC in his or her
official capacity, or an employee of the PBGC in his or her
individual capacity whom the PBGC has agreed to represent is a party
to a proceeding before a court or other adjudicative body, or the
United States or any other federal agency is a party and the PBGC
determines that it has an interest in the proceeding, a record from
this system of records may be disclosed to the DOJ if the PBGC is
consulting with the DOJ regarding the proceeding or has decided that
the DOJ will represent the PBGC, or its interest, in the proceeding
and the PBGC determines that the record is relevant to the proceeding
and that the use is compatible with the purpose for which the PBGC
collected the information.
G6. Routine Use--Disclosure to OMB: A record from this system of
records may be disclosed to the Office of Management and Budget in
connection with the review of private relief legislation as set forth
in OMB Circular No. A-19 at any stage of the legislative coordination
and clearance process as set forth in that Circular.
G7. Routine Use--Congressional Inquiries: A record from this
system of records may be disclosed to a congressional office from the
record of an individual in response to an inquiry from the
congressional office made at the request of the individual.
G8. Routine Use--Disclosure to Labor Organizations: A record from
this system of records may be disclosed to an official of a labor
organization recognized under 5 U.S.C. Chapter 71 when necessary for
the labor organization to perform properly its duties as the
collective bargaining representative of PBGC employees in the
bargaining unit.
PBGC-1
System name:
Correspondence Between the PBGC and Persons Outside the PBGC--
PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Individuals who have corresponded with the PBGC and with
components of the PBGC and individuals who have received replies in
response to their correspondence with the PBGC.
Categories of records in the system:
Correspondence containing the name and address of the
correspondent and other information regarding various aspects of the
PBGC and Title IV of the Employee Retirement Income Security Act of
1974, as amended.
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained for programmatic and
regulatory purposes (including use in adjudicatory proceedings).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General Routine Uses G1 through G7 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
automated form.
Retrievability:
Records are indexed by name of correspondent or plan.
Safeguards:
Manual records are kept in file cabinets in areas of restricted
access that are locked after office hours; access to automated
records is restricted.
Retention and disposal:
General requests for information that do not involve
administrative action, policy decisions, or special research are
destroyed 1 year after reply. Correspondence with regard to specific
matters is transferred to the Washington National Federal Records
Center 1 year after the end of the fiscal year in which the
correspondence was received or sent, and destroyed when 15 years old.
Correspondence with members of Congress is destroyed 1 year after the
end of the fiscal year in which it is received or sent.
System manager(s) and address:
Correspondence is kept by the director of the department to which
the correspondence was addressed or the director of the department
who replied. These department directors are: General Counsel, Office
of the General Counsel; Inspector General, Office of Inspector
General; Director, Corporate Policy and Research Department;
Director, Communications and Public Affairs Department; Director,
Financial Operations Department; Director, Corporate Budget
Department; Director, Procurement Department; Director, Contract and
Controls Review Department; Director, Information Resources
Management Department; Director, Insurance Operations Department;
Director, Facilities and Services Department; Director, Human
Resources Department; Director, Corporate Finance and Negotiations
Department; and Director, Participant and Employer Appeals
Department. Correspondence addressed to or replied to by the Office
of the Executive Director is kept by the Deputy Executive Director
and Chief Operating Officer. The PBGC's address is: 1200 K Street,
NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Individuals writing to the PBGC and the PBGC's responses.
Exemptions claimed for the system:
None.
PBGC-2
System name:
Disbursements--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Individuals who are consultants and vendors to the PBGC.
Categories of records in the systems:
Payment vouchers, including SF 1082.
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained for use in determining
amounts to be paid and in effecting payments by the Department of the
Treasury to consultants and vendors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be transmitted to the
United States Department of Treasury to effect payments to
consultants and vendors.
General Routine Uses G1 through G7 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are kept in file cabinets in areas of restricted access
that are locked after office hours.
Retention and disposal:
Records created after June 30, 1975, are destroyed 6 years and 3
months after date of voucher.
System manager(s) and address:
Director, Financial Operation Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Individuals who are consultants and vendors to the PBGC.
Exemptions claimed for the system:
None.
PBGC-3
System name:
Employee Payroll, Leave, and Attendance Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees of the PBGC.
Categories of records in the system:
Names; addresses; social security numbers and employee numbers;
earnings records; leave status and data; jury duty data; military
leave data; time and attendance records, including number of regular,
overtime, holiday, and compensatory hours worked; co-owner and/or
beneficiary of bonds; marital status and number of dependents; and
notifications of personnel actions. The records listed herein are
included only as pertinent or applicable to the individual employee.
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained to perform functions
involving employee leave, attendance, and payments, including
determinations relating to the amounts to be paid to employees, the
distribution of pay according to employee directions (for savings
bonds and allotments, to financial institutions, and for other
authorized purposes), and tax withholdings and other authorized
deductions, and for statistical purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
United States Department of Labor to effect payments to employees.
2. A record from this system of records may be disclosed to the
United States Department of the Interior to effect payments to
employees.
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
automated form.
Retrievability:
Records are indexed by name and/or employee or social security
number.
Safeguards:
Manual records are kept in file cabinets in areas of restricted
access that are locked after office hours; access to automated
records is restricted.
Retention and disposal:
Records are maintained for various periods of time, as provided
in National Archives and Records Administration General Records
Schedule 2.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual and the Office of Personnel Management.
Exemptions claimed for the system:
None.
PBGC-4
System name:
Employee Travel Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees of the PBGC who have filed travel vouchers and related
documents.
