Privacy Act Issuances for the Department of the Labor, 1995

[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]

DEPARTMENT OF THE LABOR

Table of Contents

General Prefatory Statement
Government-Wide Systems by the U.S. Department of Labor
DOL/GOVT-1--Office of Workers' Compensation Programs, Federal
Employees' Compensation File (formerly known as DOL/ESA-
13).
DOL/GOVT-2--Job Corps Student Records (formerly known as DOL/
ETA-14).
Office of the Secretary (OSEC)
DOL/OSEC-1--Supervisor's Records of Employees.
DOL/OSEC-4--Credit Data on Individual Debtors.
DOL/OSEC-5--High Performance Work Place Tracking Database.
Office of the Assistant Secretary for Administration and
Management (OASAM)
DOL/OASAM-1--Attendance, Leave and Payroll File.
DOL/OASAM-4--Occupational Accident/Injury/Illness Reporting
System (AIIRS) File.
DOL/OASAM-5--Rehabilitation and Counseling File.
DOL/OASAM-7--Employee Medical Records.
DOL/OASAM-11--Training Information System.
DOL/OASAM-12--Administrative Grievance Records.
DOL/OASAM-14--Automated Position Control System.
DOL/OASAM-15--Travel and Transportation System.
DOL/OASAM-17--Equal Employment Opportunity Complaint Files.
DOL/OASAM-19--Negotiated Grievance Procedure and Unfair Labor
Practice Files.
DOL/OASAM-20--Personnel Investigation Records.
DOL/OASAM-22--Directorate of Civil Rights Citizen
Discrimination Complaint Files.
DOL/OASAM-23--Contracted Travel Service Program.
DOL/OASAM-24--Privacy Act/Freedom of Information Act Requests
Files Systems.
DOL/OASAM-25--Intergovernmental Personnel Act Assignment
Records.
DOL/OASAM-26--Frances Perkins Building Parking Management
System.
DOL/OASAM-27--Employee/Contractor Identification Program.
DOL/OASAM-28--Incident Report/Restriction Notice.
DOL/OASAM-29--OASAM Employee Administrative Investigation
File.
DOL/OASAM-30--Injury Compensation System (ICS).
DOL/OASAM-31--DOL Flexible Workplace (Flexiplace) Pilot
Programs Evaluation and Files.
DOL/PCEPD-1--Job Accomodation Network (JAN) Files.
Office of Administrative Appeals (OAA)
DOL/OAA-1--Administrative Appeals File.
Office of Administrative Law Judges (OALJs)
DOL/OALJ-1--Administrative Law Management System.
Office of the American Workplace (OAW)
DOL/OAW-1--Investigative Files.
DOL/OAW-2--List of Airline Employees Protected Under the
Rehire Program.
DOL/OAW-3--Semi-Annual Lists of Hired Employees.
DOL/OAW-4--Rehire Program Appelant and Injury File.
DOL/OAW-5--OLMP, Redwood Employee Protection Program, Health
and Welfare Claims and Benefits Payments.
Office of the Assistant Secretary for Policy (ASP)
DOL/ASP-1--National Agricultural Workers Survey (NAWS)
Research File.
Benefits Review Board (BRB)
DOL/BRB-1--Appeals Files-Benefits Review Board (BRB)
Bureau of International Labor Affairs (ILAB)
Arbitrators/Experts/Consultant Candidates' Biographies.
Senior TechnicalAssistance Register (STAR).
Bureau of Labor Statistics (BLS)
DOL/BLS-2--Staff Utilization System
DOL/BLS-3--Regional Office Staff Utilization File
DOL/BLS-4--Business Research Advisory Council
DOL/BLS-5--Labor Research Advisory Council
DOL/BLS-6--Applicant Race and National Origin (ARNO) System,
Form E 618
DOL/BLS-7--BLS Employee Conduct Investigation
DOL/BLS-8--BLS Employee ADP Training History
DOL/BLS-9--Routine Administrative Files
DOL/BLS-10--Commissioner's Correspondence Control System
DOL/BLS-11--NIH and Boeing User ID Database
DOL/BLS-12--Employee Acknowledgement Letter Control System
DOL/BLS-13--National Longitudinal Survey of Youth (NLSY)
Database
DOL/BLS-14--Collection Procedures Research Lab Project Files
DOL/BLS-15--Management Research Files
DOL/BLS-16--Annual Survey of Occupational Injuries and
Illnesses
Employees' Compensation Appeals Board (ECAB)
DOL/ECAB-1--Employees' Compensation Appeals Board Docket
Records
DOL/ECAB-2--Employees' Compensation Appeals Board Disposition
Records
Employment Standards Administration (ESA)
DOL/ESA-2--Office of Federal Contract Compliance Programs,
Complaint Files.
DOL/ESA-5--Office of Workers' Compensation Programs, Black
Lung Antidiscrimination Files.
DOL/ESA-6--Office of Workers' Compensation Programs, Black
Lung Benefits Claim File.
DOL/ESA-12--Office of Workers' Compensation Programs, Black
Lung X-ray Interpretation File.
DOL/ESA-15--Office of Workers' Compensation Programs,
Longshore and Harbor Workers' Compensation Act Case Files.
DOL/ESA-24--Office of Workers' Compensation Programs,
Longshore and Harbor Workers' Compensation Act Special Fund
System.
DOL/ESA-25--Office of Federal Contract Compliance Programs,
Management Information System (OFCC/MIS).
DOL/ESA-26--Office of Workers' Compensation Programs,
Longshore and Harbor Workers' Compensation Act
Investigation Files.
DOL/ESA-27--Office of Workers' Compensation Programs,
Longshore and Harbor Workers' Compensation Act Claimant
Representatives.
DOL/ESA-28--Office of Workers' Compensation Programs,
Physicians and Health Care Providers Excluded Under the
Longshore Act.
DOL/ESA-29--Office of Workers' Compensation Programs,
Physicians and Health Care Providers Excluded Under the
Federal Employees' Compensation Act.
DOL/ESA-30--Office of Workers' Compensation Programs, Black
Lung Automated Support Package.
DOL/ESA-31--Office of Federal Contract Compliance Programs,
Time Reporting Information System (TRIS).
DOL/ESA-32--Employee Conduct Investigations.
DOL/ESA-33--ESA, Wage and Hour Division, Investigator's Weekly
Report.
DOL/ESA-34--Farm Labor Contractor Registration File.
DOL/ESA-35--Farm Labor Contractor Employee Registration File.
DOL/ESA-36--MSPA/FLCRA Civil Money Penalty Record Files.
DOL/ESA-37--MSPA Public Central Registry Records File.
DOL/ESA-38--Wage and Hour Regional Office Clearance List--MSPA
Registration.
DOL/ESA-39--State Employment Service Clearance List--MSPA
Registration.
DOL/ESA-40--MSPA/FLCRA Tracer List.
DOL/ESA-41--MSPA/FLCRA Certification Action Record Files.
DOL/ESA-42--Case Registration/Compliance Officer Assignment
Form (WH-53).
DOL/ESA-43--Office of Workers' Compensation Programs, Federal
Employees Compensation Act and Longshore and Harbors
Workers' Compensation Act Rehabilitation Files.
DOL/ESA-44--Office of Workers' Compensation Programs, Federal
Employees Compensation Act (FEC) and Longshore and Harbor
Workers' Compensation Act Rehabilitation Counselor Case
Assignment, Contract Management and Performance Files and
FEC Field Nurses.
Employment and Training Administration (ETA)
DOL/ETA-1--Bureau of Apprenticeship and Training, Budget and
Position Control File.
DOL/ETA-2--Bureau of Apprenticeship and Training, Program
Management Group, Budget and Position Control File.
DOL/ETA-4--Apprenticeship Management System (AMS)
DOL/ETA-7--Employer Application File for Permanent and
Temporary Alien Workers.
DOL/ETA-8--Job Corps Management Information System (JCMIS)
File.
DOL/ETA-15--DOL/ETA Evaluation, Research Pilot or
Demonstration Contractors' Project Files.
DOL/ETA-16--Employment and Training Administration
Investigatory File.
DOL/ETA-20--Federal Bonding Program, Bondees Certification
Files.
DOL/ETA-21--Employment and Training Administration Advisory
Committees Members Files.
DOL/ETA-22--ETA Employee Conduct Investigations.
DOL/ETA-23--Federal Committee on Apprenticeship (FCA).
DOL/ETA-24--Contracting and Grant Officer Files.
DOL/ETA-25--DOL/ETA Evaluation Research Projects.
DOL/ETA-26--Standardized Program Information Report (SPIR).
Office of Inspector General (OIG)
DOL/OIG-1--General Investigative Files, Case Tracking Files,
and Subject/Title Index, USDOL/OIG.
DOL/OIG-2--Freedom of Information/Privacy Acts Records.
DOL/OIG-3--Case Development Records.
DOL/OIG-5--Investigative Case Tracking Systems/Audit
Information Reporting Systems/USDOL/OIG.
Mine Safety and Health Administration (MSHA)
DOL/MSHA-1--Coal and Metal and Nonmetal Mine Accident and
Injury.
DOL/MSHA-3--Metal and Nonmetal Mine Safety and Health
Management Information System.
DOL/MSHA-10--Discrimination Investigations.
DOL/MSHA-13--Coal Mine Respirable Dust Program.
DOL/MSHA-15--Health and Safety Training and Examination
Records Including Qualification and Certification Data.
DOL/MSHA-18--Coal Mine Safety and Health Management
Information System.
DOL/MSHA-19--Employee Conduct Investigations.
DOL/MSHA-20--Civil/Criminal Investigations.
Occupational Safety and Health Administration (OSHA)
DOL/OSHA-l--Discrimination Complaint File.
DOL/OSHA-4--Advisory Committee Candidates' Biographies.
DOL/OSHA-6--Program Activity File.
DOL/OSHA-9--OSHA Compliance Safety and Health Officer Training
Record.
DOL/OSHA-10--OSHA Train-the-Trainer Outreach Program.
DOL/OSHA-12--OSHA Employee Conduct Investigations.
DOL/OSHA-13--OSHA Office of Training and Education Automated
Registration System.
DOL/OSHA-14--Office of Training and Education Computer-based
Acquisition/Financial Records System.
DOL/OSHA-15--Office of Training and Education Resource Center
Circulation Project.
Pension and Welfare Benefits Administration (PWBA)
DOL/PWBA-1--Employee Retirement Income Security Act (ERISA)
Advisory Council on Employee Welfare and Pension Benefit
Plans.
DOL/PWBA-2--Office of Enforcement Index Cards and
Investigation Files.
DOL/PWBA-3--ERISA Coverage Correspondence Files.
DOL/PWBA-4--Inquiry Correspondence Files.
DOL/PWBA-5--Public Disclosure Request Tracking System.
DOL/PWBA-6--PWBA Debt Collection/Management System.
DOL/PWBA-7--Employee Conduct Investigations.
Office of the Solicitor (SOL)
DOL/SOL-1--Conflict of Interest File.
DOL/SOL-2--Employment and Training Legal Services Litigation
and Investigation File.
DOL/SOL-3--Federal Tort Claims Act.
DOL/SOL-5--Job Training Partnership Act.
DOL/SOL-6--Military Personnel and Civilian Employees Claims
Act.
DOL/SOL-7--Solicitor's Legal Activity Recordkeeping System.
DOL/SOL-8--Special Litigation Records.
DOL/SOL-9--Freedom of Information Act and Privacy Act Appeals
File.
DOL/SOL-10--Privacy Act Litigation Files.
DOL/SOL-11--Division of Civil Rights Defensive Litigation
Files.
DOL/SOL-12--Third-Party Recovery Files.
DOL/SOL-13--Employee Conduct Investigations.
DOL/SOL-14--DOL Subpoena Tracking System.
DOL/SOL-15--Solicitor's Office Litigation Files.
DOL/SOL-16--Solicitor's Office Directory of Senior Management.
DOL/SOL-17--Solicitor's Office Ergonomic Furniture File.
Veterans Employment and Training (VETS)
DOL/VETS-1--Veterans' Reemployment Complaint File.
DOL/VETS-2--Veterans' Preference Complaint File.
DOL/VETS-3--Veterans' Transition Assistance Program (TAP)
Tracking System.

