[Federal Register: March 30, 2009 (Volume 74, Number 59)]
[Notices]
[Page 14167-14169]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr30mr09-97]
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PENSION BENEFIT GUARANTY CORPORATION
Privacy Act of 1974, System of Records
AGENCY: Pension Benefit Guaranty Corporation.
ACTION: Notice of new system of records.
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SUMMARY: This document provides notice of a proposed new Privacy Act
system of records. The Pension Benefit Guaranty Corporation (PBGC) is
establishing a new system of records entitled ``PBGC-17, Office of
Inspector General Investigative File System--PBGC,'' subject to the
Privacy Act of 1974, as amended. The information from the new system of
records will be used by the PBGC's Office of Inspector General to
conduct criminal, civil, and administrative investigations, and will
contain identifying information about potential subjects and sources.
DATES: Comments on the new system of records and proposed routine uses
must be received on or before April 29, 2009. The new system of records
will become effective on May 14, 2009 without further notice, unless
comments result in a contrary determination and a notice is published
to that effect.
ADDRESSES: Comments may be submitted by any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the Web site instructions for submitting comments.
E-mail: reg.comments@pbgc.gov.
Fax: 202-326-4224.
Mail or Hand Delivery: Legislative and Regulatory
Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW.,
Washington, DC 20005-4026.
Comments received, including personal information provided, will be
posted to http://www.pbgc.gov. Copies of comments may also be obtained
by writing to Disclosure Division, Office of General Counsel, Pension
Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-
4026, or calling 202-326-4040 during normal business hours. (TTY and
TDD users may call the Federal relay service toll-
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free at 1-800-877-8339 and ask to be connected to 202-326-4040.)
FOR FURTHER INFORMATION CONTACT: Margaret E. Drake, Attorney, Office of
the General Counsel, Pension Benefit Guaranty Corporation, 1200 K
Street, NW., Washington, DC 20005, 202-326-4400 (extension 3228); or
James Bloch, Program Analyst, Legislative & Regulatory Department; 202-
326-4223 (extension 3530). (For TTY/TDD users, call the federal relay
service toll-free at 1-800-877-8339 and ask to be connected to 202-326-
4400 (extension 3228) or 202-326-4223 (extension 3530).)
SUPPLEMENTARY INFORMATION: PBGC is proposing to establish a new system
of records entitled ``PBGC-17, Office of Inspector General
Investigative File System--PBGC.'' (PBGC's proposed rule on disclosure
and amendment of records pertaining to individuals under the Privacy
Act appears elsewhere in today's Federal Register.) The proposed system
of records is necessary to the functions performed by the Office of
Inspector General (OIG), and will cover only those files of
investigation that identify by name, or other personal identifier,
individuals who are subjects of investigations or sources of
information. The files may contain information about civil, criminal,
or administrative wrongdoing, or about fraud, waste, or mismanagement,
or other violations of law or regulation. This information could be the
basis for referrals to appropriate prosecutorial authorities for
consideration of criminal or civil prosecution or to PBGC management
for administrative corrective action. OIG, as it has always done, will
continue to respect the privacy of individuals named in these files and
will disclose, within the boundaries of the law, the least amount of
information necessary to perform its law-enforcement responsibilities.
The collection and maintenance of records subject to this system
are not new because records of the same type have been collected and
maintained in the OIG since its establishment in 1989. Those records,
however, were not maintained or retrieved by a name or other personal
identifier. With the implementation of an electronic records management
system, these records will now be in a system of records, as defined in
The Privacy Act Implementation: Guidelines and Responsibilities, 40 FR
28,498 (July 9, 1975). Electronic information will be kept in an
environment with physical and logical security, including encryption of
information on external computer media. Computers and hard copy records
are maintained in a secured environment.
Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to
submit written comments on this proposal. A report on the following
proposed system has been sent to Congress and the Office of Management
and Budget for their evaluation.
Issued in Washington, DC, this 23rd day of March, 2009.
Vincent K. Snowbarger,
Acting Director, Pension Benefit Guaranty Corporation.
PBGC-17
SYSTEM NAME:
Office of Inspector General Investigative File System--PBGC.
SECURITY CLASSIFICATION:
Not applicable.
SYSTEM LOCATION:
Office of Inspector General, Pension Benefit Guaranty Corporation,
1200 K Street, NW., Washington, DC 20005-4026.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
1. Persons who are named individuals in investigations conducted by
OIG.
2. Complainants and subjects of complaints collected through the
operation of the OIG Hotline.
3. Other individuals, including witnesses, sources, and members of
the general public, who are named individuals in connection with
investigations conducted by OIG.
CATEGORIES OF RECORDS IN THE SYSTEM:
Information within this system relates to OIG investigations
carried out under applicable statutes, regulations, policies, and
procedures. The investigations may relate to criminal, civil, or
administrative matters. These OIG files may contain investigative
reports; copies of financial, contractual, and property management
records maintained by PBGC; background data including arrest records,
statements of informants and witnesses, and laboratory reports of
evidence analysis; search warrants, summonses and subpoenas; and other
information related to investigations. Personal data in the system may
consist of names, Social Security numbers, addresses, fingerprints,
handwriting samples, reports of confidential informants, physical
identifying data, voiceprints, polygraph tests, photographs, and
individual personnel and payroll information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. App. 3.
