SYSTEM NAMES:
EBSA Enforcement Management System (electronic); EBSA Civil Litigation Case Tracking System (paper); EBSA Criminal Case Information System (paper).
SECURITY CLASSIFICATION:
None.
SYSTEM LOCATION:
Office of Technology and Information Services, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue, NW, Washington, DC 20210; Office of Enforcement, EBSA, U.S. Department of Labor, 200 Constitution Ave., NW, Washington, DC 20210, and all EBSA field offices as listed in the Appendix A to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Plan administrators, trustees, and those individuals who provide advice or services to employee benefit plans, and other individuals (such as the named defendants) involved in investigations and enforcement actions.
CATEGORIES OF RECORDS IN THE SYSTEM:
Records tracked electronically includes fields such as 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. Case notes are entered to document case activity during the investigative process.
In addition to an electronic database, paper case files are generated for enforcement activities, both civil and criminal.
AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1134 and 29 U.S.C. 1136.
PURPOSE(S):
This system of records is used to access information related to case files involving 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 or criminal in nature.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSE OF SUCH USES:
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 of Title 26 shall be made available only in accordance with regulations prescribed by the Secretary of the Treasury. Consistent with DOL's enforcement mission, records of individuals debarred under 29 U.S.C. 1111 will be posted on EBSA's website.
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
Files are stored electronically and/or on paper.
RETRIEVABILITY:
Records are retrieved from the electronic database by the name of the plan, service provider name, trustee name, or the name of another individual (such as the named defendant) involved in the investigation or enforcement action. Records are also retrieved by case number, the plan's employer identification number (EIN) and plan number (if known), or service provider or trustee EIN.
SAFEGUARDS:
Access by authorized personnel only. Computer security safeguards are used for electronically stored data and locked locations for paper files.
RETENTION AND DISPOSAL:
In accordance with the Records Schedule, NCI-317-00-02, records are retained for one year after case completion by voluntary compliance or litigation, or related actions following voluntary compliance or litigation. After one year, the case files are transferred to the Federal Records Center for seven (7) years and then destroyed. The electronic database files are retained permanently.
SYSTEM MANAGER(S) AND ADDRESS:
In the national office: Director of Enforcement, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Washington, DC 20210. In the Regional offices: the Regional Director (as listed in the Appendix to this document; in the District Offices: the District Supervisor (as listed in the Appendix A to this document).
NOTIFICATION PROCEDURES:
Inquiries should be mailed to the System Manager.
RECORD ACCESS PROCEDURES:
A request for access should be mailed to the System Manager.
CONTESTING RECORD PROCEDURES:
A petition for amendment should be mailed to the System Manager.
RECORD SOURCE CATEGORIES:
Information contained in this system is obtained from 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 EBSA field offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT:
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 EBSA'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), (H) and (I), and (f) of 5 U.S.C. 552a.