Appendix 1--Responsible Officials
Appendix 2--Privacy Act Coordinators

Office of the Secretary through Bureau of International Labor
Affairs

General Prefatory Statement

The following routine uses 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. It shall be a routine use of the records in this system of records
to disclose them to the Department of Justice when: (a) The agency or
any component thereof; or (b) any employee of the agency in his or her
official capacity where the Department of Justice has agreed to
represent the employee; 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 therefore deemed by the agency to be
for a purpose that is compatible with the purpose for which the agency
collected the records.
2. It shall be a routine use of the records in this system of records
to disclose them 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 where the agency has agreed
to represent the employee; 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 the use of such records
is therefore deemed by the agency to be for 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 records,
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 information disclosed is relevant to any enforcement, regulatory,
investigative or prosecutive responsibility of the receiving entity,
and by careful review, the agency determines that the records are both
relevant and necessary to the litigation and the use of such records
is therefore deemed by the agency to be for a purpose that is
compatible with the purpose for which the agency collected the
records.
4. A record from this system of records may be disclosed 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. Records from this system of records may be disclosed 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. Disclosure may be made to agency contractors, or their employees,
consultants, grantees, or their employees, or volunteers who have been
engaged to assist the agency in the performance of a contract,
service, grant, cooperative agreement or other activity related to
this system of records and who need to have access to the records in
order to perform the activity. 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. The name and current address of an individual may be disclosed from
this system of records to the parent locator service of the Department
of HHS or to other authorized persons defined by Public law 93-647 for
the purpose of locating a parent who is not paying required child
support.
8. Disclosure may be made 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. Disclosure may be made 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. A record from any system of records set forth below may be
disclosed to the Office of Management and Budget in connection with
the review of private relief, legislative coordination and clearance
process.
11. Disclosures may be made to a debt collection agency that the
United States has contracted with for collection services to recover
debts owed to the United States.
Government-Wide Records
Two systems of records are reported by the Department of Labor for all
federal agencies since this Department has overall responsibility for
the administration of the programs in connection with which these
systems of records have been compiled. It is presumed that most, if
not all federal agencies maintain systems of records comprising a
portion of the government wide systems of records. In order to avoid
duplication in reporting, the Department is reporting these systems on
behalf of all agencies. The Department has control over these systems
to the same extent as the Office of Personnel Management has control
over systems of records containing federal employee personnel records.
1. Federal Employees' Compensation Act Files: All records relating to
injury or death of civilian employees or other persons entitled to
benefits under the Federal Employees' Compensation Act are the records
of the Office of Workers' Compensation Programs of the Department of
Labor. The Office asserts control of these records under the
provisions of 5 U.S.C. 8149 and Department regulations at 20 CFR
10.10. This notice applies to copies of claim forms and other
documents relating to a compensation claim maintained by the employing
agency. This notice, however, does not apply to other medical or
related files not created pursuant to the Federal Employees'
Compensation Act which may be in the possession of an agency. This
system is now entitled DOL/GOVT-1, Office of Workers' Compensation
Programs, Federal Employees' Compensation File (formerly known as DOL/
ESA-13).
Initial determinations on requests for access, amendment or correction
of records maintained in this system of records shall be made by the
OWCP district office having jurisdiction over the particular claim. In
addition, requests for access to copies of records maintained by the
employing agency may be directed to that agency. Administrative
appeals from initial determinations denying access, amendment or
correction, shall be addressed to the Solicitor of Labor, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210, as required by 20 CFR 70.9.
2. Job Corps Student Records: All records which contain information
about students during their stay in Job Corps, from entrance to
placement and/or termination, are records which must be maintained by
the Job Corps center. The Office of Employment and Training
Administration asserts control of these records under 29 U.S.C. 1691
et. seq. This system is now entitled DOL/GOVT-2, Job Corps Student
Records (formerly known as DOL/ETA-14.)
Initial determinations concerning access, amendment or correction of
this government-wide system of records shall be made by screening
contractors, Job Corps Center Directors, Job Corps National or
Regional Offices. Administrative appeals shall be referred to the
Solicitor of Labor, U.S. Department of Labor, 200 Constitution Avenue,
NW, Washington, DC 20210.
Special California Earthquake Co-operative Agreement
The San Francisco, California Regional Office of the Department of
Labor's Office of Assistant Secretary for Administration and
Management (OASAM), Region IX of OASAM, has entered into a reciprocal
agreement with the U.S. Internal Revenue Service's Office of the
Regional Counsel located in San Francisco. The purpose of this
reciprocal agreement is to provide each with an alternative off-site
location to store computer data. This back-up storage capacity will
mitigate damage if an earthquake ever occurs in the San Francisco
area. This agreement is based upon the fact that the respective
offices of the participants are located at opposite ends of the
downtown San Francisco district and the ground structure of the two
areas is substantially different.
Addresses to Which Requests May Be Directed
The addresses of the various component units of the Department as well
as its field offices are contained in Appendix 1 annexed to this
document. For general assistance, you may wish to contact the Privacy
Act Coordinators listed in Appendix 2.
In addition, the following government agencies also have Government-
wide Systems of Records:
Government-Wide Systems
EEOC/GOVT-1--Equal Employment Opportunity Complaint Records and Appeal
Records
FEMA/GOVT-1--Uniform Identification Systems for Federal Employees
Performing Essential Duties During Emergencies
GSA/GOVT-2--Employment Under Commercial Activities Contracts
GSA/GOVT-3--Travel Charge Card Program
GSA/GOVT-4--Contracted Travel Services Programs
MSPB/GOVT-1--Appeal and Case Records
OPM/GOVT-1--General Personnel Records
OPM/GOVT-2--Employee Performance File System Records
OPM/GOVT-3--Records of Adverse Actions and Actions Based on
Unacceptable Performance
OPM/GOVT-4--Executive Branch Public Financial Disclosure Reports and
other Ethics Program Records
OPM/GOVT-5--Recruiting, Examining and Placement Records
OPM/GOVT-6--Personnel Research and Test Validation Records
OPM/GOVT-7--Applicant--Race, Sex, National Origin and Disability
Status Records
OPM/GOVT-8--Confidential Statements of Employment and Financial
Interests
OPM/GOVT-9--File on Position Classification Review Requests (Appeals)
and Grade and Pay Retention Appeals
OPM/GOVT-10--Employee Medical File System Records
System Location--Flexiplace Pilot Programs
This 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 Pilot 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.

