Notice2023-13531
Privacy Act of 1974; Systems of Records
Primary source
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Published
June 27, 2023
Effective
July 27, 2023
Issuing agencies
Pension Benefit Guaranty Corporation
Abstract
Pursuant to the Privacy Act of 1974, the Pension Benefit Guaranty Corporation (PBGC) is proposing to establish a new system of records, "PBGC-29: Freedom of Information Act and Privacy Act Request Records--PBGC" to reflect PBGC's current practice of processing requests for records made under the provisions of the Freedom of Information Act (FOIA)/Privacy Act (PA), and to assist PBGC in carrying out other responsibilities relating to FOIA and PA including operational, management, and reporting purposes.
Full Text
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<title>Federal Register, Volume 88 Issue 122 (Tuesday, June 27, 2023)</title>
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[Federal Register Volume 88, Number 122 (Tuesday, June 27, 2023)]
[Notices]
[Pages 41663-41666]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-13531]
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PENSION BENEFIT GUARANTY CORPORATION
Privacy Act of 1974; Systems of Records
AGENCY: Pension Benefit Guaranty Corporation.
ACTION: Notice of new system of records.
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SUMMARY: Pursuant to the Privacy Act of 1974, the Pension Benefit
Guaranty Corporation (PBGC) is proposing to establish a new system of
records, ``PBGC-29: Freedom of Information Act and Privacy Act Request
Records--PBGC'' to reflect PBGC's current practice of processing
requests for records made under the provisions of the Freedom of
Information Act (FOIA)/Privacy Act (PA), and to assist PBGC in carrying
out other responsibilities relating to FOIA and PA including
operational, management, and reporting purposes.
DATES: The new systems of records described herein will become
effective July 27, 2023, without further notice, unless comments result
in a contrary determination and a notice is published to that effect.
Comments must be received on or before July 27, 2023 to be assured of
consideration.
ADDRESSES: You may submit written comments to PBGC by any of the
following methods:
<bullet> Federal eRulemaking Portal: Follow the website
instructions for submitting
[[Page 41664]]
comments at <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
<bullet> Email: <a href="/cdn-cgi/l/email-protection#82f0e7e5ace1edefefe7ecf6f1c2f2e0e5e1ace5edf4"><span class="__cf_email__" data-cfemail="d3a1b6b4fdb0bcbebeb6bda7a093a3b1b4b0fdb4bca5">[email protected]</span></a>. Refer to SORN in the subject
line.
<bullet> Mail or Hand Delivery: Regulatory Affairs Division, Office
of the General Counsel, Pension Benefit Guaranty Corporation, 445 12th
Street SW, Washington, DC 20024-2101.
Commenters are strongly encouraged to submit public comments
electronically. PBGC expects to have limited personnel available to
process public comments that are submitted on paper through U.S. mail.
Until further notice, any comments submitted on paper will be
considered to the extent practicable.
All submissions must include the agency's name (Pension Benefit
Guaranty Corporation, or PBGC) and reference this notice. Comments
received will be posted without change to PBGC's website, <a href="https://www.pbgc.gov">https://www.pbgc.gov</a>, including any personal information provided. Do not
submit comments that include any personally identifiable information or
confidential business information. Copies of comments may also be
obtained by writing to Disclosure Division, Office of the General
Counsel, Pension Benefit Guaranty Corporation, 445 12th Street SW,
Washington, DC 20024-2101, or calling 202-326-4040 during normal
business hours. (If you are deaf or hard of hearing, or have a speech
disability, please dial 7 1 1 to access telecommunications relay
services.)
FOR FURTHER INFORMATION CONTACT: Shawn Hartley, Chief Privacy Officer,
Pension Benefit Guaranty Corporation, Office of the General Counsel,
445 12th Street SW, Washington, DC 20024-2101, 202-229-6321. For access
to any of PBGC's systems of records, contact D. Camilla Perry,
Disclosure Officer, Office of the General Counsel, Disclosure Division,
445 12th Street SW, Washington, DC 20024-2101, or by calling 202-229-
4040, or go to <a href="https://www.pbgc.gov/about/policies/pg/privacy-at-pbgc/system-of-records-notices">https://www.pbgc.gov/about/policies/pg/privacy-at-pbgc/system-of-records-notices</a>.
