PWBA Enforcement Management System
None.
Office of Enforcement, PWBA, U.S. Department of Labor, 200 Constitution
Ave., NW, Washington, DC 20210, and all PWBA field offices as listed in the
Appendix A to this document.
Plan administrators, trustees, and those individuals who provide advice
or services to employee benefit plans, and other individuals (such as the named
defendants) involved in investigations and enforcement actions.
Information including plan name, plan administrator's name, service
provider's name, trustee's name, and names of other individuals (such as the
named defendants) involved in investigations and enforcement actions.
29 U.S.C. 1134-37
This system of records is used to access information related to case
files involving investigations instituted by the Department of Labor (DOL)
under the Title I of the Employee Retirement Security Act of 1974 (ERISA). The
investigative files are used in the prosecution of violations of law, whether
civil or criminal in nature.
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a record from
this system of records may be disclosed, subject to the restrictions imposed by
various statutes and rules, such as the Privacy Act, to a department or agency
of the United States, or to any person actually affected by any matter which
may be the subject of the investigation; except that any information obtained
by the Secretary of Labor pursuant to section 6103 of Title 26 shall be made
available only in accordance with regulations prescribed by the Secretary of
the Treasury.
None.
The records in this system are maintained in an electronic database and
in paper case files.
Records are retrieved from the electronic database by the name of the
plan, service provider name, trustee name, or the name of another individual
(such as the named defendant) involved in the investigation or enforcement
action. Records are also retrieved by case number, the plan's employer
identification number (EIN) and plan number (if known), or service provider or
trustee EIN.
Direct access to and use of these records is restricted to authorized
personnel in the Office of Enforcement and PWBA field offices. In the Office of
Enforcement, manual files are maintained in file cabinets with access limited
to OE staff. In the field offices, manual files are maintained in file cabinets
with access limited to appropriate PWBA staff. In all instances, the electronic
database is password protected and limited to use by authorized personnel.
Investigative case files are retained in the office for one year after
completion by voluntary compliance or litigation, or related actions following
voluntary compliance or litigation. After one year, the case files are
transferred to the Federal Records Center for seven (7) years and then
destroyed. The electronic database files are retained permanently.
In the national office: Director of Enforcement, Pension and Welfare
Benefits Administration, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
In the Regional offices: the Regional Director (as listed in the
Appendix to this document).
In the District Offices: the District Supervisor (as listed in the
Appendix A to this document).
Individuals wishing to inquire whether this system of records contains
information about them should contact the appropriate system manager described
above. Individuals should furnish their full name, address, and employee
benefit plan association and should identify the employee benefit plan by name,
address, and EIS (if known).
Request for access to records should follow the Notification procedure
described above. Specific materials in the system have been exempted from
Privacy Act provisions under 5 U.S.C. 552a(j)(2) and (k)(2). To the extent that
this system of records is not subject to exemption, it is subject to access,
contest of the content of the record, and appeal of a denial to access. A
determination as to exemption shall be made at the time a request for access is
received. Access procedures are the same as the Notification procedures
described above. Individuals requesting access must also comply with Privacy
Act regulations on verification of identity and access to records (29 CFR
71.2).
Same as the Notification procedure above, except individuals desiring
to contest or amend information maintained in the system should direct their
written request to the appropriate System Manager listed above, state clearly
and concisely what information is being contested, the reasons for contesting
it, and the proposed amendment to the information sought pursuant to 29 CFR
71.9.
Individual complaints, witnesses, or interviews conducted during
investigations or plan participant or beneficiary information obtained during
investigations on cases opened in the Office of Enforcement or in any of the
PWBA field offices.
a. Criminal Law Enforcement: In accordance with subsection
552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information maintained for
criminal law enforcement purposes in PWBA's Office of Enforcement or its field
offices is exempt from subsections (c)(3) and (4), (d), (e)(1), (2), and (3),
(e)(4)(G), (H), and (I), (e)(5) and (8), (f), and (g) of 5 U.S.C. 552a
b. Other Law Enforcement: In accordance with subsection
552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for civil law enforcement purposes is exempt
from subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G) and (I),
and (f) of 5 U.S.C. 552a.
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