Government-Wide Systems by the Department of Labor

DOL/GOVT-1

System name: Office of Workers' Compensation Programs, Federal
Employees' Compensation Act File.

Security classification:
Most files and data are unclassified. Files and data in certain cases
have Top Secret classification, but the rules concerning their
maintenance and disclosure are determined by the agency which has
given the information the security classification of Top Secret.
System location:
Central database is located at Computer Science Corporation, 11700
Montgomery road, Beltsville, Maryland, 20706. Case files and local
databases are located at District Offices (see appendix 1 for
addresses of those offices and responsible officials); files of
employees of the Central Intelligence Agency are located at that
agency. Copies of claim forms and other documents relating to a
compensation claim may also be maintained by the employing agency. In
addition, the records relating to third-party claims of FECA
beneficiaries are maintained in the Division of Employee Benefits,
U.S. Department of Labor, 200 Constitution Ave., NW, Washington, DC
20210, and the Office of the Regional Solicitor and Associate Regional
Solicitor at various field locations.
Categories of individuals covered by the system:
Individuals or their survivors who claim benefits under the FECA for
injuries or death sustained while in the performance of duty,
including local law enforcement officers and their survivors who claim
benefits under the FECA. The FECA covers all federal employees and
certain other individuals as defined. Individuals in addition to
federal employees who are covered include: Civil Air Patrol, Peace
Corps Volunteers, Job Corps enrolles, Volunteers in Service to
America, members of the National Teacher Corps, certain student
employees, certain employees of the Alaska Railroad, members of the
Reserve Officer Training Corps, certain state and local law
enforcement officers (in addition to those employed by the United
States), certain former prisoners of war, and employees of certain
commissions and other agencies. Prior to January 1, 1957, the FECA
also covered reservists in the Armed Forces of the Unite States. Also
covered are various classes of persons who provide or have provided
personal service to the Government of the United States and certain
volunteers with other government agencies.
Categories of records in the system:
Records include reports of injury by the employee and employing
establishment, claims by survivors for benefits accruing at the death
of a federal employee or other covered individual, authorization for
medical treatment, medical records, medical and transportation bills,
compensation payment records, formal orders for or against payment of
compensation, transcripts of informal hearings, any and all medical,
employment and personal information submitted or gathered in
connection with the claim, including vital statistics such as birth,
death and marriage certificates, notes on telephone conversations held
in connection with the claim, and information related to vocational
rehabilitation plans and progress reports. Records may also include
court records, insurance records, records of employers, articles from
publications, published financial data, corporate information, bank
information, and information received from various investigative and
law enforcement agencies who report findings to OWCP relating to
investigations concerning possible violations of federal civil and
criminal law relating to the compensation claim. This system contains
the work product of the Department of Labor and other government
personnel and consultants involved in the development of the claim.
The system may also contain consumer credit reports of individuals
indebted to the United States, correspondence to and from the debtor,
information or records relating to the debtor's current whereabouts,
assets, liabilities, income and expenses, debtor's personal financial
statements, and other information such as the nature, amount and
history of a debt owed by an individual covered by this system, and
other records and reports relating to the implementation of the Debt
Collection Act of 1982, including any investigative reports or
administrative review matters. The individual records listed herein
are included only as pertinent or applicable to the individual
employee or beneficiary.
Authority for maintenance of the system:
5 U.S.C. 8101 et seq., 20 CFR 1.1, et seq.
Purpose(s):
The Federal Employees' Compensation Act (FECA) establishes the
workers' compensation system for federal employees, including a
process for adjudicating and administering compensation claims. The
records maintained under this system are created as a result of and
are necessary to this function. These records provide information and
verification about claimant's work related injuries on which may be
based any entitlement to medical treatment and vocational
rehabilitation, continuation of pay, compensation and survivors'
benefits, under the FECA and certain other statutes.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
In addition to the Labor Department-wide routine uses set forth in the
general prefatory statement, disclosure of relevant documents may be
made to the following individuals and entities for the purposes noted:
a. Any third-party named in a claim or responsible for the injury or
representative acting on his/her behalf until the third-party action
is adjudicated and all appeals are resolved, for the purpose of
pursuing that third-party action.
b. Federal agencies which employed the claimant at the time of the
occurrence or recurrence of the injury or occupational illness (or to
a duly designated contractor performing services for that agency) in
order to verify billing, to answer questions about the status of the
claim, to consider rehire, retention or other actions the agency may
be required to take with regard to the claim.
c. To other Federal agencies, other government entities and to
private-sector employers as part of rehabilitation and other return-
to-work programs and services available through the Office of Workers'
Compensation Programs (OWCP), where the entity is considering hiring
the claimant or where otherwise necessary as part of that return-to-
work effort.
d. Federal, state or private rehabilitation agencies and individuals
to whom the claimant has been referred for evaluation of
rehabilitation and possible reemployment.
e. Physicians and other health care providers for their use in
treating the claimant and/or making an evaluation on behalf of OWCP
(including payment of charges and other matters related to that
evaluation) and for other purposes relating to the medical management
of the claim.
f. To medical insurance or health and welfare plans (or their
designees) which cover the claimant in instances where by OWCP had
paid for treatment of a medical condition which is not compensable
under the FECA, or where a medical insurance plan or health and
welfare plan has paid for treatment of a medical condition which may
be compensable under the FECA.
g. Labor unions and other voluntary employee associations of which the
claimant is a member for assistance with claims processing and
adjudication and other services provided to members.
h. To a Federal, state or local agency for the purpose of obtaining
information relevant to a Departmental decision concerning the
determination of initial or continuing eligibility for program
benefits; whether benefits have been or are being paid improperly,
including whether dual benefits prohibited under any Federal or state
statute are being paid; salary offset and debt collection procedures,
including those actions required by the Debt Collection Act of 1982.
i. To the Internal Revenue Service (IRS) for the purpose of obtaining
taxpayer mailing addresses in order to locate such taxpayer to
collect, compromise, or write-off a Federal claim against the
taxpayer; and informing the IRS of the discharge of a debt owed by an
individual. Records from this system of record may be disclosed to the
Internal Revenue Service for the purpose of offsetting a Federal claim
from any income tax refund that may be due to the debtor.
j. To the Occupational Safety and Health Administration (OSHA) since
OSHA uses OWCP injury reports to fulfill federal agency injury
reporting requirements (under agreement between OWCP and OSHA).
Information on these reports from this system may be used by them as
part of any MIS system established under OSHA regulations to monitor
health and safety.
k. To a credit bureau for the purpose of obtaining consumer credit
reports identifying the assets, liabilities, expenses, and income of a
debtor in order to ascertain the debtor's ability to pay a debt and in
order to be able to establish a payment schedule.
l. The claimant's employing agency may disclose information contained
in this system of records, of which it has custody, to contractors for
the purpose of evaluating the employing agency's implementation of the
FECA and the agency's safety program. Should the employing agency
disclose such information to a contractor, it is the employing
agency's responsibility to assure that the contractor complies fully
with all Privacy Act provisions, including those prohibiting unlawful
disclosure of such information.
m. To contractors providing automated data processing or other
services to DOL, the employing agency or to any Federal agency or
other entity to whom the data may be released under any of the uses
listed above, who require the data to perform the services for which
they have appropriately contracted. It is the agency's responsibility
to ensure that any contract extends the responsibilities and penalties
of the Privacy Act to the contractor.