SUPPLEMENTARY INFORMATION:
PBGC Is Establishing a New SORN PBGC-29: Freedom of Information Act and
Privacy Act Request Records
PBGC is establishing a new SORN ``PBGC-29: Freedom of Information
Act and Privacy Act Request Records--PBGC'' to reflect PBGC's current
practice of processing requests for records made under the provisions
of the Freedom of Information Act (FOIA) and Privacy Act (PA) of 1974,
and to assist PBGC in carrying out other responsibilities relating to
FOIA and PA including operational, management, and reporting purposes.
Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to
submit written comments on the proposed changes described in this
notice. A report has been sent to Congress and the Office of Management
and Budget for their evaluation.
For the convenience of the public, PBGC's new system of records is
published in full below.
Issued in Washington, DC, by
Gordon Hartogensis,
Director, Pension Benefit Guaranty Corporation.
SYSTEM NAME AND NUMBER:
PBGC--29: Freedom of Information Act and Privacy Act Request
Records--PBGC
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Pension Benefit Guaranty Corporation (PBGC), 445 12th Street SW,
Washington, DC 20024-2101. (Records may be kept at an additional
location as backup for continuity of operations at AINS LLC, DBA
OPEXUS, 1101 17th St. NW #1200, Washington, DC 20036.)
SYSTEM MANAGER(S):
Deputy General Counsel, Office of the General Counsel (OGC), PBGC,
445 12th Street SW, Washington, DC 20024-2101.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 552, The Freedom of Information Act (FOIA), and 5 U.S.C.
552a, The Privacy Act of 1974 (PA).
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to process requests for records made
under the provisions of the FOIA and PA, and to assist PBGC in carrying
out other responsibilities relating to FOIA and PA including
operational, management, and reporting purposes.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals or their representatives who have submitted FOIA
requests, PA requests, or combined FOIA and PA requests for records or
information and administrative appeals or have litigation pending with
a federal agency; individuals whose requests, appeals or records have
been referred to PBGC by other agencies and/or the PBGC personnel
assigned to handle such requests, appeals and litigation.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records in the system may contain names, mailing addresses, email
addresses and telephone numbers of individuals making requests for
records or information pursuant to the FOIA/PA; online identity
verification information (User name and password), and any other
information voluntarily submitted, such as an individual's social
security number; tracking numbers, correspondence with the requester or
the requester's representatives, internal PBGC correspondence and
memoranda to or from other agencies or entities having a substantial
interest in the determination of the request; responses to the request
and appeals, and copies of responsive records. These records may
contain personal information retrieved in response to a request. FOIA
and PA case records may contain inquiries and requests regarding any of
PBGC's other systems of records subject to the FOIA and PA, and
information about individuals from any of these other systems may
become part of this system of records.
RECORD SOURCE CATEGORIES:
Requesters and persons acting on behalf of requesters, PBGC and
other Federal agencies having a substantial interest in the
determination of the request, and employees processing the requests.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Information about covered individuals may be disclosed without
consent as permitted by the Privacy Act of 1974, 5 U.S.C. 552a(b), and:
1. To law enforcement in the event the record is connected to a
violation or potential violation of law, whether civil, criminal or
regulatory in nature, and whether arising by general statute,
regulation, rule, or order issued pursuant thereto. Such disclosure may
be made to the appropriate agency, whether Federal, state, local, or
tribal, or other public authority responsible for enforcing,
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation, or order issued
pursuant thereto, if PBGC determines that the records are both relevant
and necessary to any enforcement, regulatory, investigative or
prospective responsibility of the receiving entity.
