DOL/PWBA-3

SYSTEM NAME:

PWBA Correspondence Files

SECURITY CLASSIFICATION:

None

SYSTEM LOCATION(s):

Office of Participant Assistance and Communications
Office of Exemption Determinations
Office of Regulations and Interpretations
Office of Health Plan Standards and Compliance Assistance

U.S. Department of Labor
200 Constitution Avenue, NW
Washington, DC 20210

Atlanta Regional Office
61 Forsyth Street, Suite 7B54
Atlanta, GA 30303

Boston Regional Office
J.F.K. Building, Room 575
Boston, MA 02203

San Francisco Regional Office
71 Stevenson Street, Suite 915
P.O. Box 190250
San Francisco, CA 94119-250

Seattle District Office
1111 Third Avenue
MIDCOM Tower, Suite 860
Seattle, WA 98101-3212

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Correspondents.

CATEGORIES OF RECORDS IN THE SYSTEM:

Letters requesting information, advisory opinions, FOIA requests, Privacy Act Requests, or submitting comments, the Department's replies thereto, and related internal memoranda, including notes pertaining to meetings and telephone calls.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1135.

PURPOSES(S):

These records are maintained to take action on or to respond to a complaint, inquiry or comment concerning certain aspects of Title I of ERISA or to respond to requests under FOIA or Privacy Act and to track the progress of such correspondence through the office.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES:

None, except for those universal routine uses listed in the General Prefatory Statement to this document.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

None

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Manual files and electronic tracking system.

RETRIEVABILITY:

Files are retrieved by an individual name or control number.

SAFEGUARDS:

Access to these records is limited to authorized PWBA staff. Computer system is password protected and accessible only to personnel creating the database.

RETENTION AND DISPOSAL:

The retention schedule for FOIA and Privacy Act request files follows General Records Schedule 14 and are retained two years after date of reply or six years after issuance of the appeal determination. If there is litigation in the underlying matter, the file is retained for three years after the litigation is completed. Requests for advisory opinions and the replies thereto are retained indefinitely, requests for information are destroyed one year after completion of project. Electronic index is destroyed six years after date of last entry.

SYSTEM MANAGER(S) AND ADDRESS:

Director of the Office of Participant Assistance and Communications
Director of the Office of Exemption Determinations
Director of the Office of Regulations and Interpretations
Director of the Office of Health Plan Standards and Compliance Assistance

Pension and Welfare Benefits Administration
U.S. Department of Labor
200 Constitution Avenue, NW
Washington, DC 20210.

Regional Directors in the following offices:

Atlanta Regional Office
61 Forsyth Street, Suite 7B54
Atlanta, GA 30303

Boston Regional Office
J.F.K. Building, Room 575
Boston, MA 02203

San Francisco Regional Office
71 Stevenson Street, Suite 915
P.O. Box 190250
San Francisco, CA 94119-250

District Supervisor
Seattle District Office
1111 Third Avenue
MIDCOM Tower, Suite 860
Seattle, WA 98101-3212

NOTIFICATION PROCEDURE:

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.

RECORDS ACCESS PROCEDURES:

Same as notification procedure. Individuals requesting access must also comply with U. S. Department of Labor Privacy Act regulations on verification of identity at 29 CFR 71.2.

CONTESTING RECORD PROCEDURES:

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.

RECORD SOURCE CATEGORIES:

Correspondence from individuals and responses thereto.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:

None.