n. Records from this system of records may be disclosed to the Defense
Manpower Data Center--Department of Defense and the United States
Postal Service to conduct computer matching programs for the purpose
of identifying and locating individuals who are receiving Federal
salaries or benefit payments and are delinquent in their repayment of
debts owed to the United States Government under certain programs
administered by the United States Department of Labor in order to
collect the debts under the provisions of the Debt Collection Act of
1982 (Pub. L. 97-365) by voluntary repayment, or by salary or
administrative offset procedures.
Note: Disclosure of information contained in the file to the claimant,
a person who is duly authorized to act on his/her behalf, or to others
to whom disclosure is authorized by these routine uses, may be made
over the telephone. Disclosure over the telephone will only be done
where the requestor provides appropriate identifying information.
Telephonic disclosure of information is essential to permit efficient
administration and adjudication of claims under the FECA.
Disclosure to consumer reporting agencies:
The amount, status and history of overdue debts, the name and address,
taxpayer identification (SSAN), and other information necessary to
establish the identity of a debtor, the agency and program under which
the claim arose, may be disclosed pursuant to 5 U.S.C. 552a(b)(12) to
consumer reporting agencies as defined by section 603(f) of the Fair
Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with
section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as
amended (31 U.S.C. 3711(f)) for the purpose of encouraging the
repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Case files are maintained in manual files, security case files in
locked cabinets, and other automated data are stored on computer discs
or magnetic tapes which are stored in cabinets.
Retrievability:
Files and automated data are retrieved after identification by coded
file number and/or Social Security number which is cross-referenced to
employee by name, employing establishment, and date and nature of
injury. Files located in District Offices are identified by master
index file, which is maintained in the National Office.
Safeguards:
Files and automated data are maintained under supervision of OWCP
personnel during normal working hours--only authorized personnel, with
the appropriate passwords may handle, retrieve, or disclose any
information contained therein. Only personnel having security
clearance may handle or process security files. After normal working
hours, security files are kept in locked cabinets.
Retention and disposal:
All case files and automated data pertaining to the case files are
destroyed 35 years after the case file has become inactive. Automated
data is retained in its most current form only, however, and as
information is updated, outdated information is deleted. Some related
financial records are destroyed after 6 years and 3 months.
System manager(s) and address:
Director for Federal Employees' Compensation, Department of Labor
Building, Room S-3229, 200 Constitution Avenue, NW, Washington, DC
20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her may write or telephone the OWCP
District Office which services the State in which the individual
resided or worked at the time the individual thinks he/she filed a
claim, or the system manager. In order for a record to be located, the
individual must provide his/her full name, FEC case number (if known),
date of injury (if known), date of birth and Social Security number.
Record access procedures:
Any individual seeking access to non-exempt information about a case
in which he/she is a party of interest may write or telephone the OWCP
District Office where the case is located, or the system manager, and
arrangement will be made to provide review of the file. Copies of
documents maintained by the employing establishment by contacting that
agencies designated disclosure officers.
Contesting record procedures:
Specific materials in this system have been exempted from certain
Privacy Act provisions at 5 U.S.C. 552a, regarding amendment of
records. The section of this notice entitled ``Systems Exempted From
Certain Provisions of the Act'' indicates the kind of materials
exempted, and the reasons for exempting them. Any individual
requesting amendment of non-exempt records should contact the
appropriate Office of Workers' Compensation Programs office listed in
the Notification Procedure section above. Individuals requesting
amendment of records must comply with the Department's Privacy Act
regulations at 29 CFR subtitle A, sections 70a.1-70a.13.
Record source categories:
Injured employees; beneficiaries; employing Federal agencies; other
Federal agencies; physicians; hospitals; clinics; educational
institutions; attorneys; Members of Congress; OWCP field
investigations; State governments; consumer credit reports; agency
investigative reports; debtor's personal financial statements;
correspondence with the debtor; records relating to hearings on the
debt; and other DOL systems of records; CA 45 and CA 135 at
originating OWCP district office servicing injured employee's
government agency.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/GOVT-2

System name: Job Corps Student Records.

Security classification:
None.
System location:
Screening contractors; Job Corps centers and operators (which includes
contract and agency centers); Job Corps National Office; Job Corps
Regional Offices; Federal Records Centers.
Categories of individuals covered by the system:
Job Corps applicants, enrollees, and terminees.
Categories of records in the system:
Records which contain information kept about the students, such as
separate running accounts of the students general biographical data;
educational training, vocational training; counseling; recreational
activities; dormitory logs; health (dental, medical, mental health,
and drug testing records); administrative records covering data
pertaining to enrollment allowances and allotments; leave records;
Student Profile (ETA-640); and Center Standards Officer's disciplinary
records.
Authority for maintenance of the system:
Title IV-B of the Job Training Partnership Act, as amended. 29 U.S.C.
1691 et seq.
Purpose(s):
These records are maintained to ensure that all appropriate documents
of the student's stay in Job Corps (covering application to placement
and/or termination) are retained and are available to those officials
who have a legitimate need for the information in performing their
duties and to serve the interest of the students in accordance with 29
U.S.C. 1691 et seq.
Routine uses of records maintained in the system, including categories
of users and the purposes of the such uses:
These records and information in these records may be used:
(1) To disclose information to the news media or members of the
general public regarding student's name and age, for the purpose of
promoting the merits of the program.
(2) To disclose information, giving the summary of a student's
academic and vocational achievement and general biographical
information, to placement and welfare agencies, prospective employers,
school or training institutions to assist to the employment of a
student.
(3) To disclose information to State and Federal law enforcement
agencies or other government investigators to assist them in locating
a student and/or his or her family.
(4) To disclose information to appropriate Federal, State, and local
agencies which have law enforcement jurisdiction over students (which
includes probation or parole officers); and/or the property on which
the center is located.
(5) To disclose all or any information to parents/guardians regarding
students under the age of 18 for performance of parental rights and
responsibilities.
(6) To disclose information to Job Corps health consultants; Job Corps
Center Review Board members (in appropriate disciplinary cases);
State, county, and local health services personnel; family planning
agencies; and physicians (public or private) to whom student is
referred for diagnosis or to receive treatment to assure continuance
of proper health care, or notification and contact tracking for
communicable disease control.
(7) To disclose to state and local health departments all cases of
infection or disease that are required to be reported to them to
accordance with state and local laws. This disclosure shall be made by
the Center Director.