2. To a Federal, state, tribal or local agency or to another public
or private source maintaining civil, criminal, or other relevant
enforcement information or other pertinent information if, and to the
extent necessary, to obtain information relevant to a PBGC decision
concerning the hiring or retention of an
[[Page 41665]]
employee, the retention of a security clearance, or the letting of a
contract.
3. With the approval of the Director, Human Resources Department
(or his or her designee), the fact that this system of records includes
information relevant to a Federal agency's decision in connection with
the hiring or retention of an employee, the retention of a security
clearance, the letting of a contract, or the issuance of a license,
grant, or other benefit may be disclosed to that Federal agency.
4. A record from this system of records may be disclosed in a
proceeding before a court or other adjudicative body in which PBGC, an
employee of PBGC in his or her official capacity, an employee of PBGC
in his or her individual capacity whom PBGC (or the Department of
Justice (DOJ)) has agreed to represent is a party, or the United States
or any other Federal agency is a party and PBGC determines that it has
an interest in the proceeding, and if PBGC determines that the record
is relevant and necessary to the litigation and that the disclosure of
the records to use is compatible with the purpose for which PBGC
collected the information.
5. When PBGC, an employee of PBGC in his or her official capacity,
or an employee of PBGC in his or her individual capacity whom PBGC (or
DOJ) has agreed to represent is a party to a proceeding before a court
or other adjudicative body, or the United States or any other Federal
agency is a party and PBGC determines that it has an interest in the
proceeding, a record from this system of records may be disclosed to
DOJ if PBGC is consulting with DOJ regarding the proceeding or has
decided that DOJ will represent PBGC, or its interest, in the
proceeding and PBGC determines that the record is relevant and
necessary to the litigation and that the use is compatible with the
purpose for which PBGC collected the information.
6. A record from this system of records may be disclosed to a
congressional office in response to an inquiry from the congressional
office made at the request of the individual.
7. A record from this system of records may be disclosed to
appropriate agencies, entities, and persons when (1) PBGC suspects or
has confirmed that there has been a breach of the system of records;
(2) PBGC has determined that as a result of the suspected or confirmed
breach there is a risk of harm to individuals, PBGC (including its
information systems, programs and operations), the Federal Government,
or national security; and (3) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection
with PBGC's efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm.
8. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
9. To another Federal agency or Federal entity, when PBGC
determines that information from this system of records is reasonably
necessary to assist the recipient agency or entity in (1) responding to
a suspected or confirmed breach or (2) preventing, minimizing, or
remedying the risk of harm to individuals, the recipient agency or
entity (including its information systems, programs, and operations),
the Federal Government, or national security, resulting from a
suspected or confirmed breach.
10. To the extent needed to perform duties under the contract, to
third party contractors who are performing or working on a contract in
connection with the performance of an IT service or in support of
PBGC's Disclosure Division related to this system of records.
Recipients of these records shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a.