Categories of records in the system:
Travel vouchers and related documents filed by employees of the
PBGC.
Authority for maintenance of the system:
5 U.S.C. Chapter 57; 29 U.S.C. 1302.
Purpose(s):
This system of records is maintained to perform functions related
to travel on behalf of the PBGC, including determinations involving
travel authorization and arrangements and documentation of travel
advances and reimbursements.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
United States Department of Treasury to effect reimbursement of
employees for travel expenses.
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders.
Retrievability:
Records are indexed by name.
Safeguards:
Records are kept in file cabinets in areas of restricted access
that are locked after office hours.
Retention and disposal:
Records are maintained for various periods of time, as provided
in National Archives and Records Administration General Records
Schedule 9.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
PBGC employee vouchers.
Exemptions claimed for the system:
None.
PBGC-5
System name:
Personnel Files--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees and applicants for employment with the PBGC.
Categories of records in the system:
Personnel records that the PBGC maintains, including applications
and related information for attorneys maintained by the Office of the
General Counsel. (Records included in the permanent Official
Personnel Folder are maintained as a system of records by the Office
of Personnel Management (OPM/GOVT-1) and are not included in this
system of records.)
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is used in carrying out authorized
personnel functions, including the evaluation of qualifications;
determinations about status, eligibility, and rights and benefits
under pertinent laws and regulations governing federal employment;
and computations of length of service.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
automated form.
Retrievability:
Records are indexed by name.
Safeguards:
Manual records are kept in areas of restricted access that are
locked after office hours; access to automated records is restricted.
Retention and disposal:
Temporary personnel file records are destroyed when the employee
leaves the PBGC or 1 year after the file was established, whichever
is sooner. Applications for employment are destroyed after the
receipt of an OPM inspection report or 2 years after date of
application, whichever is sooner. Applications for training are
destroyed 5 years after date of application. Records relating to
claims for retirement and life insurance benefits are maintained for
1 year after a final determination on a claim for benefits and then
destroyed.
System manager(s) and address:
Director, Human Resources Department, and Administrative Officer,
Office of the General Counsel, Pension Benefit Guaranty Corporation,
1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individuals, present and past employers, and references
given by any subject individuals.
Exemptions claimed for the system:
None.
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 Sec. 4003.21 and 4003.59). The records listed
herein are included only as pertinent or applicable to the individual
plan participant or beneficiary.
Authority for maintenance of the system:
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342
and 1350.
Purpose(s):
This system of records is maintained for use in determining
whether participants and beneficiaries are eligible for benefits
under plans covered by Title IV of ERISA, the amounts of benefits to
be paid, making benefit payments, and collecting benefit
overpayments. Names, addresses, and telephone numbers are used to
survey customers to measure their satisfaction with the PBGC 's
benefit payment services and to track (for follow up) those who do
not respond to surveys.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to third
parties, such as banks, insurance companies, or trustees, to make
benefit payments to plan participants and beneficiaries.
2. A record from this system of records may be disclosed, in
furtherance of proceedings under Title IV of ERISA, to a contributing
sponsor (or other employer who maintained the plan), including any
predecessor or successor, and any member of the same controlled
group.
3. A record from this system of records may be disclosed, upon
request for a purpose authorized under Title IV of ERISA, to an
official of a labor organization recognized as the collective
bargaining representative of the individual about whom a request is
made.
4. Names, addresses, and telephone numbers of participants and
beneficiaries and information pertaining to debts owed by such
participants and beneficiaries to the PBGC may be disclosed to a debt
collection agency or firm to collect a claim. Disclosure shall be
made only under a contract that binds any such contractor or employee
of such contractor to the criminal penalties of the Privacy Act. The
information so disclosed shall be used exclusively pursuant to the
terms and conditions of such contract and shall be used solely for
the purposes prescribed therein. The contract shall provide that the
information so disclosed shall be returned at the conclusion of the
debt collection effort.
5. The name and social security number of a participant employed
or formerly employed as a pilot by a commercial airline may be
disclosed to the Federal Aviation Administration (``FAA'') to obtain
information relevant to the participant's eligibility or continued
eligibility for disability benefits.
6. Names and social security numbers of plan participants and
beneficiaries may be disclosed to the Internal Revenue Service
(``IRS'') to obtain current addresses from tax return information and
to the Social Security Administration (``SSA'') to obtain current
addresses. Such information will be disclosed only if the PBGC has no
address for an individual or if mail sent to the individual at the
last known address is returned as undeliverable.
7. Names and last known addresses may be disclosed to an official
of a labor organization recognized as the collective bargaining
representative of participants for posting in union halls or for
other means of publication to obtain current addresses of
participants and beneficiaries. Such information will be disclosed
only if the PBGC has no address for an individual or if mail sent to
the individual at the last known address is returned as
undeliverable.
8. Names, social security numbers, last known addresses, and
dates of birth and death may be disclosed to private firms and
agencies that provide locator services, including credit reporting
agencies and debt collection firms or agencies, to locate
participants and beneficiaries. Such information will be disclosed
only if the PBGC has no address for an individual or if mail sent to
the individual at the last known address is returned as
undeliverable. Disclosure shall be made only under a contract that
binds the firm or agency providing the service and its employees to
the criminal penalties of the Privacy Act. The information so
disclosed shall be used exclusively pursuant to the terms and
conditions of such contract and shall be used solely for the purposes
prescribed therein. The contract shall provide that the information
so disclosed shall be returned at the conclusion of the locating
effort.
