Privacy Act of 1974; System of Records
| Published date | 01 September 2021 |
| Citation | 86 FR 49061 |
| Record Number | 2021-18918 |
| Section | Notices |
| Court | Pension Benefit Guaranty Corporation |
Federal Register, Volume 86 Issue 167 (Wednesday, September 1, 2021)
[Federal Register Volume 86, Number 167 (Wednesday, September 1, 2021)]
[Notices]
[Pages 49061-49064]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-18918]
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PENSION BENEFIT GUARANTY CORPORATION
Privacy Act of 1974; System of Records
AGENCY: Pension Benefit Guaranty Corporation.
ACTION: Notice of modified system of records.
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SUMMARY: Pursuant to the Privacy Act of 1974 the Pension Benefit
Guaranty Corporation (PBGC) is proposing a change to one of its systems
of records notices (SORNs). PBGC is adding a new routine use to allow
disclosure of information to other government agencies to allow PBGC to
fulfill its statutory responsibilities.
DATES: The modification of the system of records described herein will
become effective October 1, 2021, without further notice, unless
comments result in a contrary determination and a notice is published
to that effect. Comments must be received on or before October 1, 2021
to be assured of consideration.
ADDRESSES: You may submit written comments to PBGC by any of the
following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the website instructions for submitting comments.
Email: [email protected]. Refer to SORN in the subject
line.
Mail or Hand Delivery: Regulatory Affairs Division, Office
of the General Counsel, Pension Benefit Guaranty Corporation, 1200 K
Street NW, Washington, DC 20005.
Commenters are strongly encouraged to submit public comments
electronically. PBGC expects to have limited personnel available to
process public comments that are submitted on paper through mail. Until
further notice, any comments submitted on paper will be considered to
the extent practicable.
All submissions must include the agency's name (Pension Benefit
Guaranty Corporation, or PBGC) and reference this notice. Comments
received will be posted without change to PBGC's website, http://www.pbgc.gov, including any personal information provided. Do not
submit comments that include any personally identifiable information or
confidential business information. Copies of comments may also be
obtained by writing to Disclosure Division, Office of the General
Counsel, Pension Benefit Guaranty Corporation, 1200 K Street NW,
Washington, DC 20005, or calling 202-326-4040 during normal business
hours. (TTY users may call the Federal relay service toll-free at 1-
800-877-8339 and ask to be connected to 202-326-4040.)
FOR FURTHER INFORMATION CONTACT: Shawn Hartley, Chief Privacy Officer,
Pension Benefit Guaranty Corporation, Office of the General Counsel,
1200 K Street NW, Washington, DC 20005, 202-229-6321. For access to any
of the PBGC's systems of records, contact D. Camilla Perry, Disclosure
Officer, Office of the General Counsel, Disclosure Division, 1200 K
Street NW,
[[Page 49062]]
Washington, DC 20005, or by calling 202-229-4040, or go to https://www.pbgc.gov/about/policies/pg/privacy-at-pbgc/system-of-records-notices.
SUPPLEMENTARY INFORMATION: PBGC is proposing to add a routine use to
the system PBGC-19: Office of General Counsel Case Management System
(SORN last published at 83 FR 6270 (February 13, 2018)). This routine
use would allow disclosure of records to other government agencies to
ensure facilitation of responsibilities under the Employee Retirement
Income Security Act of 1974 (ERISA), including the special financial
assistance program created by the American Rescue Plan (ARP) Act of
2021 (Pub. L. 117-2). PBGC's responsibilities include coordination and
information sharing with the U.S. Department of the Treasury and the
U.S. Department of Labor's Employee Benefits Security Administration
for proper administration and enforcement of the provisions of ERISA
and the Internal Revenue Code applicable to multiemployer plans.
Also, PBGC is proposing to amend the name of the system of records
and update the owner of the system PBGC-19. PBGC is proposing to amend
the name of the system of records to more accurately reflect the
records maintained in the system. The new name of the system will be
PBGC-19: Office of Negotiations and Restructuring/Office of General
Counsel Case Management System. PBGC also proposes updating the system
owner to reflect that the Office of Negotiations and Restructuring co-
owns the system with the Office of General Counsel.
Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to
submit written comments on the proposed change described in this
notice. A report has been sent to Congress and the Office of Management
and Budget for their evaluation.
For the convenience of the public, the amended SORN is published in
full below with changes italicized.
Issued in Washington, DC.
Gordon Hartogensis,
Director, Pension Benefit Guaranty Corporation.
SYSTEM NAME AND NUMBER:
PBGC-19: Office of Negotiations and Restructuring/Office of General
Counsel Case Management System--PBGC.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Pension Benefit Guaranty Corporation (PBGC), 1200 and 1275 K Street
NW, Washington, DC 20005. (Records may be kept at an additional
location as backup for continuity of operations.)