PURPOSE(S):
This system of records is used to maintain information related to
investigations of criminal, civil, or administrative matters.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
PBGC General Routine Uses G1, G2, G4, G5, and G7 listed in PBGC's
Privacy Act of 1974; Systems of Records, 60 FR 57,462 (Nov. 15, 1995)
apply to this system of records. In addition:
1. A record relating to a person held in custody pending or during
arraignment, trial, sentence, or extradition proceedings or after
conviction may be disclosed to a federal, state, local, or foreign
prison; probation, parole, or pardon authority; or any other agency or
individual involved with the maintenance, transportation, or release of
such a person.
2. A record relating to a case or matter may be disclosed to an
actual or potential party or his or her attorney for the purpose of
negotiation or discussion on such matters as settlement of the case or
matter, plea bargaining, or informal discovery proceedings.
3. A record may be disclosed to any source, either private or
governmental, when reasonably necessary to elicit information or obtain
the cooperation of a witness or informant when conducting any official
investigation or during a trial or hearing or when preparing for a
trial or hearing.
4. A record relating to a case or matter may be disclosed to a
foreign country, through the United States Department of State or
directly to the representative of such country, under an international
treaty, convention, or executive agreement; or to the extent necessary
to assist such country in apprehending or returning a fugitive to a
jurisdiction that seeks that individual's return.
5. A record originating exclusively within this system of records
may be disclosed to other federal offices of inspectors general and
councils comprising officials from other federal offices of inspectors
general, as required by the Inspector General Act of 1978, as amended.
The purpose is to ensure that OIG audit and investigative operations
can be subject to integrity and efficiency peer reviews, and to permit
other offices of inspectors general to investigate and report on
allegations of misconduct by senior OIG officials as directed by a
council, the President, or Congress. Records originating from any other
PBGC systems of records, which may be duplicated in or incorporated
into this system, also may be disclosed with all
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personally identifiable information redacted.
6. A record may be disclosed to the Department of the Treasury and
the Department of Justice when the OIG seeks an ex parte court order to
obtain taxpayer information from the Internal Revenue Service.
7. A record may be disclosed to a ``consumer reporting agency,'' as
that term is defined in the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) and the Federal Claims Collection Act of 1966 (31 U.S.C.
3701(a)(3)), to obtain information in the course of an investigation,
audit, or evaluations.
8. A record may be disclosed to any governmental, professional or
licensing authority when such record reflects on qualifications, either
moral, educational or vocational, of an individual seeking to be
licensed or to maintain a license.
9. A record may be disclosed to any direct or indirect recipient of
federal funds, e.g., a contractor, where such record reflects problems
with the personnel working for a recipient, and disclosure of the
record is made to permit a recipient to take corrective action
beneficial to the Government.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
The information in the records is maintained in a variety of media,
including paper, magnetic tapes or discs, and an automated database.
The records are maintained in limited access areas during duty hours
and in locked offices at all other times.
RETRIEVABILITY:
Records are indexed by name or other personal identifier, subject
category, or assigned case number.
SAFEGUARDS:
Paper records, computers, and computer-storage media are located in
controlled-access areas under supervision of program personnel. Access
to these areas is limited to authorized personnel, who must be
identified with a badge. Access to records is limited to individuals
whose official duties require such access. Contractors and licensees
are subject to contract controls and unannounced on-site audits and
inspections. Computers are protected by mechanical locks, card-key
systems, or other physical-access control methods. The use of computer
systems is regulated with installed security software, computer-logon
identifications, and operating-system controls including access
controls, terminal and transaction logging, and file-management
software.
RETENTION AND DISPOSAL:
1. Official investigative case files, evidence and custody files,
and informant files are retained up to 11 years after closeout of the
investigation. If significant, the files are transferred to the
National Archives and Records Administration.
2. Information reports, investigative analysis reports, and inquiry
files are retained up to 6 years after closeout of the investigation.
3. Internal administrative reports are retained up to 3 years after
closeout of the investigation.
Records existing on paper are destroyed by burning, pulping, or
shredding. Records existing on computer storage media are destroyed
according to the applicable PBGC media sanitization practice.
SYSTEM MANAGER(S) AND ADDRESS:
Inspector General, Pension Benefit Guaranty Corporation, 1200 K
Street, NW., Washington, DC, 20005-4026.
NOTIFICATION PROCEDURE:
Individuals wanting to know if information about them is maintained
in this system of records must address inquiries to the system manager;
include full name, address, and date of birth; and label the request
``Privacy Act Request.'' Inquiries must comply with the procedures in
29 CFR 4902.3.
RECORD ACCESS PROCEDURES:
Requests for access must be made in accordance with the
Notification Procedure above and PBGC Privacy Act regulations regarding
access to records and verification of identity under 29 CFR 4902.3.
CONTESTING RECORD PROCEDURES:
An individual wanting to contest or amend information maintained in
the system should direct a request to the Disclosure Officer according
to the procedures in 29 CFR 4902.3. In addition, the request should
state clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought. See 29 CFR 4902.5.
RECORD SOURCE CATEGORIES:
The information contained in this system may be derived or received
from individual complainants, witnesses, interviews conducted during
investigations, Federal, state and local government records, individual
or company records, claim and payment files, employer medical records,
insurance records, court records, articles from publications, financial
data, bank information, telephone data, insurers, service providers,
other law enforcement organizations, grantees and subgrantees,
contractors and subcontractors, and other sources.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
Pursuant to 5 U.S.C. 552a(j) and (k), PBGC has established
regulations at 29 CFR 4902.11 that exempt records in this system
depending on their purpose.
[FR Doc. E9-6972 Filed 3-27-09; 8:45 am]
BILLING CODE 7709-01-P