Note: Center physicians shall deal with all cases of communicable
diseases in accordance with Job Corps directives based on current
recommendations of the Center for Disease Control of the Department of
Health and Human Services.

(8) To disclose information to State and local health departments
regarding infected persons who are unwilling to notify their contacts
on center for the purpose of assisting in the counseling of contacts
for their protection and care.
(9) To disclose information to medical laboratories necessary in
identifying specimens for the purpose of testing.
(10) To disclose information to social service agencies in cases of
students termination for assistance in providing services such as
Medicaid, housing, finance, and placement.
(11) To disclose information to the Army Finance Center, Fort Benjamin
Harrison, Indiana, to pay student allowances and maintain and dispose
of their pay records.
(12) To disclose information to Federal, State, and local agencies and
to community-based organizations for the operation of experimental,
research, demonstration, and pilot projects authorized under sections
433, 452, or 453 of the Job Training Partnership Act, 29 U.S.C. 1703,
1732, or 1733, except that in the case of a research project, the
researcher shall guarantee to protect the anonymity of all staff and
students involved in any presentation of the results of such study.
(13) To disclose information to contractors and agencies enabling them
to properly administer the program.
(14) To disclose to the Selective Service System name, social security
number, date of birth, and address of students, to insure registration
compliance for eligible applicants applying for Job Corps training
benefits.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Students files are maintained in locked file cabinets; files are
maintained on magnetic tapes, computer data base, and discs; printouts
from army terminals which include payroll statistical reports.
Retrievability:
Records are retrieved by name (alphabetized), Social Security number,
and date of student entry.
Safeguards:
Records are maintained in file folders during center use; health
records are placed in sealed envelopes after termination; on magnetic
tapes, computer data base, or discs; and are stored in locked filing
cabinets with access to those whose official duties require access.
Retention and disposal:
Corps centers will maintain records of terminated students for a
period of 3 years unless custodianship is extended or terminated by
the regional office, for administrative reasons. Counseling records
are retained on the Job Corps center for 6 months after student's
termination, after which they are destroyed. After termination, a
summary or copy of the counseling record is placed in the health
record. After 3 years, centers will then retire the records to the
appropriate Federal Records center. In accordance with the National
Archives and the Office of Job Corps, students records are subject to
destruction 75 years from the birth date of the youngest student's
record contained in the GSA records retirement box, with the disposal
authority being NC 369-76-2, item 59. Centers will send a copy of the
SF 135-135 A (transmittal and receipt form) to the regional office,
after they have received the accession number from the appropriate
Federal Records Center. In the event of a student's death, the
student's entire personnel record shall be sent to the U.S. Department
of Labor Job Corps National Health Office within 10 days of date of
student's death. The student requests medical information in writing
and is advised in writing that the information from the medical
record(s) will be released to any physician who the student designates
in writing. The physician does not release any information he/she
considers potentially harmful to the student, and sends the rest of
the material to the student. All inquires will be handled by the
Systems Manager listed below.
System manager(s) and address:
Director, Office of Job Corps, U.S. DOL/ETA, Frances Perkins Building,
Room N-4508, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
Requests for access of terminated student's records are to be directed
to the appropriate U.S. DOL Regional Job Corps Office, or to the
System Manager at the above address. Requests for current records can
be directed to the appropriate center director or screening
contractor.
Record access procedures:
A request for access to a record from this system shall be made in
writing to the System Manager or appropriate center director, Regional
Job Corps Director, or screening contractor, in accordance with rules
and regulations of the Privacy Act of 1974, as amended, with the
envelope and the letter clearly marked ``Privacy Act Request'', and
the record sufficiently described in the letter for identification.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
this system should direct their request to the System Manager listed
above, or appropriate center director, Regional Job Corps Director, or
screening contractor, stating clearly and concisely what information
is contested, the reasons for contesting the information, and the
proposed amendment to the information sought. Details required for
records identification are: (a) Full name(s) (i.e., name during
enrollment); (b) SSN; (c) Center(s) where enrolled; and (d) Date
enrolled.
Record source categories:
Outreach/screening and placement contractors; Job Corps centers; Job
Corps participants; employment services; parole officers; State and
local law enforcement agencies.
System exempted from certain provisions of the act:
None.

Office of the Secretary (OSEC)

DOL/OSEC-1

System name: Supervisor's Records of Employees.

Security classification:
None.
System location:
Immediate supervisors and one additional organizational level at all
facilities of the Department.
Categories of individuals covered by the system:
Current employees and employees who have departed within the past
year.
Categories of records in the system:
Records related to individuals while employed by the Department and
which contain such information as: Record of employee/supervisor
discussions, supervisor's observations, supervisory copies of
officially recommended actions, reports of FTS telephone usage
containing call detail information, awards, disciplinary actions,
emergency addressee information, correspondence from physicians, and
training requests.
Authority for maintenance of the system:
5 U.S.C. 301, 1302, 2951, 4118, Reorganization Plan 6 of 1950, and the
Civil Service Reform Act of 1978.
Purpose(s):
To maintain a file of information that serves as a reminder for
supervisors as they take specific personnel actions on employees.
Routine uses of records maintained in the system, including categories
and users and the purpose of such uses:
Selected information may be disclosed at appropriate stages of
adjudication to the Merit Systems Protection Board, Office of the
Special Counsel, the Federal Labor Relations Authority, the Equal
Employment Opportunity Commission, arbitrators, or the courts for the
purposes of satisfying requirements related to investigation of
prohibited personnel practices, appeals, special studies
investigations of alleged EEOC discrimination practices and unfair
labor practices.
Disclosure to consumer reporting agencies:
Not applicable.
Policies for storing, retrieving, accessing, retaining, and disposing of
records in the system:
Storage:
Records are maintained in manual files, computer printouts, and other
appropriate media.
Retrievability:
Records are indexed by any combination of name or Social Security
Number, or telephone number.
Safeguards:
Locked storage cabinets and desks.
Retention and disposal:
Records are maintained on current employees. Records on former
employees are kept for one year, then destroyed.
System manager(s) and address:
All supervisors having responsibility for performance management
plans.
Notification procedure:
An individual may inquire whether or not the system contains a record
pertaining to her/him by contacting the supervisor who completes his/
her performance management plan.
Record access procedures:
As specified above in ``Notification Procedure''.
Contesting record procedures:
As specified above in ``Notification Procedure''.
Record source categories:
Information is supplied by the individual, the supervisor, and other
agency officials.
System exempted from certain provisions of the act:
Not applicable.

DOL/OSEC-4

System name: Credit Data on Individual Debtors.