9. Names and last known addresses may be disclosed to licensees
of the United States Postal Service (``USPS'') to obtain current
addresses under the USPS's National Change of Address Program. Such
information will be disclosed only if the PBGC has no address for an
individual or if mail sent to the individual at the last known
address is returned as undeliverable. Disclosure shall be made only
under a contract that binds the licensee of the Postal Service and
its employees to the criminal penalties of the Privacy Act. The
information so disclosed shall be used exclusively pursuant to the
terms and conditions of such contract and shall be used solely for
the purposes prescribed therein. The contract shall provide that the
information so disclosed shall be returned at the conclusion of the
locating effort.
10. Names and last known addresses may be disclosed to other
participants in, and beneficiaries under, a pension plan to obtain
the current addresses of individuals. Such information will be
disclosed only if the PBGC has no address for an individual or if
mail sent to the individual at the last known address is returned as
undeliverable.
11. Names and last known addresses of participants and
beneficiaries, and the names and addresses of participants' former
employers, may be disclosed to the public to obtain current addresses
of the individuals. Such information will be disclosed to the public
only if the PBGC is unable to make benefit payments to the
participants and beneficiaries because the address it has does not
appear to be current or correct.
12. The name of a participant's pension plan, the actual or
estimated amount of a participant's benefit under Title IV of ERISA,
the form(s) in which the benefit is payable, and whether the
participant is currently receiving benefit payments under the plan or
(if not) the earliest date(s) such payments could commence may be
disclosed to the participant's spouse, former spouse, child, or other
dependent solely to obtain a qualified domestic relations order under
29 U.S.C. 1056(d) and 26 U.S.C. 414(p). The PBGC will disclose the
information only upon the receipt of a notarized, written request by
a prospective alternate payee that describes the requester's
relationship to the participant and states that the information will
be used solely to obtain a qualified domestic relations order under
state domestic relations law. The PBGC will notify the participant of
any information disclosed to a prospective alternate payee under this
routine use. Any person who knowingly and willfully requests or
obtains any record concerning an individual under false pretenses is
subject to a criminal penalty under 5 U.S.C. 552a(i)(3).
13. Information from a participant's initial determination under
29 CFR 4003.1(b) (excluding the participant's address, telephone
number, social security number, and any sensitive medical
information) may be disclosed to a participant's spouse, former
spouse, child, or other dependent who is an alternate payee under a
qualified domestic relations order issued pursuant to 29 U.S.C.
1056(d) and 26 U.S.C. 414(p) to explain how the PBGC determined the
benefit due the alternate payee so that the alternate payee can
pursue an administrative appeal of the benefit determination under 29
CFR 4003.51. The PBGC will notify the participant of the information
disclosed to an alternate payee under this routine use.
14. The names, addresses, social security numbers, and dates of
birth of eligible PBGC pension recipients may be disclosed to the
Department of Treasury and the Department of Labor to implement the
income tax credit for health insurance costs under 26 U.S.C. 35 and
the program for advance payment of the tax credit under 26 U.S.C.
7527.
General Routine Uses G1 and G4 through G7 (see Prefatory
Statement of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in paper and electronic form.
Retrievability:
Records are indexed by plan and participant and/or beneficiary
name. Customer satisfaction survey responses are aggregated for
statistical purposes after they have been received by the PBGC and
are not retrievable by a participant or beneficiary's name or other
assigned identifier.
Safeguards:
Paper records are kept in file folders in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records
and by passwords set by authorized users that must be changed
periodically.
Retention and disposal:
Records for plan participants are transferred to the Washington
National Federal Records Center 6 months after either the final
payment to a participant and/or beneficiary or the PBGC's final
determination that a participant or beneficiary is not entitled to
any benefits and are destroyed 7 years after such payment or
determination.
System manager(s) and address:
Director, Insurance Operations Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in the PBGC's regulations: 29 CFR part
4902.
Record access procedures:
Same as notification procedure.
Contesting records procedure:
Same as notification procedure.
Record source categories:
Plan administrators, participants and beneficiaries, the FAA, the
SSA, labor organization officials, firms or agencies providing
locator services, and USPS licensees.
Exemptions claimed for the system:
None.
PBGC-7
System deleted.
PBGC-8
System name:
Employee Relations Files--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
PBGC employees with respect to whom the PBGC has initiated a
reduction in force or a disciplinary or performance-based action and
PBGC employees who have initiated grievances.
Categories of records in the system:
Notices of reductions in force or disciplinary or performance-
based actions and employees' replies to such notices, employees'
notices of grievance and appeal, investigative reports, records of
proceedings, appeal decisions, and related information. (Records of
actions proposed or taken in accordance with 5 CFR part 315 (subpart
H or I) or part 752 are maintained as a system of records by the
Office of Personnel Management (``OPM'') (OPM/GOVT-3) and are not
included in this system of records.)
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained for use in decisionmaking
involving grievances and appeals by PBGC employees regarding
compensation, benefits, or other terms and conditions of employment,
including terms and conditions of employment under an applicable
collective bargaining agreement, and reductions in force and certain
disciplinary and performance-based actions involving PBGC employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
OPM, the Merit Systems Protection Board, the Federal Labor Relations
Authority, or the Equal Employment Opportunity Commission to carry
out its authorized functions (under 5 U.S.C. 1103, 1204, 7105, and 42
U.S.C. 2000e-4, in that order).
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are retained manually in file folders.
Retrievability:
Records are indexed by employee name.
Safeguards:
Records are kept in lockable file cabinets that are locked after
office hours in areas of restricted access.
