Office of Enforcement Correspondence Tracking System
None.
Office of Enforcement, PWBA U.S. Department of Labor 200
Constitution Ave., NW Washington, DC 20210.
Correspondents, such as employee benefit plan professionals, and other
individuals 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. Letters
from the general public requesting information under the Freedom of Information
Act or relating to all aspects of pension and welfare benefit plans covered by
Title I of the Employee Retirement Income Security Act of 1974 (ERISA), the
status of individuals under these plans, the Department's replies to the
inquiries, and related internal memoranda, including notes pertaining to
meetings and telephone calls.
29 U.S.C. 1134-37.
This system of records is used to track the progress of correspondence
through the Office of Enforcement, including a record of action taken on or
response to an inquiry received from the general public or others, and to
access investigative information related to field office correspondence
regarding 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, criminal or regulatory 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(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.
Records are retrieved from the electronic database by the name of the
plan, service provider name, trustee name, the name of another individual (such
as the named defendant) involved in the investigation or enforcement action, or
the name of the correspondent. Records are also retrieved by case number, the
plan's employer identification number (EIN).
Direct access to and use of these records is restricted to authorized
personnel in the Office of Enforcement. General correspondence are maintained
in file cabinets with access limited to OE staff. The electronic database is
password protected and limited to use by authorized personnel.
General correspondence files are destroyed after three years. The
electronic database files are deleted when no longer needed.
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, address, and EIN (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 regarding 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.
Correspondence from individuals, 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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