[Federal Register Volume 68, Number 178 (Monday, September 15, 2003)]
[Notices]
[Pages 54012-54015]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-23403]


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DEPARTMENT OF LABOR

Office of the Secretary


Privacy Act of 1974; Publication of Amendments to Existing 
Systems of Records

AGENCY: Office of the Secretary, Labor.

ACTION: Notice of Amendments to Existing Systems of Records.

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SUMMARY: The Privacy Act of 1974 requires that each agency publish 
notice of all proposed and final amendments to the systems of records 
that it maintains. This document proposes to add two routine uses to an 
existing system of records, and it makes an administrative amendment to 
a second system of records.

DATES: Persons wishing to comment on the proposed routine uses to the 
existing system of records may do so by October 27, 2003.

EFFECTIVE DATE: Unless there is a further notice in the Federal 
Register, these routine uses will become effective on November 10, 
2003. The amendment to DOL/CFO-2 is administrative (non-substantive) 
and therefore will become effective on September 15, 2003.

ADDRESSES: Written comments may be mailed or delivered to Robert A. 
Shapiro, Associate Solicitor, Division of Legislation and Legal 
Counsel, 200 Constitution Avenue, NW., Room N-2428, Washington, DC 
20210 or by e-Mail to [email protected].

FOR FURTHER INFORMATION CONTACT: Miriam McD. Miller, Co-Counsel for 
Administrative Law, Office of the Solicitor, Department of Labor, 200 
Constitution Avenue, NW, Room N-2428, Washington, DC 20210, telephone 
(202) 693-5522.

SUPPLEMENTARY INFORMATION: Pursuant to section three of the Privacy Act 
of 1974 (5 U.S.C. 552a(e)(4)), hereinafter referred to as the Act, the 
Department hereby proposes to add two routine uses to an existing 
system of records, and it makes an administrative amendment to another 
system of records.
    On April 8, 2002, in Volume 67 at Page 16816 of the Federal 
Register, the Department published a notice of 147 systems of records 
which are maintained under the Act. On February 6, 2003, in 68 FR 6185, 
a new system of records was published by the Office of the 21st Century 
Workforce. That system is entitled DOL/21st CENTURY-1, Correspondents 
With the Office of the 21st Century Workforce.
    A. At this time, with respect to DOL/OIG-3, the Office of the 
Inspector General(OIG) proposes to amend the category for Routine Uses 
by adding two new paragraphs. The first new paragraph will allow the 
disclosure of information to the President's Council on Integrity and 
Efficiency (PCIE) for the purpose of accurate reporting to the 
President and Congress on the activities of the Inspectors General. The 
second new paragraph will allow the disclosure of information to 
members of the PCIE, the Department of Justice, the Federal Bureau of 
Investigation, or the U.S. Marshals Service, as necessary, for the 
purpose of investigative qualitative assessment reviews to ensure 
adequate internal safeguards and management procedures are maintained. 
This second routine use is needed to enable the OIG to comply with the 
recently enacted Homeland Security Act of 2002 (Pub. L. 107-296, 
November 25, 2002). Specifically, subsection 812(a) of that Act 
requires that memoranda of understanding be entered into so that an 
external review process be established to ensure that adequate internal 
safeguards and management procedures exist within each OIG Office that 
receives authorization under paragraph (2) of section 812 (a), which 
significantly expands the OIGs' police powers.
    B. In a second administrative (nonsubstantive) amendment, with 
respect to DOL/OCFO-2, the Office of the Chief Financial Officer (CFO), 
hereby amends the category for Categories of Records in the System by 
adding three items of information, which are the ``financial 
institution code, the bank account number, and the bank account type''. 
Comment by the public on this addition is not necessary.

General Prefatory Statement

    1. In its April 8, 2002 publication, the Department gave notice of 
twelve paragraphs containing routine uses which apply to all of its 
systems of records, except for DOL/OASAM-5 and DOL/OASAM-7. These 
twelve paragraphs were presented in the General Prefatory Statement for 
that document, and it appeared at Page 16825 of Volume 67 of the 
Federal Register. At this time we are republishing the April 8, 2002 
version of the General Prefatory Statement as a convenience to the 
reader of this document. This General Prefatory Statement was also 
republished on February 6, 2003, at 68 FR 6185-6187.
    2. This republication shall include the statement that pursuant to 
the Flexiplace Program, the system location for all systems of records 
may be temporarily located at alternate worksites, including the 
employees' homes or at geographically convenient satellite offices for 
part of the workweek.
    The public, the Office of Management and Budget (OMB), and the 
Congress are invited to submit written comments on the proposed two 
routine uses. A report on these proposed routine uses, and the 
amendment to DOL/OCFO-2, has been provided to OMB and to the Congress 
as required by OMB Circular A-130, Revised, and 5 U.S.C. 552a.

