PWBA Civil Litigation Case Information System
None.
Office of Enforcement, PWBA U.S. Department of Labor 200
Constitution Ave., NW Washington, DC 20210.
The named defendants in the civil actions, and the names of other
individuals involved in investigations and enforcement actions resulting in
civil litigation with PWBA.
Documents such as litigation memoranda, legal documents, press
releases, judgements, consent orders and other documents which relate
information about a case in civil litigation. Information includes plan name,
plan administrator's name, service provider's name, trustee's name, the named
defendants, and the names of other individuals involved in investigations and
enforcement actions resulting in civil litigation with PWBA.
29 U.S.C. 1134-37.
This system of records is used to access information related to civil
litigation 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 civil litigation case files are used in the prosecution of
violations of law.
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(g) 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 manual files.
Records are retrieved by the name of the plan, service provider name,
trustee name, and/or the named defendants in the investigation or enforcement
action.
Direct access to and use of these records is restricted to authorized
personnel in the Office of Enforcement (OE). The civil litigation case files
are maintained in file cabinets with access limited to OE staff. The electronic
database is password protected and limited to use by authorized personnel.
Manual files are destroyed after three years, the electronic index is
deleted on the same schedule as the manual files or when no longer needed
whichever is later.
Director of Enforcement, Pension and Welfare Benefits Administration
U.S. Department of Labor 200 Constitution Avenue, NW Washington, DC
20210.
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager. Individuals should
furnish their full name, address, and employee benefit plan association and
should identify the employee benefit plan by name and address.
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. 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 System Manager, 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.
Investigators, individual defendants, witnesses, and other individuals
who have relevant information.
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, provided however,
that if any individual is denied any right, privilege or benefit to which he
would otherwise be entitled by Federal law, or for which he would otherwise be
eligible, as a result of the maintenance of such material, such material shall
be provided to such individual, except to the extent that the disclosure of
such material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the source
would be held in confidence, or prior to January 1, 1975, under an implied
promise that the identity of the source would be held in confidence.
Accordingly the following systems of records are exempt from (c)(3), (d)(1),
(d)(2), (d)(3), (d)(4), (e)(1), (e)(4)(G), (e)(4)(I) and (f) of 5 U.S.C.
552a.
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