Office of Exemption Determination ERISA Sec. 502(l) Files
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Office of Exemption Determinations Pension and Welfare Benefits
Administration U.S. Department of Labor 200 Constitution Avenue, NW
Washington, DC 20210
Individuals who have petitioned the Secretary of Labor for relief from
the monetary penalties imposed under ERISA Sec. 502(l).
Letters from individuals seeking relief from the 502(l) penalties,
attachments supporting their petitions for relief, the Department's replies
thereto, and related internal memoranda, including notes pertaining to meetings
and telephone calls.
29 Sec. U.S.C. 1135
These records are maintained to document the Department's response to
petitioners' requests for relief from the Sec. 502(l) penalties. Such penalties
are imposed upon those who are found to have violated the fiduciary and
prohibited transaction provisions of Part 4 of Title I of ERISA.
None, except for those universal routine uses listed in the General
Prefatory Statement to this document.
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Manual files and computerized index.
Files are retrieved by name of requester using a computerized index.
Access to these records is limited to authorized PWBA staff. Computer
system is password protected and accessible only to personnel creating the
database.
Manual records are maintained in the Office of Exemption Determinations
for up to two years after case closure, then transferred to the Federal Records
Center for retention for an additional 23 years. Electronic records are
destroyed on the same schedule as the manual files or when no longer needed,
whichever is later.
Director of Exemption Determinations 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 indicated above. All
requests must be in writing and mailed or presented in person during the
Department's normal business hours.
Same as notification procedures. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity and access
to records (29 CFR 71.2).
Same as notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct their
written request to the system manager listed above, and 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.
Individuals requesting a 502(l) exemption and the responses
thereto.
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