Security classification:
None.
System location:
A. Offices in Washington, D.C.:
1. Office of the Secretary of Labor, including:
a. Office of the Assistant Secretary for Administration and Management
(OASAM);
b. Office of Information and Public Affairs;
c. Bureau of International Labor Affairs;
d. Employees' Compensation Appeals Board;
e. Wage Appeals Board;
f. Benefits Review Board;
g. Office of Administrative Law Judges;
h. Pension Benefit Guaranty Corporation;
i. Committee on the Employment of People with Disabilities;
j. National Occupational Information Coordinating Committee;
k. National Commission for Employment Policy;
2. Pension and Welfare Benefits Administration;
3. Office of Labor-Management Services;
4. Bureau of Labor Statistics;
5. Employment Standards Administration;
6. Employment and Training Administration;
7. Occupational Safety and Health Administration;
8. Mine Safety and Health Administration;
9. Office of the Inspector General;
10. Bureau of Labor Management Relations and Cooperative Programs;
11. Office of the Solicitor of Labor;
12. The Office of the American Workplace; and
13. The Chief Financial Officer for the Department.
B. Regional, area and other offices of the above.
Categories of individuals covered by the system:
Individuals, including DOL employees, former DOL employees, and other
individuals who are indebted to the United States.
Categories of records in the system:
Consumer credit reports, correspondence to and from the debtor,
information or records relating to the debtor's current whereabouts,
assets, liabilities, income and expenses, debtor's personal financial
statements, and other information such as social security number,
address, nature, amount and history of the debt, and other records and
reports relating to the implementation of the Debt Collection Act of
1982, including any investigative reports or administrative review
matters.
Authority for maintenance of the system:
Federal Claims Collection Act of 1966, as amended, 80 Statute 309; 31
U.S.C. 3700; Debt Collection Act of 1982, Pub. L. 97-365; and Title 4
CFR, Chapter II.
Purpose(s):
To assemble in one system information on individuals who are indebted
to the Department of Labor for the purpose of determining
collectability of debts and taking appropriate actions to collect or
otherwise resolve the debts.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A. Pursuant to section 13 of the Debt Collection Act of 1982, the
name, address(es), telephone number(s), social security number, and
nature, amount and history of the debt of an individual may be
disclosed to private debt collection agencies for the purpose of
collecting or compromising a debt existing in this system.
B. Department of Justice/General Accounting Office:
Information may be forwarded to the General Accounting Office and/or
the Department of Justice as prescribed in the Joint Federal Claims
Collection Standards, 4 CFR Chapter II. When debtors fail to make
payment through normal collection routines, the files are analyzed to
determine the feasibility of enforced collection by referring the
cases to the Department of Justice for litigation.
C. Other Federal agencies:
1. Pursuant to sections 5 and 10 of the Debt Collection Act of 1982,
information relating to the implementation of the Debt Collection Act
of 1982 may be disclosed to other Federal Agencies to effect salary or
administrative offsets, or for other purposes connected with the
collection of debts owed to the United States.
2. A record from this system may be disclosed to a Federal Agency in
response to its request in connection with the hiring/retention of an
employee, the letting of a contract, or the issuance of a grant,
license, or other benefit by the requesting agency, to the extent that
the information is necessary and relevant to the requesting agency's
decision on the matter.
D. Internal Revenue Service:
1. Information contained in the system of records may be disclosed to
the Internal Revenue Service to obtain taxpayer mailing addresses for
the purpose of locating such taxpayer to collect, compromise, or
write-off a Federal claim against the taxpayer.
2. Information may be disclosed to the Internal Revenue Service for
the purpose of offsetting a Federal claim from any income tax refund
that may be due to the debtor.
3. Information may be disclosed to the Internal Revenue Service
concerning the discharge of an indebtedness owed by an individual.
E. Information contained in the system of records may be disclosed to
a consumer reporting agency for the purpose of receiving a credit
report identifying the assets, liabilities, income, and expenses of a
debtor to ascertain the debtor's ability to repay a debt.
F. Records from this system of records may be disclosed to the Defense
Manpower Data Center--Department of Defense and the United States
Postal Service to conduct computer matching programs for the purpose
of identifying and locating individuals who are receiving Federal
salaries or benefit payments and are delinquent in their repayment of
debts owed to the United States Government under certain programs
administered by the United States Department of Labor in order to
collect the debts under the provisions of the Debt Collection Act of
1982 (Pub. L. 97-365) by voluntary repayment, or by salary or
administrative offset procedures.
Disclosure to consumer reporting agencies:
The amount, status, and history of overdue debts; the name and
address, taxpayer identification (SSN), and other information
necessary to establish the identity of a debtor, the agency and
program under which the claim arose, are disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer reporting agencies as defined by
section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a (f)),
in accordance with section 3(d) (4)(A)(ii) of the Federal Claims
Collection Act of 1966, as amended (31 U.S.C. 3711(f)) for the purpose
of encouraging the repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in this system:
Storage:
The records are in manual files, magnetic tapes or other computer
storage media, or on computer printouts.
Retrievability:
Credit data is maintained by debtor name, claim number, cross
referenced to the social security number (when available) to verify
name and address.
Safeguards:
When not in use by personnel responsible for the records, manual files
and computer printouts are stored in locked file cabinets; magnetic
tapes and other computer storage media are stored in locked rooms.
While on-line, computerized records are secured by way of system
access controls, including but not necessarily limited to password
protection.
Retention and disposal:
After becoming inactive, records are cut-off at the end of the fiscal
year, held one year, and then retired to a Federal Records Center
under Record Group 217, GAO. Records created prior to July 2, 1975,
will be retained for 10 years 3 months after the close of the account.
Records created after July 2, 1975, will be retained by GAO for 6
years and 3 months after the close of the account.
System manager(s) and address:
See the appropriate agency official, 29 CFR 70.43.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager.
Record access procedure:
Contact the appropriate agency official listed in the ``Notification
procedure'' section.
Contesting record procedure:
DOL rules and regulations for contesting any record contents
disclosure, and for appealing same, are promulgated at 29 CFR 70a.9.
Record source categories:
Information in this system is obtained from consumer credit reports,
agency investigative reports, debtor's personal financial statements,
correspondence and records relating to hearings on the debt, from
federal agencues, and from other DOL systems of records.
Systems exempted from certain provisions of the act:
None.

DOL/OSEC-5

System name: High Performance Work Place Tracking Database.

Security classification:
None.
System location:
Office of the Secretary of Labor, Washington, DC.
Categories of individuals covered by the system:
Individuals from American business, government, labor, trade
associations, and academia.
Categories of records in the systems:
The system contains one record for each individual which includes
basic contact and classification information. Fields include name,
company name, business mailing address, telephone number, FAX number,
business sector, job title, ethnic origin, minority business status,
and other related information.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
This database is provided to support the Secretary of Labor's efforts
to assemble the names and addresses of individuals from industry,
labor, government, and academia who are involved in the development
and management of high performance work organizations. It provides
capabilities to develop and print sorted lists and mailing labels.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
The intended users of this application are the Secretary's Special
Assistants and staff members. The preliminary database is stored on a
stand alone PC hard disk drive. It is expected that the database will
be moved to a Lotus Notes Database Server once the Novell ECN network
is in place. The database will be accessed either from the stand alone
PC or individuals PC's on the network. Users may retrieve records in
various sorted orders. The database will be updated and maintained
until no longer needed for tracking purposes.
Storage:
Electronic file in Lotus Notes database format.
Retrievability:
Records are retrieved by the name of the individual as well as by
organization name and business sector.
Safeguards:
Access is limited to authorized personnel.
Retention and disposal:
The database will be updated and maintained until no longer needed for
tracking purposes.
System manager(s) and address:
Special Assistant for high performance work place tracking to the
Secretary, Department of Labor, Francis Perkins Bldg, Rm S-2203, 200
Constitution Ave., NW, Washington, DC.
Notification procedures:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedure:
A request for access shall be address to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity to records at 29 CFR
70a.4.
Contesting record procedure:
A petition for amendments shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Individuals and periodicals.
Systems exempted from certain categories of the act:
N/A.

Office of the Assistant Secretary for Administration and Management
(OASAM)

DOL/OASAM-1

System name: Attendance, Leave, and Payroll File.

