Office of Exemption Determination (OED) ERISA Section 502(l) Files; OED Case Tracking System.
Office of Exemption Determinations and Office of Technology and Information Services, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Individuals who have petitioned the Secretary of Labor for relief from the monetary penalties imposed under ERISA Sec. 502(l).
CATEGORIES OF RECORDS IN THE SYSTEM:
Letters from individuals seeking relief from the 502(l) penalties, attachments supporting their petitions for relief, the Department's replies thereto, and related internal memoranda, including notes pertaining to meetings and telephone calls. Includes names and addresses.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
29 U.S.C. 1108 and 29 U.S.C. 1135.
These records are maintained to document the Department's response to petitioners' requests for relief from the section 502(l) penalties. Such penalties are imposed upon those who are found to have violated the fiduciary and prohibited transaction provisions of Part 4 of Title I of ERISA.
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:
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:
Files are stored electronically and/or on paper.
Files are retrieved by name of requestor and/or control number using a computerized index.
Access to these records is limited to authorized EBSA staff. Computer system is password protected and accessible only to personnel creating the database.
RETENTION AND DISPOSAL:
In accordance with Records Schedule Number N1-317-93-1, manual records are maintained in the Office of Exemption Determinations for up to two years after case closure, then transferred to the Federal Records Center for retention for an additional 23 years. Electronic records are destroyed on the same schedule as the manual files or when no longer needed, whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:
Director, Office of Exemption Determinations, Employee Benefits Security Administration, U.S. Department of Labor, 200 Constitution Avenue, NW, Suite 400, Washington, DC 20210.
Inquiries should be mailed to the System Manager.
RECORDS 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 individuals requesting a 502(l) exemption and the responses thereto.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS OF THE ACT: