[Federal Register Volume 60, Number 220 (Wednesday, November 15, 1995)]
[Notices]
[Pages 57462-57471]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-28201]
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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, including proposed new
and revised routine uses.
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SUMMARY: The Pension Benefit Guaranty Corporation is proposing several
new and revised routine uses of records in its systems of records
maintained pursuant to the Privacy Act of 1974, as amended, and is
making a number of other technical and clarifying changes to those
systems. The changes include dividing one system of records into two
systems of records and deleting a system of records.
DATES: Comments on new and revised routine uses must be received on or
before December 15, 1995. New and revised routine uses, the division of
PBGC-5 into PBGC-5 and PBGC-12, and the deletion of PBGC-7 will become
effective January 1, 1996, without further notice, unless comments
result in a contrary determination and a notice is published to that
effect.
ADDRESSES: Comments may be mailed to the Office of the General Counsel,
Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington,
DC 20005-4026, or hand-delivered to Suite 340 at the above address
between 9:00 a.m. and 5:00 p.m., Monday through Friday. Comments will
be available for inspection at the PBGC's Communications and Public
Affairs Department, Suite 240, at the above address between 9:00 a.m.
and 4:00 p.m., Monday through Friday.
FOR FURTHER INFORMATION CONTACT: D. Bruce Campbell, Attorney, Pension
Benefit Guaranty Corporation, Office of the General Counsel, 1200 K
Street, NW., Washington, DC 20005-4026, 202-326-4123 (202-326-4179 for
TTY and TDD). For access to any of the PBGC's systems of records,
contact E. William FitzGerald, Disclosure Officer, Communications and
Public Affairs Department, at the above address, 202-326-4040. (These
are not toll-free numbers.)
SUPPLEMENTARY INFORMATION: The PBGC maintains 11 Privacy Act systems of
records.1 Each of these systems of records contains ``routine
uses'' describing situations in which the PBGC may disclose information
about an individual without his or her consent. In addition, the PBGC
specifies general routine uses that apply to most systems of records.
(This notice places a ``G'' in front of the general routine uses to
distinguish them from the routine uses within the individual systems of
records.)
\1\ PBGC-1, Correspondence Between PBGC and Persons Outside
PBGC--PBGC; PBGC-2, Disbursements--PBGC; PBGC-3, Employee Payroll,
Leave and Attendance Records--PBGC; PBGC-4, Employee Travel
Records--PBGC; PBGC-5, Personnel Records--PBGC; PBGC-6, Plan
Participant and Beneficiary Data--PBGC; PBGC-7, Equal Employment
Opportunity Discrimination Complaints--PBGC; PBGC-8, Employee
Adverse Action Files--PBGC; PBGC-9, Plan Participant and Beneficiary
Address Identification File--PBGC; PBGC-10, Administrative Appeals
File--PBGC; and PBGC-11, Call Detail Records--PBGC.
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This notice proposes several new routine uses of records, revises
certain existing routine uses of records, and makes a number of
technical and clarifying changes. For the convenience of the public,
the revised systems of records are published in full below with
changes, other than corrections and minor editing, italicized.
General Routine Uses
The PBGC is proposing several unrelated changes in the general
routine uses. Under G2 (``Disclosure When Requesting Information''),
the PBGC is expanding the sources to which it may disclose information
for the purpose of obtaining information relevant to PBGC decisions
concerning hiring or retention of employees, retention of security
clearances and letting of contracts.
Under G3 (``Disclosure of Existence of Record Information''), the
PBGC may disclose that a system of records includes information
relevant to certain decisions of another federal agency, regardless of
whether the other agency has requested information from the PBGC.
The PBGC will split general routine use 4 into G4 (``Disclosure in
Litigation''), and G5 (``Disclosure to the Department of Justice in
Litigation''), and clarify the conditions under which disclosure is
permitted. Disclosure will be limited to proceedings before a court or
other adjudicative body, but will no
[[Page 57463]]
longer be limited to ``litigation with the individual who is the
subject of the record.''
The PBGC has modified G8 (``Disclosure to Labor Organizations'') to
permit disclosure to an official of a labor organization only when
``necessary'' for the labor organization properly to perform its duties
as the collective bargaining representative of PBGC employees.
Disclosure is ``necessary'' when the information sought by the labor
organization bears a logical and significant connection with subjects
within the scope of collective bargaining and when no adequate
alternative source of the information is available to the labor
organization. The PBGC is also incorporating G8 by reference into PBGC-
3, PBGC-4, PBGC-5, PBGC-8, and PBGC-11.