Security classification:
None.
System location:
A. Offices in Washington, D.C.:
1.Office of the Secretary of Labor, including:
a. Office of the Assistant Secretary for Administration and
Management, (OASAM);
b. Office of the Solicitor of Labor;
c. Office of Public and International Affairs;
d. Bureau of International Labor Affairs;
e. Employees' Compensation Appeals Board;
f. Wage Appeals Board;
g. Benefits Review Board;
h. Office of Administrative Law Judges;
i. Pension Benefit Guaranty Corporation;
j. President's Committee on the Employment of People with
Disabilities;
k. National Occupational Information Coordinating Committee;
1. National Commission for Employment Policy;
m. Veteran's Employment and Training Service.
2. Bureau of Labor Statistics;
3. Employment Standards Administration;
4. Office of Labor-Management Services;
5. Employment and Training Administration;
6. Occupational Safety and Health Administration;
7. Mine Safety and Health Administration;
8. Office of the Inspector General;
9. Pension and Welfare Benefits Administration;
10. Bureau of Labor Management Relations and Cooperative Programs;
11. The Office of the American Workplace; and
12. The Chief Financial Officer for the Department.
B. Regional and Area Offices of the above.
C. Timekeepers.
Categories of individuals covered by the system:
Department of Labor employees.
Categories of records in the system:
Name, social security number and employee number, grade, step, and
salary, organization (code), retirement or FICA data as applicable.
Federal State and local tax deductions, as appropriate. IRS tax lien
data, savings bond and charity deductions; regular and optional
government life insurance deduction(s), health insurance deduction and
plan or code; cash award data; jury duty data, military leave data,
pay differentials, union dues deductions, allotments by type and
amount, Thrift Savings Plan contributions, financial institution code
and employee account number, leave status and data of all types
(including annual, compensatory, jury duty, maternity, military,
retirement, disability, sick, transferred, and without pay), time and
attendance records, including flexitime log sheets indicating number
of regular, overtime, holiday, Sunday, and other hours worked, pay
period number and ending date, cost of living allowances, co-owner
and/or beneficiary of bonds, marital status, number of dependents,
mailing address, and ``Notification of Personnel Action.'' It also
includes claims by the employee for overtime, for back wages and for
waivers. Consumer credit reports of individuals indebted to the United
States, correspondence to and from the debtor, information or records
relating to the debtor's current whereabouts, assets, liabilities,
income and expenses, debtor's personal financial statements and other
information such as the nature, amount and history of a debt owed by
an individual covered by this system, and other records and reports
relating to the implementation of the Debt Collection Act of 1982,
including any investigative reports or administrative review matters.
The individual records listed herein are included only as pertinent or
applicable to the individual employee.
Authority for maintenance of the system:
31 U.S.C. 66(a).
Purpose(s):
In compliance with principles and standards prescribed by the
Comptroller General, manage the Department of Labor's compensation and
benefits processing, accounting, and reporting. Provide control
procedures and systems to assure the complete and timely processing of
input documents and output reports necessary to update and maintain
the Department's Interactive Payroll System.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A. Transmittal of data to the U.S. Treasury to effect issuance of
paychecks to employees and distribution of pay according to employee
directions for savings bonds, allotments to financial institutions,
allotment to the Fitness Association of the Bureau of Labor
Statistics, and other authorized purposes. Transmittal of Thrift
Savings Plan data to the Thrift Savings Board to effect contributions
to the Thrift Savings Plan. Tax withholding data is sent to the
Internal Revenue Service and appropriate State and local taxing
authorities, FICA deductions to the Social Security Administration,
dues deductions to labor unions, withholdings for health insurance to
insurance carriers and the Office of Personnel Management, charity
deductions to agents of charitable institutions, annual W-2 statements
to taxing authorities and the individual, and transmittal of computer
tape data to appropriate State and local governments for their
benefits matching projects.
B. Pursuant to section 13 of the Debt Collection Act of 1982, the
name, Social Security Number, address(es), telephone number(s), and
nature, amount and history of the debt of a current or former employee
may be disclosed to private collection agencies for the purpose of
collecting or compromising a debt existing in this system.
C. Department of Justice and General Accounting Office: Information
may be forwarded to the General Accounting Office and/or the
Department of Justice as prescribed in the Joint Federal Claims
Collection Standards (4 CFR Ch. II). When debtors fail to make payment
through normal collection routines, the files are analyzed to
determine the feasibility of enforced collection by referring the
cases to the Department of Justice for litigation.
D. Other Federal Agencies:
(1) Pursuant to sections 5 and 10 of the Debt Collection Act of 1982,
information relating to the implementation of the Debt Collection Act
of 1982 may be disclosed to other Federal Agencies to effect salary or
administrative offsets, or for other purposes connected with the
collection of debts owed to the United States.
(2) A record from this system may be disclosed to a Federal Agency in
response to its request in connection with the hiring/retention of an
employee, the letting of a contract, or the issuance of a grant,
license, or other benefit by the requesting agency, to the extent that
the information is necessary and relevant to the requesting agency's
decision on the matter.
E. Internal Revenue Service:
(1) Information contained in the system of records may be disclosed to
the Internal Revenue Service to obtain taxpayer mailing addresses for
the purpose of locating such taxpayer to collect, compromise, or
write-off a Federal claim against the taxpayer. Records from this
system of record may be disclosed to the Internal Revenue Service for
the purpose of offsetting a Federal claim from any income tax refund
that may be due to the debtor.
(2) Information may be disclosed to the Internal Revenue Service
concerning the discharge of an indebtedness owed by an individual.
F. Records from this system of records may be disclosed to the Defense
Manpower Data Center--Department of Defense and the United States
Postal Service to conduct computer matching programs for the purpose
of identifying and locating individuals who are receiving Federal
salaries or benefit payments and are delinquent in their repayment of
debts owed to the United States Government under certain programs
administered by the United States Department of Labor in order to
collect the debts under the provisions of the Debt Collection Act of
1982 (Pub. L. 97-365) by voluntary repayment, or by salary or
administrative offset procedures.
Disclosure to consumer reporting agencies:
The amount, status, and history of overdue debts; the name and
address, taxpayer identification number (SSN), and other information
necessary to establish the identity of a debtor, the agency and
program under which the claim arose, are disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer reporting agencies as defined by
section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)),
in accordance with section 3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966, as amended (31 U.S.C. 3711 (f)) for the
purpose of encouraging the repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual and machine-readable files.
Retrievability:
By name and SSN.
Safeguards:
Personnel screening and locked storage equipment.
Retention and disposal:
Retained until after GAO audit. Records are then disposed of, or
retired, according to specified agency/GRS records schedules.
System manager(s) and address:
See the appropriate Agency Official in attached and at 29 CFR 70a.43.
Notification procedure:
As in system manager and address.
Record access procedures:
As in system manager and address.
Contesting record procedures:
As in system manager and address.
Record source categories:
Employees, supervisors, timekeepers, official personnel records, the
IRS, consumer credit reports, personal financial statements,
correspondence with the debtor, records relating to hearings on the
debt, and from other DOL systems of records.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-4

System name: Occupational Accident/Injury/Illness Reporting
System (AIIRS) File.

