[Federal Register: March 30, 2009 (Volume 74, Number 59)]
[Page 14167-14169]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]



Privacy Act of 1974, System of Records

AGENCY: Pension Benefit Guaranty Corporation.

ACTION: Notice of new system of records.


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.

    Office of Inspector General Investigative File System--PBGC.

    Not applicable.

    Office of Inspector General, Pension Benefit Guaranty Corporation, 
1200 K Street, NW., Washington, DC 20005-4026.

    1. Persons who are named individuals in investigations conducted by 
    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.

    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.

    5 U.S.C. App. 3.

    This system of records is used to maintain information related to 
investigations of criminal, civil, or administrative matters.

    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

[[Page 14169]]

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.

    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.

    Records are indexed by name or other personal identifier, subject 
category, or assigned case number.

    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 

    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.

    Inspector General, Pension Benefit Guaranty Corporation, 1200 K 
Street, NW., Washington, DC, 20005-4026.

    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.

    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.

    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.

    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.

    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]