General Prefatory Statement

A. Universal Routine Uses of the Records

    The following routine uses of the records apply to and are 
incorporated by reference into each system of records published below 
unless the text of a particular notice of a system of records indicates 
otherwise. These routine uses do not apply to DOL/OASAM--5, 
Rehabilitation and Counseling File, nor to DOL/OASAM--7, Employee 
Medical Records.
    1. To disclose the records to the Department of Justice when:
    The agency or any component thereof; or (b) any employee of the 
agency in his or her official capacity; or (c) the United States 
Government, is a party to litigation or has an interest in such 
litigation, and by careful review, the agency determines that the 
records are both relevant and necessary to the litigation, and the use 
of such records by the Department of Justice is for a purpose that is 
compatible with the purpose for which the agency collected the records.
    2. To disclose the records in a proceeding before a court or 
adjudicative body, when: (a) The agency or any component thereof; or 
(b) any employee of the agency in his or her official capacity; or (c) 
any employee of the agency in his or her individual capacity; or (d) 
the United States Government, is a party to litigation or has an 
interest in such litigation, and by careful review, the agency 
determines that the records are both relevant and necessary to the 
litigation, and that the use of such records is a purpose that is 
compatible with the purpose for which the agency collected the records.
    3. When a record on its face, or in conjunction with other 
information,

[[Page 54013]]

indicates a violation or potential violation of law, whether civil, 
criminal or regulatory in nature, and whether arising by general 
statute or particular program statute, or by regulation, rule, or order 
issued pursuant thereto, disclosure may be made to the appropriate 
agency, whether Federal, foreign, 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 
the agency determines by careful review that the records or information 
are both relevant and necessary to any enforcement, regulatory, 
investigative or prosecutive responsibility of the receiving entity, 
and that the use of such records or information is for a purpose that 
is compatible with the purposes for which the agency collected the 
records.
    4. To a Member of Congress or to a Congressional staff member in 
response to an inquiry of the Congressional office made at the written 
request of the constituent about whom the record is maintained.
    5. 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.
    6. To disclose to contractors, employees of contractors, 
consultants, grantees, and volunteers who have been engaged to assist 
the agency in the performance of or working on a contract, service, 
grant, cooperative agreement or other activity or service for the 
Federal Government.

    Note 1. Recipients shall be required to comply with the 
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a; 
see also 5 U.S.C. 552a(m).


    7. To the parent locator service of the Department of Health and 
Human Services or to other authorized persons defined by Public Law 
93--647 the name and current address of an individual for the purpose 
of locating a parent who is not paying required child support.
    8. To any source from which information is requested in the course 
of a law enforcement or grievance investigation, or in the course of an 
investigation concerning retention of an employee or other personnel 
action, the retention of a security clearance, the letting of a 
contract, the retention of a grant, or the retention of any other 
benefit, to the extent necessary to identify the individual, inform the 
source of the purpose(s) of the request, and identify the type of 
information requested.
    9. To a Federal, State, local, foreign, or tribal or other public 
authority of the fact that this system of records contains information 
relevant to the hiring or retention of an employee, the granting or 
retention of a security clearance, the letting of a contract, a 
suspension or debarment determination or the issuance or retention of a 
license, grant, or other benefit.
    10. To the Office of Management and Budget during the coordination 
and clearance process in connection with legislative matters.
    11. To the Department of the Treasury, and a debt collection agency 
with which the United States has contracted for collection services to 
recover debts owed to the United States.
    12. To the news media and the public when (1) the matter under 
investigation has become public knowledge, (2) the Solicitor of Labor 
determines that disclosure is necessary to preserve confidence in the 
integrity of the Department or is necessary to demonstrate the 
accountability of the Department's officers, employees, or individuals 
covered by this system, or (3) the Solicitor of Labor determines that 
there exists a legitimate public interest in the disclosure of the 
information, except to the extent that the Solicitor of Labor 
determines in any of these situations that disclosure of specific 
information in the context of a particular case would constitute an 
unwarranted invasion of personal privacy.

B. System Location--Flexiplace Programs

    The following paragraph applies to and is incorporated by reference 
into all of the Department's systems of records under the Privacy Act, 
within the category entitled, SYSTEM LOCATION:
    ``Pursuant to the Department of Labor's Flexiplace Programs, copies 
of records may be temporarily located at alternative worksites, 
including employees' homes or at geographically convenient satellite 
offices for part of the workweek. All appropriate safeguards will be 
taken at these sites.''

