PWBA Criminal Case Information System
None.
Office of Enforcement, PWBA U.S. Department of Labor 200
Constitution Ave., NW Washington, DC 20210.
Defendants in criminal actions involving private sector employee
benefit plans.
Court and other documents which transmit information about the progress
and/or disposition of criminal cases involving private sector employee benefit
plans and written summaries of same. Documents include media articles, press
releases, indictments, plea agreements, judgements, appellate documents and
documents bearing evidence of restitution.
29 U.S.C. 1134-37.
This system of records is used to access information related to
criminal actions involving investigations conducted by the Department of Labor
(DOL). The criminal information 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 tracking
system and in manual files.
Manual files are retrieved by the name of the defendant. Records in
electronic index may be retrieved by court, defendant's name, violation, type
of plan, etc.
Direct access to and use of these records is restricted to authorized
personnel in the Office of Enforcement. The electronic system is password
protected and limited to use by authorized personnel.
Manual files are destroyed after three years after case is closed, 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(j)(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 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.
Individual defendants, witnesses, and other individuals who have
relevant information.
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.
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