Retention and disposal:
Files are destroyed 4 years after the case is closed.
System manager(s) and address:
Director, Human Resources Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Records in this system of records are provided by an affected
employee, the employee's supervisors, and other PBGC employees and
from investigations and interviews.
Exemptions claimed for the system:
None.
PBGC-9
System name:
Plan Participant and Beneficiary Address Identification File--
PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Certain participants and beneficiaries in terminating and
terminated pension plans covered by Title IV of the Employee
Retirement Income Security Act of 1974, as amended.
Categories of records in the system:
Names, social security numbers, addresses, and names of pension
plans.
Authority for maintenance of the system:
26 U.S.C. 6103 and 26 CFR 301.6103(l)(2)-3; 29 U.S.C. 1055,
1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342, and 1350.
Purpose(s):
This system of records is maintained to locate participants and
beneficiaries under pension plans covered by Title IV of ERISA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed only to
a person to whom disclosure is permitted by 26 U.S.C. 6103 and 26 CFR
301.6103(i)-1.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
automated form.
Retrievability:
Records are indexed by participant or beneficiary name and social
security number.
Safeguards:
Records are kept in locked file cabinets in areas of restricted
access under procedures that meet IRS safeguarding standards.
Retention and disposal:
Records of a participant or beneficiary who verifies the address
are transferred to PBGC-6. All other records are retained for 2 years
from the date the request was sent to the IRS and then are sent to
the IRS for disposal or are destroyed.
System manager(s) and address:
Director, Insurance Operations Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
PBGC-6 and the IRS.
Exemptions claimed for the system:
None.
PBGC-10
System name:
Administrative Appeals File--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Participants and beneficiaries in terminated pension plans
covered by Title IV of the Employee Retirement Income Security Act of
1974, as amended, who have filed administrative appeals with the
PBGC's Appeals Board pursuant to 29 CFR 2606.1(b)(5), (6), (7), (8),
or (9), Rules for Administrative Review of Agency Decisions.
Categories of records in the system:
Names of pension plans, names of participants and beneficiaries,
and personal information such as addresses, social security numbers,
sex, dates of birth, dates of hire, salary, marital status (including
domestic relations orders), medical records, dates of commencement of
plan participation or employment, statements regarding employment,
dates of termination of plan participation or retirement, benefit
payment data, pay status, Social Security Administration (``SSA'')
information, insurance claims and awards, workman's compensation
awards, calculations of benefit amounts, calculations of amounts
subject to recapture, correspondence and other information relating
to appeals, and initial and final PBGC determinations (29 CFR 2606.22
and 2606.60). The records listed herein are included only as
pertinent or applicable to the individual participant and/or
beneficiary.
Authority for maintenance of the system:
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342,
1345, and 1350.
Purpose(s):
This system of records is maintained for use in appeals of
matters specified in 29 CFR 2606.1(b)(5), (6), (7), and (8) and in
subsequent agency actions.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to third
parties who may be aggrieved by the decision of the Appeals Board
under 29 CFR 2606.58, including disclosure to the contributing
sponsor (or other employer who maintained the plan) including any
predecessor or successor, and any member of the same controlled
group.
2. A record from this system of records may be disclosed, upon
request, to a representative who has a power of attorney for the
subject individual, if necessary under 29 CFR 2606.6.
3. A record from this system of records may be disclosed to third
parties, such as banks, insurance companies, and trustees, to make
benefit payments to plan participants and beneficiaries.
4. A record from this system of records may be disclosed to third
parties, such as contractors and expert witnesses, to obtain expert
analysis of an issue necessary to resolve an appeal.
5. The name and social security number of a participant may be
disclosed to an official of a labor organization recognized as the
collective bargaining representative of the participant to obtain
information relevant to the resolution of an appeal.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retain
and disposing of records in the system:
Storage:
Records are maintained manually in file folders and/or in
automated form.
Retrievability:
Records are indexed by participant or beneficiary name, plan
name, and appeal number or extension request number.
Safeguards:
Manual records are kept in lockable file cabinets that are locked
after office hours in areas of restricted access; access to automated
records is restricted.
Retention and disposal:
Records for a closed appeal file are retained for 1 full fiscal
year after the Appeals Board's final determination. Thereafter, the
closed appeal file is transferred to the Washington National Federal
Records Center and destroyed 6 years later.
System manager(s) and address:
Clerk of the Appeals Board, Participant and Employer Appeals
Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Information in this system of records may be received from the
plan administrator, the contributing sponsor (or other employer who
maintained the plan), including any predecessor, successor, or member
of the same controlled group, the labor organization recognized as
the collective bargaining representative of a participant, the SSA, a
third party affected by the decision, and the participant or
beneficiary.
Exemptions claimed for the system:
None.
PBGC-11
System name:
Call Detail Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees, contract employees and consultants of the PBGC, and
officials of a labor organization representing PBGC employees who
have made long distance or other toll calls from PBGC telephones or
by using telephone calling cards issued to the PBGC.
Categories of records in the system:
Records relating to use of PBGC telephones and telephone calling
cards to place toll calls and receive calls; records indicating
assignment of telephone extension numbers and telephone calling cards
to employees and other covered individuals; records relating to
location of telephone extensions.
Authority for maintenance of the system:
29 U.S.C. 1302.
Purpose(s):
This system of records is maintained to control the costs of
operating the PBGC's telephone system by, among other things,
monitoring telephone usage by PBGC employees and other covered
individuals and obtaining reimbursement for unauthorized toll calls.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to
contract employees and consultants of the PBGC and officials of a
labor organization representing PBGC employees to determine
individual responsibility for telephone calls, but only to the extent
that such disclosures consist of comprehensive lists of called
numbers and length of calls.