I. Publication of a Proposed Amendment

    DOL/OIG-3, is proposed to be amended by revising the category of 
Routine Uses to read as set forth below. For the convenience of the 
reader, the entire system is being republished in full. The current 
version of this system is published at 67 FR 16908, April 8, 2002.
DOL/OIG-3

System Name:
    Investigative Case Files, Case Development and Intelligence 
Records.

Security Classification:
    Not applicable.

System Location:
    Office of Inspector General, U.S. Department of Labor, 200 
Constitution Avenue, NW, Washington, DC 20210 and in the OIG regional 
and field offices.

Categories of Individuals Covered by the System:
    Individuals or entities known or suspected of being involved in or 
associated with criminal activity, labor racketeering, or other 
violation of law or regulation and associates of those individuals.

Categories of Records in the System:
    The system of records contains materials related to criminal and 
civil investigations, intelligence and other background information 
based on reasonable suspicion of criminal activity; statements and 
other material from subjects and witnesses; information from government 
investigatory or law enforcement organizations and projects (federal, 
state, local or international); investigative notes and reports; 
summary information for indexing and cross-referencing; other evidence 
and background materials existing in any form (e.g. audio or video 
tape, photographs, computer tapes or disks).

Authority for Maintenance of the System:
    5 U.S.C. App 3; the Act of March 4, 1913 (37 Stat. 736) 29 U.S.C. 
551; Secretary's Order 2-90, dated January 31, 1990 concerning the 
authorization and organization of the Office of Inspector General at 
the Department; and the Omnibus Crime Control Act of 1984; and 28 CFR 
23.1.

Purpose(s):
    This system of records is maintained as a repository for: (1) 
Records created as a result of targeting, surveys and projects for the 
development of cases and investigations for the Office of 
Investigations and for the Office of Labor Racketeering; (2) 
intelligence information concerning individuals identified as potential 
violators of criminal, labor and labor-related laws and other 
individuals associated with them; and (3) for other research and 
analysis to share with other law enforcement organizations if in 
compliance with 28 CFR 23.1.

[[Page 54014]]