SYSTEM MANAGER(S) AND ADDRESS:
Office of the General Counsel (OGC), PBGC, 1200 K Street NW,
Washington, DC 20005.
Office of Negotiations and Restructuring (ONR), PBGC, 1200 K Street
NW, Washington, DC 20005.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1055, 1056(d)(3), 1302, 1303, 1310, 1321, 1322a, 1341,
1342, 1343, 1350; 1431, and 1432; 5 U.S.C. app. 105; 5 U.S.C. 301,
552(a), 552a(d), 7101; 42 U.S.C. 2000e, et seq.; 44 U.S.C. 3101.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system of records is to catalog, litigate,
review or otherwise resolve any case or matter handled by the ONR or
the OGC.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who are participants, beneficiaries, and alternate
payees in pension plans covered by the Employee Retirement Income
Security Act of 1974 (ERISA), 29 U.S.C. 1301, et seq.; pension plan
sponsors, administrators, control group members and third parties, who
are responsible for, manage, or have control over ERISA pension plans;
other individuals who are identified in connection with investigations
conducted pursuant to 29 U.S.C. 1303 or litigation conducted with
regard to ERISA pension plans; individuals (including PBGC employees)
who are parties or witnesses in civil litigation or administrative
proceedings involving or concerning PBGC or its officers or employees;
individuals who are the subject of a breach of personally identifiable
information; individuals who are potential contractors or contractors
with PBGC or are otherwise personally associated with a contract or
procurement matter; individuals who receive legal advice from OGC; and
other individuals (including current, former, and potential PBGC
employees, contract employees, interns, and externs) who are the
subject of or are otherwise connected to an inquiry, investigation,
other matter handled by the OGC.
CATEGORIES OF RECORDS IN THE SYSTEM:
Draft and final versions of notes, reports, memoranda; settlements;
legal opinions; agreements; correspondence; contracts; contract
proposals and other procurement documents; plan documents; participant,
alternate payee, and beneficiary files; initial and final PBGC
determinations of ERISA matters; Freedom of Information Act (FOIA) and
the Privacy Act of 1974 disclosures, determinations, appeals and
decisions of those appeals; records and information obtained from other
Federal, state, tribal, and local agencies and departments, including,
but not limited to: Office of Personnel Management, Social Security
Administration, Department of Treasury and Department of Justice;
drafts and legal reviews of proposed personnel actions; ethics
inquiries; personnel records; financial records; individual tax
returns; litigation files; labor relations files; information provided
by labor unions or other organizations; witness statements; summonses,
subpoenas, discovery requests and responses; and breach reports and
supporting documentation.
RECORD SOURCE CATEGORIES:
Subject individuals; pension plan participants, sponsors,
administrators and third parties; Federal government records; current
and former employees, contractors, interns, and externs; PBGC debt and
disbursement records; insurers; the Social Security Administration;
labor organizations; court records; articles from publications; and
other individuals, organizations, and corporate entities with relevant
knowledge/information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. General Routine Uses G1 through G15 apply to this system of
records (see Prefatory Statement of General Routine Uses).
2. A record from this system of records may be disclosed, in
furtherance of proceedings under Title IV of ERISA, to a contributing
sponsor (or other employer who maintained the plan), including any
predecessor or successor, and any member of the same control group.
3. Names, addresses, and telephone numbers of employees, former
employees, participants, and beneficiaries and information pertaining
to debts to PBGC may be disclosed to the Department of Treasury, the
Department of Justice, a credit agency, and a debt collection to
collect the debt. Disclosure to a debt collection may be made only
under a contract that binds
[[Page 49063]]
any such contractor or employee of such contractor to criminal
penalties of the Privacy Act.
4. Information may be disclosed to a court, magistrate, or
administrative tribunal in the course of presenting evidence, including
disclosures to opposing counsel or witnesses in the course of civil
discovery, litigation, or settlement negotiations in response to a
court order or in connection with criminal law proceedings.
5. Information may be provided to a congressional office in
response to an inquiry made at the request of the individual to whom
the record pertains.
6. Information may be provided to third parties during the course
of an investigation to the extent necessary to obtain information
pertinent to the investigation.
7. Relevant and necessary information may be disclosed to a former
employee of PBGC for the purposes of: (1) Responding to an official
inquiry by Federal, state, tribal or local government entity or
professional licensing authority; or (2) facilitating communications
with a former employee that may be necessary for personnel-related or
other official purposes where PBGC requires information and/or
consultation assistance from the former employee regarding a matter
within that person's former area of responsibility.