General Routine Uses G1, G3, G4, G5, G7, and G8 (see Prefatory
Statement of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(f) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained manually in file folders and in automated
form.
Retrievability:
Records are retrieved by name of employee or other covered
individual, telephone extension number, telephone calling card
number, or telephone number called.
Safeguards:
Manual records are kept in areas of restricted access that are
locked after office hours; access to automated records is restricted.
Retention and disposal:
Records are retained for 2 years and then destroyed.
System manager(s) and address:
Director, Facilities and Services Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 2607.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Telephone and telephone calling card assignment records; call
detail listings; private telephone billing information.
Exemptions claimed for the system:
None.
PBGC-12
System name:
Personnel Security Investigation Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Employees and applicants for employment with the PBGC.
Individuals who work, or who are being considered for work, for the
PBGC as contractors or as employees of contractors.
Categories of records in the system:
Investigatory material regarding an individual's character,
conduct, and behavior, including: Records of arrests and convictions
for violations of law; reports of interviews with the subject of the
investigation and with persons such as present and former
supervisors, neighbors, co-workers, associates, and educators who may
have information about the subject of the investigation; reports
about the qualifications of an individual for a specific position;
reports of inquiries to law enforcement agencies, employers, and
educational institutions; reports of action after an Office of
Personnel Management (``OPM'') or Federal Bureau of Investigation
field investigation; and other information or correspondence relating
to or developed from the above.
This system of records is distinct from the OPM's Privacy Act
system of records, OPM/Central-9 (Personnel Investigation Records),
which covers records of personnel security investigations conducted
by the OPM with respect to employees or applicants for employment
with the PBGC.
Authority for maintenance of the system:
29 U.S.C. 1302; 5 CFR 5.2(c) and (d); 5 CFR parts 731 and 736;
and OMB Circular No. A-130--Revised, Appendix III, 61 FR 6428.
Purpose(s):
This system of records is maintained to document investigations
of individuals' character, conduct, and behavior. Records are used,
in accordance with Federal personnel regulations, in making
determinations relating to an individual's suitability and fitness
for PBGC employment or work for the PBGC as a contractor or as an
employee of a contractor, access to information, and security
clearance.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to any
source from which information is requested in the course of an
investigation, to the extent necessary to identify the individual,
inform the source of the nature and purpose of the investigation, or
identify the type of information requested.
2. A record from this system of records may be disclosed to the
OPM, the Merit Systems Protection Board, the Federal Labor Relations
Authority, or the Equal Employment Opportunity Commission to carry
out its authorized functions (under 5 U.S.C. 1103, 1204, and 7105,
and 42 U.S.C. 2000e-4, in that order).
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in paper and electronic form.
Retrievability:
Records are indexed by name.
Safeguards:
Paper records are kept in file cabinets in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records
and by passwords set by authorized users that must be changed
periodically.
Retention and disposal:
Records in cases in which favorable determinations are made are
destroyed promptly after the determination. Records of cases in which
unfavorable determinations are made are destroyed 1 year after
issuance if litigation has not been initiated and otherwise upon
completion of litigation.
System manager(s) and address:
For employees and applicants for employment with PBGC: Director,
Human Resources Department, Pension Benefit Guaranty Corporation,
1200 K Street NW., Washington, DC 20005-4026. For individuals who
work, or who are being considered for work, for the PBGC as
contractors or as employees of contractors: Director, Facilities and
Services Department, Pension Benefit Guaranty Corporation, 1200 K
Street NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Information contained in this system of records is obtained from
the following: (a) Applications and other personnel and security
forms; (b) personal interviews with the individual that is the
subject of the investigation and with persons such as employers,
references, neighbors, and associates who may have information about
the subject of the investigation; (c) investigative records and
notices of personnel actions furnished by other federal agencies; (d)
sources such as educational institutions, police departments, credit
bureaus, probation officials, prison officials, and doctors; and (e)
public records such as court filings and publications such as
newspapers, magazines, and periodicals.
Exemptions claimed for the system:
This system of records is exempt from the access and contest and
certain other provisions of the Privacy Act (5 U.S.C. 552a(c)(3),
(d), (e)(1), (e)(4)(G) through (I), and (f)) to the extent that
disclosure would reveal the identity of a source who furnished
information to the PBGC under an express promise of confidentiality
or, prior to September 27, 1975, under an implied promise of
confidentiality (5 U.S.C. 552a(k)(5)).
PBGC-13
System name:
Debt Collection--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026 and/or field benefit administrator, plan
administrator, and paying agent worksites.
Categories of individuals covered by the system:
Anyone who may owe a debt to the PBGC, including but not limited
to: Employees of the PBGC; individuals who are consultants and
vendors to the PBGC; participants and beneficiaries in terminating
and terminated pension plans covered by Title IV of the Employee
Retirement Income Security Act of 1974, as amended (ERISA), and
individuals who fraudulently received benefit payments from PBGC.
Categories of records in the system:
Names; addresses; social security numbers; taxpayer
identification numbers; employee number; travel vouchers and related
documents filed by employees of the PBGC; invoices filed by
consultants and vendors to the PBGC; records of benefit payments made
to participants and beneficiaries in terminating and terminated
pension plans covered by Title IV of ERISA; and other relevant
records relating to the debt including the amount, status, and
history of the debt, and the program under which the debt arose. The
records listed herein are included only as pertinent or applicable to
the individual debtor.