Routine Uses of Records Maintained in the System Including Categories 
of Users and the Purposes of Such Uses:
    A. Referral to federal, state, local and foreign investigative and/
or prosecutive authorities. A record from a system of records, which 
indicates either by itself or in combination with other information 
within the agency's possession a violation or potential violation of 
law, whether civil, criminal or regulatory and whether arising by 
general statute or particular program statute, or by regulation, rule 
or order issued pursuant thereto, may be disclosed as a routine use, to 
the appropriate federal, foreign, state or local agency or professional 
organization charged with the responsibility of investigating or 
prosecuting such violation or charged with enforcing or implementing or 
investigating or prosecuting such violation or charged with enforcing 
or implementing the statute or rule, regulation or order issued 
pursuant thereto.
    B. Introduction to a grand jury. A record from a system of records 
may be disclosed, as a routine use, to a grand jury agent pursuant 
either to a federal or state grand jury subpoena or to a prosecution 
request that such record be released for the purpose of its 
introduction to a grand jury.
    C. Referral to federal, state, local or professional licensing 
boards. A record from a system of records may be disclosed, as a 
routine use, to any governmental, professional or licensing authority 
when such record reflects on qualifications, either moral, educational 
or vocational, of an individual seeking to be licensed or to maintain a 
license.
    D. Disclosure to contractor, grantee or other indirect recipient of 
federal funds to allow such entity to effect corrective action in 
agency's best interest. A record from a system of records may be 
disclosed, as a routine use, to any direct or indirect recipient of 
federal funds where such record reflects serious inadequacies with a 
recipient's personnel, and disclosure of the record is made to permit a 
recipient to take corrective action beneficial to the Government.
    E. Disclosure to any source, either private or governmental, to the 
extent necessary to solicit information relevant to any investigation, 
audit or inspection. A record from a system of records may be 
disclosed, as a routine use, to any source, either private or 
governmental, to the extent necessary to secure from such source 
information relevant to and sought in furtherance of an investigation, 
audit, or evaluation.
    F. Disclosure to any domestic or foreign governmental agencies for 
personnel or other action. A record from a system of records may be 
disclosed, as a routine use, to a federal, state, local, foreign or 
international agency, for their use in connection with such entity's 
assignment, hiring or retention of an individual, issuance of a 
security clearance, reporting of an investigation of an individual, 
letting of a contract or issuance of a license, grant or other benefit, 
to the extent that the information is relevant and necessary to such 
agency's decision on the matter.
    G. Disclosure to a board of contract appeals, GAO or any other 
entity hearing a contractor protest or dispute. A record from a system 
of records may be disclosed, as a routine use, to the United States 
General Accounting Office, to a board of contract appeals, or to the 
claims court in bid protest cases or contract dispute cases involving 
procurement.
    H. Disclosure to domestic or foreign governmental law enforcement 
agency in order to obtain information relevant to an OIG or DOL 
decision. A record from a system of records may be disclosed, as a 
routine use, to a domestic or foreign governmental agency maintaining 
civil, criminal or other relevant enforcement information, or other 
pertinent information, in order to obtain information relevant to an 
OIG or DOL decision concerning the assignment, hiring, or retention of 
an individual, the issuance of a security clearance, the letting of a 
contract, or the issuance of a license, grant, or other benefit, or 
which may be relevant to an OIG or DOL investigation, audit, or 
evaluation.
    I. Disclosure to OMB or DOJ regarding Freedom of Information Act 
and Privacy Act advice. Information from a system of records may be 
disclosed, as a routine use, to the Office of Management and Budget or 
the Department of Justice in order to obtain advice regarding statutory 
or other requirements under the Freedom of Information Act or Privacy 
Act.
    J. Disclosure pursuant to the receipt of a valid subpoena. A record 
from a system of records may be disclosed, as a routine use, in 
response to a facially valid subpoena for the record. Disclosure may 
also be made when a subpoena or order is signed by a judge from a court 
of competent jurisdiction.
    K. Disclosure to Treasury and DOJ in pursuance of an ex parte court 
order to obtain taxpayer information from the IRS. A record from a 
system of records may be disclosed, as a routine use, to the Department 
of Treasury and the Department of Justice when the OIG seeks an ex 
parte court order to obtain taxpayer information from the Internal 
Revenue Service.
    L. Disclosure to a consumer reporting agency in order to obtain 
relevant investigatory information. A record from a system of records 
may be disclosed, as a routine use, to a ``consumer reporting agency'' 
as that term is defined in the Fair Credit Reporting Act (15 U.S.C. 
1681a(f)) and the Federal Claims Collection Act of 1966 (31 U.S.C. 
3701(a)(3)), for the purposes of obtaining information in the course of 
an investigation, audit, or evaluation.
    M. Disclosure in accordance with computer matching laws, 
regulations and/or guidelines. A record may be disclosed to a federal, 
state, or local agency for use in computer matching programs to prevent 
and detect fraud and abuse in benefit programs administered by those 
agencies, to support civil and criminal law enforcement activities of 
those agencies and their components, and to collect debts and 
overpayments owed to the agencies and their components. This routine 
use does not provide unrestricted access to records for such law 
enforcement and related anti-fraud activities; each request for 
disclosure will be considered in light of the applicable legal and 
administrative requirements for the performance of a computer matching 
program or procedure.
    N. Disclosure to members of the President's Council on Integrity 
and Efficiency, for the preparation of reports to the President and 
Congress on the activities of the Inspectors General.
    O. Disclosure to members of the President's Council on Integrity 
and Efficiency, the Department of Justice, the Federal Bureau of 
Investigation, or the U.S. Marshals Service, as necessary, for the 
purpose of conducting qualitative assessment reviews of the 
investigative operations of the DOL OIG to ensure that adequate 
internal safeguards and management procedures are maintained.

Disclosure to Consumer Reporting Agencies:
    None.

Policies and Practices for Storing, Retrieving, Accessing, and 
Disposing of Records in the System:
Storage:
    The records are stored on a variety of mediums including paper, 
magnetic tapes or discs, and/or optical digital data discs.

[[Page 54015]]

Retrievability:
    Retrievable by name of individual subject, other personal 
identifiers and other non-personal elements.

Safeguards:
    Available on an official need-to-know basis and kept in locked 
storage when not in use. Offices containing records are restricted to 
authorized personnel only. Any automated data can only be accessed by a 
password from an authorized user. Computer terminals with access are 
away from general staff and housed in locked offices.

Retention and Disposal:
    Closed Labor Racketeering case files are retired to the Federal 
Records Center and retained for 20 years. All other cases are destroyed 
10 years after the files are closed. Intelligence information 
maintained in electronic files are reviewed every 5 years for relevance 
and importance. Information deemed obsolete or otherwise unreliable is 
deleted after 5 years. Electronic information for which accuracy of 
information and reliability of source cannot be confirmed is deleted 
after 1 year. Electronic Information collected for which reliability of 
source and reasonable suspicion of criminal activity has been confirmed 
and linked to long term, known organized crime activity can be kept in 
excess of 5 years. All records are destroyed 20 years after cut off 
date.