8. A record relating to a case or matter may be disseminated to a
foreign country pursuant to an international treaty or convention
entered into and ratified by the United States or to an executive
agreement.
9. A record may be disseminated to a foreign country, through the
United States Department of State or directly to the representative of
such country, to the extent necessary to assist such country in civil
or criminal proceedings in which the United States or one of its
officers or agencies has an interest.
10. A record from this system of records may be disclosed to the
National Archives and Records Administration (NARA), Office of
Government Information Services (OGIS), to the extent necessary to
fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures and compliance with the
FOIA, and to facilitate use of OGIS' mediation services.
11. A record from this system may be disclosed to a consumer
reporting agency in accordance with 31 U.S.C. 3711(e).
12. A record from this system of records may be disclosed under a
Memorandum of Understanding or an Interagency Agreement to: (1) The
Department of Treasury (USDT) or (2) the Department of Labor's Employee
Benefits Security Administration (EBSA) to facilitate an investigation
or inquiry relating to a multiemployer plan's compliance with appliable
provisions under ERISA or the Internal Revenue Code, including the
special financial assistance program created by the American Rescue
Plan (ARP) Act of 2021 (Pub. L. 117-2).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained manually in paper and/or electronic form
(including computer databases or discs). Records may also be maintained
on back-up tapes, or on a PBGC or a contractor-hosted network.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are indexed by assigned case number and sequential record
identifier. Records are full-text indexed and information from this
system may be retrieved using any free-form key, which may include
names, social security number, address, representative or any other
personal identifiers. For certain systems, only individuals assigned to
the particular matter may retrieve associated records.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained and destroyed in accordance with the
National Archives and Record Administration's (NARA) Basic Laws and
Authorities (44 U.S.C. 3301, et seq.) or a PBGC records disposition
schedule approved by NARA.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
PBGC has established security and privacy protocols that meet the
required security and privacy standards issued by the National
Institute of Standards and Technology (NIST). Records are maintained in
a secure, password protected electronic system that utilizes security
hardware and software to include multiple firewalls, active intruder
detection, and role-based access controls. PBGC has adopted appropriate
administrative, technical, and physical controls in accordance with
PBGC's security program to protect the confidentiality, integrity, and
availability of the information, and to ensure that records are not
disclosed to or accessed by unauthorized individuals. Paper records are
kept in file folders in areas of restricted access that are locked
after office hours.
Electronic records are stored on computer networks, which may
include cloud-based systems, and protected by controlled access with
Personal Identity Verification (PIV) cards, assigning user accounts to
individuals needing access to the records and by passwords set by
authorized users that must be changed periodically. Further, for
certain systems covered by this notice, heightened security access is
required. Such access is granted by the specific permissions group
assigned to monitor that particular system and only authorized
employees of the agency may retrieve, review or modify those records.
RECORD ACCESS PROCEDURES:
Individuals, or third parties with written authorization from the
individual, wishing to request access to their records in accordance
with 29 CFR 4902.4, should submit a written request to the Disclosure
Officer, PBGC, 1200 K Street NW, Washington, DC 20005, providing their
name, address, date of birth, and verification of their identity in
accordance with 29 CFR 4902.3(c).
CONTESTING RECORD PROCEDURES:
Individuals, or third parties with written authorization from the
individual, wishing to amend their records must submit a written
request, in accordance with 29 CFR 4902.5, identifying the information
they wish to correct in their file, in addition to following the
requirements of the Record Access Procedure above.
NOTIFICATION PROCEDURES:
Individuals, or third parties with written authorization from the
individual, wishing to learn whether this system of records contains
information about them should submit a written request to the
Disclosure Officer, PBGC, 1200 K Street NW, Washington, DC 20005,
providing their name, address, date of birth, and verification of their
identity in accordance with 29 CFR 4902.3(c).
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(2), records in this system are exempt
from the requirements of subsections (c)(3), (d), (e)(1), (e)(4) (G),
(H), (I), and (f) of 5 U.S.C. 552a, provided, however, that if any
individual is denied any right, privilege, or benefit that he or she
would otherwise be entitled to by Federal law, or for which he or she
would otherwise be eligible, as a result of the maintenance of these
records, such material will be provided to the individual, except to
the extent that the disclosure of the material would reveal the
identity of a source who furnished information to the Government with
an express promise that the identity of the source would be held in
confidence.
[[Page 49064]]
HISTORY:
PBGC-19, Office of General Counsel Case Management System (last
published at 83 FR 6270 (February 13, 2018)).
[FR Doc. 2021-18918 Filed 8-31-21; 8:45 am]
BILLING CODE 7709-02-P
