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Privacy Act Systems - DOL/EBSA-12

DOL/EBSA-12

SYSTEM NAME:

Delinquent Filer Voluntary Compliance Program (DFVC) Tracking System; Delinquent Filer Voluntary Compliance Program 99.

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

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:

Fiduciaries who failed to comply with plan administrator fiduciary responsibilities; non-filers, stop filers and late filers of ERISA annual reports who voluntarily seek relief of reporting penalties after filing appropriate annual report(s).

CATEGORIES OF RECORDS IN THE SYSTEM:

Information including plan name, plan administrator's name, service provider's name, trustee's name, addresses and names of other individuals involved in the DFVC program. Information about individuals may contain Personally Identifiable Information (PII).

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 1134 and 1136.

PURPOSE(S):

The Office of the Chief Accountant (OCA) uses the application to track records of participants of the EBSA Delinquent Filer Voluntary Compliance Program.

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

In addition to the universal routine uses listed in the General Prefatory Statement to this document, records of plans that participate in the DFVC program help to avoid opening investigations by the OCA for violations that would otherwise be subject to more strict penalties.

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 paper.

RETRIEVABILITY:

Files are retrieved using a relational database and Form 5500 plan identifiers such as plan name, plan number, city, state and unique case ID.

SAFEGUARDS:

Access by authorized personnel only. Computer security safeguard are used for electronically stored data and locked locations for paper files.

RETENTION AND DISPOSAL:

In accordance with Records Schedule N1-317-92-1, manual records are maintained in the Office of the Chief Accountant for up to two years after case closure, then transferred to the Federal Records Center for retention for an additional six 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 the Chief Accountant, U.S. Department of Labor, Employee Benefits Security Administration, 200 Constitution Avenue, NW, Washington, DC 20210.

NOTIFICATION PROCEDURE:

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 submissions of filings by Plan Administrators and Plan Sponsors under the EBSA DFVC Program.

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 I(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.

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 subsectioI(c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G), (H), and (I), and (f) of 5 U.S.C. 552a.