System Manager(s) and Address:
    Assistant Inspector General for Investigations, OIG/DOL, 200 
Constitution Avenue, NW., Washington, DC 20210.

Notification Procedure:
    Inquiries concerning this system can be directed to: Disclosure 
Officer, OIG, 200 Constitution Avenue, NW, Washington, DC 20210. 
Inquiries must comply with the requirements in 29 CFR part 71.

Record Access Procedure:
    Individuals can request access to any record pertaining to him/her 
by mailing a request to the Disclosure Officer listed above and in 
accordance with 29 CFR 71.2.

Contesting Record Procedures:
    Individuals desiring to contest or amend information maintained in 
the system should direct their request to the Disclosure Officer listed 
in 29 CFR Part 71. In addition, the request should state clearly and 
concisely what information is being contested, the reasons for 
contesting it, and the proposed amendment sought for the information. 
See 29 CFR part 71.

Systems Exempted from Certain Provisions of the Act:
    The Secretary of Labor has promulgated regulations which exempt 
information contained in this system of records from various provisions 
of the Privacy Act depending upon the purpose for which the information 
was gathered and for which it will be used. The various law enforcement 
purposes and the reasons for the exemptions are as follow:
    (a) Criminal Law Enforcement: Information compiled for this purpose 
is exempt from all of the provisions of the Act except the following 
sections: (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), 
(10), and (11), and (i). This material is exempt because the disclosure 
and other requirements of the Act would substantially compromise the 
efficacy and integrity of OIG operations in a number of ways. Indeed, 
disclosure of even the existence of these files would be problematic.
    Disclosure could enable suspects to take action to prevent 
detection of criminal activities, conceal evidence, or escape 
prosecution. Required disclosure of information contained in this 
system could lead to the intimidation of, or harm to, informants, 
witnesses and their respective families or OIG personnel and their 
families.
    Disclosure could invade the privacy of individuals other than 
subjects and disclose their identity when confidentiality was promised 
to them. Disclosures from these files could interfere with the 
integrity of other information which would otherwise be privileged, 
see, e.g., 5 U.S.C. 552(b)(5) and which could interfere with other 
important law enforcement concerns, see, e.g., 5 U.S.C. 552(b)(7).
    The requirement that only relevant and necessary information be 
included in a criminal investigative file is contrary to good 
investigative practices which require a full and complete inquiry and 
exhaustion of all potential sources of information. 5 U.S.C. 
552a(e)(1). Similarly, maintaining only those records which are 
accurate, relevant, timely and complete and which assure fairness in a 
determination is contrary to established investigative techniques. 5 
U.S.C. 552a(e)(5). Requiring investigators to obtain information to the 
greatest extent practicable directly from the subject individual would 
be counterproductive to performance of a clandestine criminal 
investigation. 5 U.S.C. 552a(e)(2). Finally, providing notice to an 
individual interviewed of the authority of the interviewer, the purpose 
to which the information provided may be used, the routine uses of that 
information and the effect upon the individual should he choose not to 
provide the information sought could discourage the free flow of 
information in a criminal law enforcement inquiry. 5 U.S.C. 552a(e)(3).
    (b) Other Law Enforcement: In accordance with 5 U.S.C. 552a(k)(2), 
investigatory material compiled for law enforcement purposes (to the 
extent it is not already exempted by 5 U.S.C. 552a(j)(2)), is exempted 
from the following provisions of the ACT: (c)(3), (d), (e)(1), 
(e)(4)(G), (H), (I) and (f). This material is exempt because the 
disclosure and other requirements of the act could substantially 
compromise the efficacy and integrity of OIG operations. Disclosure 
could invade the privacy of other individuals and disclose their 
identity when they were expressly promised confidentiality.
    Disclosure could interfere with the integrity of information which 
would otherwise be subject to privileges, see, e.g., 5 U.S.C. 
552(b)(5), and which could interfere with other important law 
enforcement concerns. See, e.g., 5 U.S.C. 552(b)(7).
II. Publication of an Amendment
    DOL/OCFO-2, Department of Labor Accounting and Related Systems, is 
amended by adding the following words, ``financial institution code, 
bank account number, and bank account type'', to the category entitled 
Categories of Records in the System. The current version of this system 
appears at 67 FR 16863, April 8, 2002.

    Signed at Washington, DC, this 3rd day of September, 2003.
Elaine L. Chao,
Secretary of Labor.
[FR Doc. 03-23403 Filed 9-12-03; 8:45 am]
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