Systems of Records and Specific Routine Uses
The PBGC is dividing PBGC-5 into two systems of records, PBGC-5
(retitled Personnel Files--PBGC) and PBGC-12 (Personnel Security
Investigation Records--PBGC). The PBGC's proposed rule amending 29 CFR
Part 2607 to conform with this change appears elsewhere in today's
Federal Register. The PBGC is deleting PBGC-7, Equal Employment
Opportunity Records--PBGC, because it duplicates an existing
governmentwide systems of records published by the EEOC (EEOC--GOVT-1,
56 FR 10900, March 14, 1991).
The PBGC is also proposing several changes in the specific routine
uses applicable to the individual systems of records. In PBGC-6, the
PBGC is amending routine use 5 to permit the PBGC to disclose
information to the Federal Aviation Administration to obtain
information relevant to a disability determination. Routine uses 6, 7,
8, 9, and 10 will permit disclosure of certain information needed to
locate participants and beneficiaries to the Internal Revenue Service,
the Social Security Administration, certain labor organizations,
private locator services, the United States Postal Service, and to
certain other participants and beneficiaries.
In PBGC-8, the PBGC proposes to permit disclosure to the Federal
Labor Relations Authority (``FLRA'') and the Equal Employment
Opportunity Commission (``EEOC'') to carry out their authorized
functions.
In PBGC-10, routine use 5 will allow the PBGC's Appeals Board to
disclose information to certain labor organizations to obtain
information relevant to resolving an appeal.
In new PBGC-12, routine use 1 will permit certain disclosures about
an investigation to obtain information from a source. Routine use 2
will permit disclosure of information to the Office of Personnel
Management, the Merit Systems Protections Board, the FLRA, or the EEOC
to carry out their authorized functions.
Technical and Clarifying Changes
The PBGC is also making a number of technical and clarifying
changes to its existing systems of records. Among other things, the
PBGC is: (1) updating certain record retention and disposal practices
to reflect the PBGC's record control schedules and the National
Archives and Record Administration's general records schedules; (2)
changing certain system manager(s) and addresses to reflect
organizational changes and the move of PBGC offices to a new address;
and (3) providing for disclosure to consumer reporting agencies in
certain systems in accordance with 31 U.S.C. 3711(f) (5 U.S.C.
552a(b)(12)).
Issued in Washington, DC this 8th day of November, 1995.
Martin Slate,
Executive Director, 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.
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.
[[Page 57464]]
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
Correspondence Between the PBGC and Persons Outside the PBGC--PBGC.
Not Applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
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.
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.
29 U.S.C. 1302.
This system of records is maintained for programmatic and
regulatory purposes (including use in adjudicatory proceedings).
General Routine Uses G1 through G7 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
None.
Records are maintained manually in file folders and/or in automated
form.
Records are indexed by name of correspondent or plan.
Manual records are kept in file cabinets in areas of restricted
access that are locked after office hours; access to automated records
is restricted.
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.
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.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Individuals writing to the PBGC and the PBGC's responses.
None.
PBGC-2
Disbursements--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Individuals who are consultants and vendors to the PBGC.
Payment vouchers, including SF 1082.
29 U.S.C. 1302.
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.
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.
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)).
[[Page 57465]]
Records are maintained manually in file folders.
Records are indexed by name.
Records are kept in file cabinets in areas of restricted access
that are locked after office hours.
Records created after June 30, 1975, are destroyed 6 years and 3
months after date of voucher.
Director, Financial Operation Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Individuals who are consultants and vendors to the PBGC.
None.
PBGC-3
Employee Payroll, Leave, and Attendance Records--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Employees of the PBGC.
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.
29 U.S.C. 1302.
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.
1. A record from this system of records may be disclosed to the
United States Department of Labor to effect payments to employees.
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
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)).
Records are maintained manually in file folders and/or in automated
form.
Records are indexed by name and/or employee or social security
number.
Manual records are kept in file cabinets in areas of restricted
access that are locked after office hours; access to automated records
is restricted.
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.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Subject individual and the Office of Personnel Management.
None.
PBGC-4
Employee Travel Records--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Employees of the PBGC who have filed travel vouchers and related
documents.
Travel vouchers and related documents filed by employees of the
PBGC.
5 U.S.C. Chapter 57; 29 U.S.C. 1302.
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.
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.
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)).
[[Page 57466]]
Records are maintained manually in file folders.
Records are indexed by name.
Records are kept in file cabinets in areas of restricted access
that are locked after office hours.
Records are maintained for various periods of time, as provided in
National Archives and Records Administration General Records Schedule
9.
Director, Financial Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
PBGC employee vouchers.
None.
PBGC-5
Personnel Files--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Employees and applicants for employment with the PBGC.
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.)
29 U.S.C. 1302.
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.
General Routine Uses G1 through G8 (see Prefatory Statement of
General Routine Uses) apply to this system of records.
None.
Records are maintained manually in file folders and/or in automated
form.
Records are indexed by name.
Manual records are kept in areas of restricted access that are
locked after office hours; access to automated records is restricted.
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.
Director, Human Resources Department, and Administrative Officer,
Office of the General Counsel, Pension Benefit Guaranty Corporation,
1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Subject individuals, present and past employers, and references
given by any subject individuals.
None.
PBGC-6
Plan Participant and Beneficiary Data--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026 and/or field benefit administrator, plan
administrator, and paying agent worksites.
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'').
Names, addresses, telephone numbers, sex, social security numbers
and other Social Security Administration information, dates of birth,
dates of hire, salary, marital status (including domestic relations
orders), time of plan participation, eligibility status, pay status,
benefit data, health-related information, insurance information where
plan benefits are guaranteed by private insurers, 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
plan participant or beneficiary.
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342 and
1350.
This system of records is maintained for use in determining
eligibility for benefits under plans covered by Title IV of ERISA,
including determinations as to the participants and beneficiaries
entitled to benefits and the amounts of such benefits to be paid, and
in making benefit payments and collecting benefit overpayments.
[[Page 57467]]
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 under the SSA's Letter Forwarding Service. 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.
General Routine Uses G1 and G4 through G7 (see Prefatory Statement
of General Routine Uses) apply to this system of records.
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)).
Records are maintained manually in file folders and/or in automated
form.
Records are indexed by plan and participant and/or beneficiary
name.
Manual records are kept in areas of restricted access that are
locked after office hours; access to automated records is restricted.
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.
Director, Insurance Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Plan administrators, participants and beneficiaries, the FAA, the
SSA, labor organization officials, firms or agencies providing locator
services, and USPS licensees.
None.
PBGC-7
System deleted.
PBGC-8
Employee Relations Files--PBGC.
[[Page 57468]]
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
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.
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.)
29 U.S.C. 1302.
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.
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.
None.
Records are retained manually in file folders.
Records are indexed by employee name.
Records are kept in lockable file cabinets that are locked after
office hours in areas of restricted access.
Files are destroyed 4 years after the case is closed.
Director, Human Resources Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
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.
None.
PBGC-9
Plan Participant and Beneficiary Address Identification File--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
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.
Names, social security numbers, addresses, and names of pension
plans.
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.
This system of records is maintained to locate participants and
beneficiaries under pension plans covered by Title IV of ERISA.
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.
None.
Records are maintained manually in file folders and/or in automated
form.
Records are indexed by participant or beneficiary name and social
security number.
Records are kept in locked file cabinets in areas of restricted
access under procedures that meet IRS safeguarding standards.
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.
Director, Insurance Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
PBGC-6 and the IRS.
None.
[[Page 57469]]
PBGC-10
Administrative Appeals File--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
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.
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.
29 U.S.C. 1055, 1056(d)(3), 1302, 1321, 1322, 1322a, 1341, 1342,
1345, and 1350.
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.
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.
None.
Records are maintained manually in file folders and/or in automated
form.
Records are indexed by participant or beneficiary name, plan name,
and appeal number or extension request number.
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.
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.
Clerk of the Appeals Board, Participant and Employer Appeals
Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
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.
None.
PBGC-11
Call Detail Records--PBGC.
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
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.
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.
29 U.S.C. 1302.
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.
[[Page 57470]]
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.
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)).
Records are maintained manually in file folders and in automated
form.
Records are retrieved by name of employee or other covered
individual, telephone extension number, telephone calling card number,
or telephone number called.
Manual records are kept in areas of restricted access that are
locked after office hours; access to automated records is restricted.
Records are retained for 2 years and then destroyed.
Director, Facilities and Services Department, Pension Benefit
Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Telephone and telephone calling card assignment records; call
detail listings; private telephone billing information.
None.
PBGC-12
Personnel Security Investigation Records--PBGC [formerly included
within PBGC-5].
Not applicable.
Pension Benefit Guaranty Corporation, 1200 K Street NW.,
Washington, DC 20005-4026.
Employees and applicants for employment with the PBGC.
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; 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 initiated by
the OPM with respect to employees or applicants for employment with the
PBGC.
5 CFR 5.2(c) and (d); 29 U.S.C. 1302.
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, access to information, and security clearance.
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.
None.
Records are maintained manually in file folders.
Records are indexed by name.
Records are kept in file cabinets in areas of restricted access
that are locked after office hours.
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.
Director, Human Resources Department, Pension Benefit Guaranty
Corporation, 1200 K Street NW., Washington, DC 20005-4026.
Procedures are detailed in PBGC regulations: 29 CFR Part 2607.
Same as notification procedure.
Same as notification procedure.
Information contained in this system of records is obtained from
the following sources: (a) applications and other personnel and
security forms, (b) personal interviews with the individual that is the
subject of the investigation,
[[Page 57471]]
employers, references, neighbors, and associates, (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.
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)).
[FR Doc. 95-28201 Filed 11-14-95; 8:45 am]
BILLING CODE 7708-01-P