Authority for maintenance of the system:
29 U.S.C. 1302; 31 U.S.C. 3711(e) & (g).
Purpose(s):
This system of records is maintained for the purpose of
collecting debts owed to PBGC by various individuals, including, but
not limited to, the PBGC's employees, consultants and vendors,
participants and beneficiaries in terminating and terminated pension
plans covered by Title IV of ERISA, and individuals who received
benefit payments to which they are not entitled. This system
facilitates the PBGC's compliance with the Debt Collection
Improvement Act of 1996.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
1. A record from this system of records may be disclosed to the
United States Department of Treasury for cross-servicing to effect
debt collection in accordance with 31 U.S.C. 3711(e).
General Routine Uses G1 and G4 through G8 (see Prefatory
Statement of General Routine Uses) apply to this system of records.
Disclosure to consumer reporting agencies:
Information may be disclosed to a consumer reporting agency in
accordance with 31 U.S.C. 3711(e) (5 U.S.C. 552a(b)(12)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in paper and electronic form.
Retrievability:
Records are indexed by any one or more of the following: Employer
identification number: Social security number; plan number; and name
of debtor, plan, plan sponsor, plan administrator, participant or
beneficiary.
Safeguards:
Paper records are kept in file folders in areas of restricted
access that are locked after office hours. Electronic records are
stored on computer networks and protected by assigning user
identification numbers to individuals needing access to the records
and by passwords set by authorized users that must be changed
periodically.
Retention and disposal:
Records relating to the debts of consultants and vendors are
destroyed 6 years and 3 months after the date of the voucher.
Records relating to debts of PBGC employees involving payroll,
leave, attendance, and travel are maintained for various periods of
time, as provided in National Archives and Records Administration
General Records Schedules 2 and 9.
Records relating to debts of participants and beneficiaries in
terminating and terminated pension plans covered by Title IV of ERISA
are transferred to the Washington National Federal Records Center 6
months after either the final payment to a participant and/or
beneficiary, or the PBGC's final determination that a participant or
beneficiary is not entitled to any benefits, and are destroyed 7
years after such payment or determination.
Records relating to debts of other individuals are maintained
until their disposition is authorized by the National Archives and
Records Administration.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
Same as notification procedure.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual, plan administrators, labor organization
officials, firms or agencies providing locator services, and other
Federal agencies.
Exemptions claimed for the system:
None.
PBGC-14
System name:
My Plan Administration Account Authentication Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
Individuals who register to use the My PAA application to make
PBGC filings and payments electronically via the PBGC's Internet Web
site (www.pbgc.gov), including individuals acting for plan sponsors,
plan administrators, and pension practitioners such as enrolled
actuaries and other benefit professionals.
Categories of records in the system:
Records include the user's name, work telephone number, work e-
mail address, other contact information, a temporary, PBGC-issued
user ID and password, a user-selected user ID and password, and a
secret question/secret answer combination for authentication. For
each pension plan that the user intends to participate in making
filings with the PBGC, the name, employer identification number
(EIN), and plan number (PN); the plan administrator's name, address,
phone number, and e-mail address; other contact information; and the
role that the user will play in the filing process, i.e, creating and
editing filings, signing filings electronically as the plan
administrator, signing filings electronically as the enrolled
actuary, or authorizing payments to the PBGC.
Authority for maintenance of the system:
29 U.S.C. 1302, 1306, 1307, 1341, and 1343.
Purpose(s):
This system of records is maintained for use in verifying the
identity of, and authenticating actions taken by, individuals who
register to use the My PAA application to make PBGC filings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
PBGC General Routine Uses G1, G4, G5, G6, and G7 apply to this
system of records (See Prefatory Statement of General Routine Uses,
60 FR 57462, 57563 (1995)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in automated form in computer databases
maintained by the PBGC.
Retrievability:
Records are indexed by name, user ID and password, and by plan
name and EIN/PN.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with the PBGC's Automated Information
Systems Security Program to protect the security, integrity, and
availability of the information, and to assure that records are not
disclosed to unauthorized individuals.
Retention and disposal:
Records are maintained in accordance with the PBGC's established
records disposition schedule for premium-related records.
System manager(s) and address:
Director, Financial Operations Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
An individual may access his or her records via the My PAA
application available on the PBGC's Internet Web site (www.pbgc.gov),
or by following the procedures outlined at 29 CFR part 4902.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual and other registered users.
Exemptions claimed for the system:
None.
PBGC-15
System name:
Emergency Notification Records--PBGC.
Security classification:
Not applicable.
System location:
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Categories of individuals covered by the system:
PBGC employees and individuals who work for the PBGC as
contractors or as employees of contractors.
Categories of records in the system:
Records include name, title, organizational component, employer,
PBGC and personal telephone numbers, PBGC and personal e-mail
addresses, other contact information, user ID, a temporary, PBGC-
issued password, and a user-selected password.
Authority for maintenance of the system:
29 U.S.C. 1302; E.O. 12,656, 53 FR 47491 (1988); Presidential
Decision Directive 67 (1998).
Purpose(s):
This system of records is maintained for use in notifying PBGC
employees and individuals who work for the PBGC as contractors or
employees of contractors of PBGC's operating status in the event of
an emergency, natural disaster or other event affecting PBGC
operations; for contacting employees or contractors who are out of
the office on leave or after regular duty hours to obtain information
necessary for official business; or to contact friends or family
members if an employee or contractor experiences a medical emergency
in the workplace.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
PBGC General Routine Uses G1, G4, G5, and G7 apply to this system
of records
(See Prefatory Statement of General Routine Uses, 60 FR 57462,
57563 (1995)).
