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Privacy Act Systems - DOL/EBSA-15

DOL/EBSA-15

SYSTEM NAME:

Fee Disclosure Failure Notice Database.

SECURITY CLASSIFICATION:

None.

SYSTEM LOCATION:

Office of Enforcement, EBSA, U.S. Department of Labor, 200 Constitution Ave., N.W., Washington, D.C. 20210, and all EBSA field offices as listed in Appendix A to this document.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Responsible plan fiduciaries and covered service providers.

CATEGORIES OF RECORDS IN THE SYSTEM :

Records include plan name, fiduciary's name, and service provider's name, relating to contracts and arrangements between plans and service providers.

AUTHORITY FOR THE MAINTENANCE OF THE SYSTEM:

29 U.S.C. § 1104, 29 U.S.C. § 1108, and 29 U.S.C. §§ 1134-1136.

PURPOSE(S):

This system of records maintains information related to the notice responsible plan fiduciaries submit, as a condition of the class exemption under 29 U.S.C. §2550.408b-2(c)(1)(ix), regarding service providers who have failed to make disclosures as required under 29 U.S.C. §2550.408b-2(c). The Office of Enforcement and EBSA field offices will use the information to carry out their enforcement responsibilities under Title I of the Employee Retirement Income Security Act of 1974 (ERISA), including the fee and expense disclosure requirements of 29 U.S.C. §2550.408b-2(c) and 29 U.S.C. §2550.404a-5.

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 in this system may be disclosed, subject to the restrictions imposed by various statutes or rules, such as the Privacy Act, to any department or agency of the United States; 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.

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 from the electronic database by the name of the plan, name of the responsible plan fiduciary, service provider name, or the name of a contact person for the plan or service provider. Records are also retrieved by the plan number, the plan sponsor's employer identification number (EIN), or the covered service provider's 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 Records Schedule Number N1-317-92-1, records are retained by the Office of Enforcement for one year after receipt or completion by voluntary compliance or litigation or subsequent related actions, whichever is later, and then transferred to the Federal Records Center and kept for seven (7) years and then destroyed. Electronic database files are retained for the same period as manual files.

SYSTEM MANAGER(S) AND ADDRESS:

In the National Office: the Director of Enforcement, Employee Benefits Security Administration, US Department of Labor, 1200 Constitution Avenue, NW, Washington, DC 20210.

In the Regional offices: the Regional Director.

In the District offices: the District Supervisor.

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 plan fiduciaries, investigators, and other appropriate Office of Enforcement or EBSA field office staff.

SYSTEMS EXEMPTED FROM CERTAIN CATEGORIES:

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 this system of records 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), and (e)(1) and (4)(G), (H), and (I) and (f) of 5 U.S.C. §552a.