11. To respond to FOIA requests and appeals made through the
agencies electronic FOIA and PA request system, including the names of
FOIA requesters, dates related to the processing of the request, and a
description of the records sought by the requester (excluding any
personally identifiable information in the description of the records,
such as telephone or cell phone numbers, home or email addresses,
social security numbers), unless the requester asks for the redaction
of any personally identifiable information (PII). This information may
also be used to create a publicly available log of requests;
12. To assist PBGC in making an access determination, a record from
this system may be shared with (a) the person or entity that originally
submitted the record to the agency or is the subject of the record or
information; or (b) another Federal entity;
13. To the National Archives and Record Administration's (NARA),
Office of Government Information Services (OGIS), to the extent
necessary to fulfill its responsibilities in 5 U.S.C. 552(h), to review
administrative agency policies, procedures and compliance with the
FOIA, and to facilitate OGIS's offering of mediation services to
resolve disputes between persons making FOIA requests and
administrative agencies;
14. To the Department of Justice (DOJ), to the Department of the
Treasury, or to a consumer reporting agency for collection action for
unpaid FOIA fees when circumstances warrant; and,
15. To the Office of Management and Budget (OMB) or the DOJ to
obtain advice regarding statutory and other requirements under the FOIA
or Privacy Act.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are maintained in electronic databases. Records may also be
maintained on back-up tapes, or on a PBGC or a contractor-hosted
network.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records are retrieved by any one or more of the following: Name,
subject, request file/tracking number, or other data element as may be
permitted by an automated system.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records are maintained and destroyed in accordance with the
National Archives and Record Administration's (NARA) Basic Laws and
Authorities (44 U.S.C. 3301, et seq.) or a PBGC records disposition
schedule approved by NARA. Records existing on paper are destroyed
beyond recognition. Records existing on computer storage media are
destroyed according to the applicable PBGC media practice for
participant systems and will be maintained in accordance with PBGC
Records Schedule. See General Records Schedule (GRS) Items 4.2 Items
001, 010, 020, 040, 050, 090. See also PBGC Records Schedule Item 1.2:
Administrative Records--Privacy Act.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
PBGC has established security and privacy protocols that meet the
required security and privacy standards issued by the National
Institute of Standards and Technology (NIST). Records are maintained in
a secure, password protected electronic system that utilizes security
hardware and software to include multiple firewalls, active intruder
detection, and role-based access controls. PBGC has adopted appropriate
administrative, technical, and physical controls in accordance with
PBGC's security program to protect the confidentiality, integrity, and
availability of the information, and to ensure that records are not
disclosed to or accessed by unauthorized
[[Page 41666]]
individuals. Paper records are kept in file folders in areas of
restricted access that are locked after office hours.
Electronic records are stored on computer networks, which may
include cloud-based systems, and protected by controlled access with
Personal Identity Verification (PIV) cards, assigning user accounts to
individuals needing access to the records and by passwords set by
authorized users that must be changed periodically. Further, for
certain systems covered by this notice, heightened security access is
required. Such access is granted by the specific permissions group
assigned to monitor that particular system and only authorized
employees of the agency may retrieve, review or modify those records.
All employees are annually required to agree to and comply with PBGC's
Rules of Behavior with respect to PBGC's IT systems and PII.
RECORD ACCESS PROCEDURES:
Individuals, or third parties with written authorization from the
individual, wishing to request access to their records in accordance
with 29 CFR 4902.4, should submit a written request to the Disclosure
Officer, PBGC, 445 12th Street SW, Washington, DC 20024-2101, providing
their name, address, date of birth, and verification of their identity
in accordance with 29 CFR 4902.3(c), or via PBGC's online FOIA/PA
system the link to which is located at <a href="https://www.pbgc.gov/about/pg/footer/foia">https://www.pbgc.gov/about/pg/footer/foia</a>. Individuals or third parties will be required to provide
information to verify their identity when making a request.
CONTESTING RECORD PROCEDURES:
Individuals, or third parties with written authorization from the
individual, wishing to amend their records must submit a written
request, in accordance with 29 CFR 4902.5, identifying the information
they wish to correct in their file, in addition to following the
requirements of the Record Access Procedure above.
NOTIFICATION PROCEDURES:
Individuals, or third parties with written authorization from the
individual, wishing to learn whether this system of records contains
information about them should submit a written request to the
Disclosure Officer, PBGC, 445 12th Street SW, Washington, DC 20024-
2101, providing their name, address, date of birth, and verification of
their identity in accordance with 29 CFR 4902.3(c), or via PBGC's
online FOIA/PA system the link to which is located at <a href="https://www.pbgc.gov/about/pg/footer/foia">https://www.pbgc.gov/about/pg/footer/foia</a>. Individuals or third parties will be
required to provide information to verify their identity when making a
request.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
To the extent that copies of exempt records from other systems of
records are entered into this system, PBGC claims the same exemptions
for those records that are claimed for the original primary systems of
records from which they originated.
HISTORY:
None.
[FR Doc. 2023-13531 Filed 6-26-23; 8:45 am]
BILLING CODE 7709-02-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.