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained an electronic database that is available
to authorized PBGC employees and contractors who have been granted
access to PBGC's intranet website.
Retrievability:
Records are indexed by name, organizational component, or user ID
and password.
Safeguards:
The PBGC has adopted appropriate administrative, technical, and
physical controls in accordance with the PBGC's Automated Information
Systems Security Program to protect the security, integrity, and
availability of the information, and to assure that records are not
disclosed to or accessed by unauthorized individuals.
Retention and disposal:
Records are maintained until they are out of date.
System manager(s) and address:
Director, Facilities and Services Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Notification procedure:
Procedures are detailed in PBGC regulations: 29 CFR part 4902.
Record access procedures:
An employee or contractor may access his or her record with a
valid user-id and password via the electronic notification and
messaging system through the PBGC's intranet website, or by following
the procedures outlined at 29 CFR part 4902.
Contesting record procedures:
Same as notification procedure.
Record source categories:
Subject individual.
Exemptions claimed for the system:
None.
PENSION BENEFIT GUARANTY CORPORATION
PENSION BENEFIT GUARANTY CORPORATION
29 CFR PART 4902--DISCLOSURE AND AMENDMENT OF RECORDS PERTAINING TO
INDIVIDUALS UNDER THE PRIVACY ACT
Sec.
4902.1 Purpose and scope.
4902.2 Definitions.
4902.3 Procedures for determining existence of and requesting access to
records.
4902.4 Disclosure of record to an individual.
4902.5 Procedures for requesting amendment of a record.
4902.6 Action on request for amendment of a record.
4902.7 Appeal of a denial of a request for amendment of a record.
4902.8 Fees.
4902.9 Specific exemptions.
Authority: 5 U.S.C. 552a.
Source: 61 FR 34128, July 1, 1996, unless otherwise noted.
Sec. 4902.1 Purpose and scope.
This part establishes procedures whereby an individual can determine
whether the PBGC maintains any system of records that contains a record
pertaining to the individual, procedures to effect access to an
individual's record upon his or her request, and procedures for making
requests to amend records, for making the initial determinations on such
requests, and for appealing denials of such requests. This part also
prescribes the fees for making copies of an individual's record.
Finally, this part sets forth those systems of records that are exempted
from certain disclosure and other provisions of the Privacy Act (5
U.S.C. 552a).
Sec. 4902.2 Definitions.
In addition to terminology in part 4001 of this chapter, as used in
this part:
Disclosure officer means the designated official in the Communications
and Public Affairs Department, PBGC.
Record means any item, collection, or grouping of information about an
individual that is maintained by an agency, including, but not limited
to, his or her education, financial transactions, medical history, and
criminal or employment history and that contains his or her name, or the
identifying number, symbol, or other identifying particular assigned to
the individual, such as a finger or voice print or a photograph.
System of records means a group of any records under the control of
any agency from which information is retrieved by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual.
Working day means any weekday excepting Federal holidays.
Sec. 4902.3 Procedures for determining existence of and requesting
access to records.
(a) Any individual may submit a written request, either by mail to the
Disclosure Officer, Communications and Public Affairs Department,
Pension Benefit Guaranty Corporation, 1200 K Street NW., Washington, DC
20005-4026, or in person between the hours of 9 a.m. and 4 p.m. on any
working day in Suite 240 at the above address, for the purpose of--
(1) Learning whether a system of records maintained by the PBGC
contains any record pertaining to the requester, or
(2) Obtaining access to such a record.
(b) Each request submitted pursuant to paragraph (a) of this section
shall include the name of the system of records to which the request
pertains and the requester's full name, home address and date of birth,
and shall clearly state on the envelope and on the request ``Privacy Act
Request.'' If this information is insufficient to enable the PBGC to
identify the record in question, the disclosure officer shall request
such further identifying data as the disclosure officer deems necessary
to locate the record.
(c) Unless the request is only for notification of the existence of a
record and such notification is required under the Freedom of
Information Act (5 U.S.C. 552), the requester shall be required to
provide verification of his or her identity to the PBGC as set forth in
paragraph (c)(1) or (2) of this section, as appropriate.
(1) If the request is made by mail, the requester shall submit a
notarized statement establishing his or her identity.
(2) If the request is made in person, the requester shall show
identification satisfactory to the disclosure officer, such as a
driver's license, employee identification, annuitant identification or
Medicare card.
(d) The disclosure officer shall respond to the request in writing
within 10 working days after receipt of the request or of such
additional information as may be required under paragraph (b) of this
section. If a request for access to a record is granted, the response
shall state when the record will be made available.
Sec. 4902.4 Disclosure of record to an individual.
(a) When the disclosure officer grants a request for access to records
under Sec. 4902.3, such records shall be made available when the
requester is advised of the determination or as promptly thereafter as
possible. At the requester's option, the record will be made available
for the requester's inspection and copying at the Communications and
Public Affairs Department, Pension Benefit Guaranty Corporation, 1200 K
Street NW., Washington, DC 20005-4026, between the hours of 9 a.m. and 4
p.m. on any working day, or a copy of the record will be mailed to the
requester.
(b) If the requester desires to be accompanied by another individual
during the inspection and/or copying of the record, the requester shall,
either when the record is made available or at any earlier time, submit
to the disclosure officer a signed statement identifying such other
individual and authorizing such other individual to be present during
the inspection and/or copying of the record.
Sec. 4902.5 Procedures for requesting amendment of a record.
