Privacy Act of 1974; Systems of Records

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