(a) Any individual about whom the PBGC maintains a record contained in
a system of records may request that the record be amended. Such a
request shall be submitted in the same manner described in
Sec. 4902.3(a).
(b) Each request submitted under paragraph (a) of this section shall
include the information described in Sec. 4902.3(b) and a statement
specifying the changes to be made in the record and the justification
therefor. The disclosure officer may request further identifying data as
described in Sec. 4902.3(b).
(c) An individual who desires assistance in the preparation of a
request for amendment of a record shall submit such request for
assistance in writing to the Deputy General Counsel, Pension Benefit
Guaranty Corporation, 1200 K Street NW., Washington, DC 20005-4026. The
Deputy General Counsel shall respond to such request as promptly as
possible.
Sec. 4902.6 Action on request for amendment of a record.
(a) Within 20 working days after receipt by the PBGC of a request for
amendment of a record under Sec. 4902.5, unless for good cause shown the
Executive Director of the PBGC extends such 20-day period, the
disclosure officer shall notify the requester in writing whether and to
what extent the request shall be granted. To the extent that the request
is granted, the disclosure officer shall cause the requested amendment
to be made promptly.
(b) When a request for amendment of a record is denied in whole or in
part, the denial shall include a statement of the reasons therefor, the
procedures for appealing such denial, and a notice that the requester
has a right to assistance in preparing an appeal of the denial.
(c) An individual who desires assistance in preparing an appeal of a
denial under this section shall submit a request in writing to the
Deputy General Counsel, Pension Benefit Guaranty Corporation, 1200 K
Street NW., Washington, DC 20005-4026. The Deputy General Counsel shall
respond to the request as promptly as possible, but in no event more
than 30 days after receipt.
Sec. 4902.7 Appeal of a denial of a request for amendment of a
record.
(a) An appeal from a denial of a request for amendment of a record
under Sec. 4902.6 shall be submitted, within 45 days of receipt of the
denial, to the General Counsel, Pension Benefit Guaranty Corporation,
1200 K Street NW., Washington, DC 20005-4026, unless the record subject
to such request is one maintained by the Office of the General Counsel,
in which event the appeal shall be submitted to the Deputy Executive
Director at the same address. The appeal shall state in detail the basis
on which it is made and both the envelope and the appeal shall clearly
state ``Privacy Act Request''.
(b) Within 30 working days after the receipt of the appeal, unless for
good cause shown the Executive Director of the PBGC extends such 30-day
period, the General Counsel or, where appropriate, the Deputy Executive
Director, shall issue a decision in writing granting or denying the
appeal in whole or in part. To the extent that the appeal is granted,
the General Counsel or, where appropriate, the Deputy Executive
Director, shall cause the requested amendment to be made promptly. To
the extent that the appeal is denied, the decision shall include the
reasons for the denial and a notice of the requester's right to submit a
brief statement setting forth reasons for disputing the denial of
appeal, to seek judicial review of the denial pursuant to 5 U.S.C.
552a(g)(1)(A), and to obtain further information concerning the
provisions for judicial review under that section.
(c) An individual whose appeal has been denied in whole or in part may
submit a brief summary statement setting forth reasons for disputing
such denial. Such statement shall be submitted within 30 days of receipt
of the denial of the appeal to the Disclosure Officer. Any such
statement shall be made available by the PBGC to anyone to whom the
record is subsequently furnished and may also be accompanied, at the
discretion of the PBGC, by a brief statement summarizing the PBGC's
reasons for refusing to amend the record. The PBGC shall also provide
copies of the individual's statement of dispute to all prior recipients
of the record with respect to whom an accounting of the disclosure of
the record was maintained pursuant to 5 U.S.C. 552a(c)(1).
(d) To request further information concerning the provisions for
judicial review, an individual shall submit such request in writing to
the Deputy General Counsel, who shall respond to such request as
promptly as possible.
Sec. 4902.8 Fees.
When an individual requests a copy of his or her record under
Sec. 4902.4, charges for the copying shall be made according to the
following fee schedule:
(a) Standard copying fee. There shall be a charge of $0.15 per page of
record copies furnished. Where the copying fee is less than $1.50, it
shall not be assessed.
(b) Voluminous material. If the volume of page copy desired by the
requester is such that the reproduction charge at the standard page rate
would be in excess of $50, the individual desiring reproduction may
request a special rate quotation from the PBGC.
(c) Manual copying by requester. No charge will be made for manual
copying by the requester of any document made available for inspection
under Sec. 4902.4. The PBGC shall provide facilities for such copying
without charge between the hours of 9 a.m. and 4 p.m. on any working
day.
Sec. 4902.9 Specific exemptions.
(a) Under the authority granted by 5 U.S.C. 552a(k)(5), the PBGC
hereby exempts the system of records entitled ``Personnel Security
Investigation Records--PBGC'' from the provisions of 5 U.S.C. 552a
(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f), to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to PBGC under an express promise of
confidentiality or, before September 27, 1975, under an implied promise
of confidentiality.
(b) The reasons for asserting this exemption are to insure the gaining
of information essential to determining suitability and fitness for PBGC
employment or for work for the PBGC as a contractor or as an employee of
a contractor, access to information, and security clearances, to insure
that full and candid disclosures are obtained in making such
determinations, to prevent subjects of such determinations from
thwarting the completion of such determinations, and to avoid revealing
the identities of persons who furnish information to the PBGC in
confidence.
[61 FR 34128, July 1, 1996, as amended at 66 FR 32222, June 14, 2001]