Security classification:
None.
System location:
Office of Safety and Health, OASAM, U.S. Department of Labor, Room S-
2220F, 200 Constitution Avenue, NW, Washington, DC 20210 and DOL
regional offices. A copy of Form DL 1-440, Supervisor's Report of
Accident/Injury/Illness, is retained in the office of the supervisor
who files the report.
Categories of individuals covered by the system:
DOL employees and Job Corps members involved in occupationally related
accidents, injuries and illnesses.
Categories of records in the system:
Reports of on-the-job accidents, injuries, and illnesses generated as
a result of filing a DL 1-440, Supervisor's Report of Accident/Injury/
Illness form.
Authority for maintenance of the system:
29 U.S.C. 651 et seq., 29 CFR part 1960, 5 U.S.C. 7902, DOL
Secretary's Order 1-88, Executive Order 12196.
Purpose(s):
This system is used (a) to provide a documented record of accidents,
injuries, and illnesses for the purpose of measuring safety and health
program's effectiveness; (b) to provide an information source for
compliance with the Occupational Safety and Health Act; (c) to provide
summary data of injury, illness and property loss information to
departmental agencies in a number of formats for analytical purposes
in establishing programs to reduce or eliminate loss producing problem
areas; (d) to provide listings of individual cases to departmental
agencies to ensure that accidents occurring are reported through the
accident/injury/illness reporting system; and (e) adjudicating tort
and employee claims.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in manual files and on machine readable magnetic
tape in national and regional offices where report is submitted.
Retrievability:
Records are retrieved by any record element, including name.
Safeguards:
Records are maintained in locked storage equipment. Computer files are
accessible only through proper code numbers.
Retention and disposal:
Records are maintained for five years (5) after each report is filed
with the agency, according to the OSHA Act of 1970. Records are then
retired/disposed of according to NARA approved records schedules.
System manager(s) and address:
Director, Office of Safety and Health, U.S. Department of Labor, 200
Constitution Avenue, NW, Room S-2220F, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the systems manager, or the
servicing regional office in which they are employed. Individuals must
furnish the following information for their records to be located and
identified:
a. Full name.
b. Social security number.
c. File/case number.
d. Signature.
Record access procedures:
Individuals wishing to request access to records should contact the
appropriate office listed in the Notification Procedure section.
Individuals must furnish the following information for their records
to be located and identified:
a. Full name.
b. Date of birth.
c. File/case number.
d. Signature.
Individuals requesting access must also comply with the Office's
Privacy Act regulations on verification of identity and access to
records (5 CFR 297.201 and 297.203).
Contesting record procedures:
Individuals wishing to request information about their records should
contact the systems manager shown above. Individual must furnish the
following information for their records to be located and identified:
a. Full name.
b. Social security number.
c. File/case number.
d. Signature.
Record source categories:
a. The individual to whom the information pertains;
b. The individual's supervisor; and
c. Form DL 1-440, Supervisor's Report of Accident/Injury/Illness.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-5

System name: Rehabilitation and Counseling File.

Security classification:
None.
System location:
Office of Safety and Health, OASAM, U.S. Department of Labor, Room S-
3217, 200 Constitution Avenue, NW, Washington, DC 20210 and DOL
regional offices. Note: In order to meet the statutory requirement
that agencies provide appropriate prevention, treatment, and
rehabilitation programs and services for employees with alcohol or
drug problems, and to better accommodate establishment of a health
service program to promote employees' physical and mental fitness, it
may be necessary for an agency to use the counseling staff of another
Federal, state, or local government, or private sector agency or
institution. This system does not cover records on DOL employees that
are maintained by other government agencies. Those records are
considered the property of the agency providing treatment. All
information contained therein is considered privileged and under the
protection of the Privacy Act of 1974 and the Confidentiality
Regulations (42 CFR part 2).
Categories of individuals covered by the system:
Current and former DOL employees who have been counseled or otherwise
treated regarding alcohol or drug abuse or for personal or emotional
health problems.
Categories of records in the system:
Records in this system include documentation of visits to employee
counselors (Federal, state, local government, or private) and the
diagnosis, recommended treatment, results of treatment, and other
notes or records of discussions held with the employee made by the
counselor. Additionally, records in this system may include
documentation of treatment by a private therapist or a therapist at a
Federal, State, local government, or private institution.
Authority for maintenance of the system:
42 U.S.C. 290aa-1, 21 U.S.C. 1101 et seq., E.O. 12564.
Purpose(s):
These records are used to document the nature of the individual's
problem and progress made and to record the individual's participation
in and the results of community or private sector treatment or
rehabilitation programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose patient identifying information to medical personnel
who have a need for the information about a patient for the purpose of
treating a condition which poses an immediate threat to health of any
person in accordance with 42 CFR 2.51;
b. To disclose patient identifying information for the purpose of
conducting scientific research under the circumstances set forth in 42
CFR 2.52;
c. To disclose patient identifying information for audit and
evaluation purposes under the circumstance set forth in 42 CFR 2.53;
d. To disclose patient identifying information to medical personnel of
the Food and Drug Administration (FDA) under the circumstances set
forth in 42 U.S.C. 2.51(b) et seq.;
e. To disclose information to a Federal, State or local law
enforcement authority about a crime committed by a patient either at
the program site or against any person who works for the program, or
about a threat to commit such a crime. (See 42 CFR 2.22);
f. To disclose the fact of a minor's application for treatment to the
minor's parent or guardian where State law requires parental consent.
(See 42 CFR 2.14(c));
g. To disclose information to a Qualified Service Organization (QSO)
in accordance with 42 CFR 2.12(c)(4), i.e. where the QSO needs the
information to provide services to the program;
h. To disclose information to State and local law enforcement
authorities pertaining to incidents of suspected child abuse or
neglect as described in 42 CFR 2.12(c)(6).
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the name of the individual on whom they
are maintained.
Safeguards:
These records are maintained in locked file cabinets labeled
confidential with access strictly limited to employees directly
involved in the Office's alcohol and drug abuse prevention function
(as that term is defined in 42 CFR part 2).
Retention and disposal:
Records are maintained for six (6) years after the employee's last
contact with the Office's prevention function or, if the employee
leaves the agency, until the Employee Assistance Program Annual Report
for the fiscal year in which separation occurred is prepared. Records
are destroyed by shredding or burning.
System manager(s) and address:
Chief, Division of Health Services, U.S. Department of Labor, Room S-
3217, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the DOL Employee Assistance
Program coordinator who arranged for counseling or treatment.
Individuals must furnish the following information for their records
to be located and identified:
a. Full Name.
b. Date of Birth.
c. Signature.
Record access procedures:
Individuals wishing to request access to records pertaining to them
should contact the DOL Employee Assistance Program coordinator who
arranged for counseling or treatment. Individuals must furnish the
following information for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Signature.
Individuals requesting access must also comply with the Office's
Privacy Act regulations on verification of identity and access to
records (5 CFR 297.201 and 297.203).
Contesting record procedures:
Individuals wishing to request amendment to these records should
contact the DOL Employee Assistance Program coordinator who arranged
for counseling or treatment. Individuals must furnish the following
information for their records to be located and identified.
a. Full name.
b. Date of birth.
c. Signature.
Individuals requesting amendment must also comply with the Office's
Privacy Act regulations on verification of identity and amendment of
records (5 CFR 297.201 and 297.208).
Record source categories:
Information in this system of records comes from the individual to
whom it applies, the supervisor of the individual if the individual
was referred by a supervisor, the Employee Assistance Program staff
member who records the counseling session, therapists or institutions
providing treatment, and other sources whom the Office believes may
have information relevant to treatment of the individual.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-7

System name: Employee Medical Records.

Security classification:
None.
System location:
U.S. Department of Labor, OASAM, Room S-3214, 200 Constitution Avenue,
NW, Washington, DC 20210 and the DOL Health Unit at 555 Griffin Square
Building, Dallas, Texas 75202.

Note--Other regional and national office health unit services are
provided by other Federal agencies located near DOL worksites, such as
the U.S. Public Health Service, Department of the Navy, and the
Internal Revenue Service. Employee health records maintained by these
agencies are considered the property of the agency providing
treatment. The records are maintained in the strictest confidence and
all information contained therein is considered privileged and under
the protection of the Privacy Act of 1974.
Categories of individuals covered by the system:
Individuals covered are those of the following who have received
health services under the Federal Employee Occupational Health
Program:
a. DOL employees (whether actually employed at 200 Constitution Avenue
or elsewhere in the Washington, DC, area), who have received services
at the DOL Health Unit.
b. DOL employees who participate in the Health Unit located at 555
Griffin Square Building, Dallas, Texas, who have received health
services.
c. Employees of other agencies/visitors who have received health
services at DOL Health Units.
Categories of records in the system:
This system is comprised of records developed as a result of employee
utilization of services provided under the Office's Occupational
Health Program. These records contain the following information:
a. Medical history and other biographical data on those individuals
requesting employee health maintenance physical examinations.
b. Test reports and medical diagnosis based on employee health
maintenance physical examinations or health screening program tests
(tests for single medical conditions or diseases).
c. History of complaint, diagnosis, and treatment of injuries and
illnesses cared for at Health Unit.
d. Vaccination records.
e. All other medical records, forms, and reports created on an
employee during his or her period of employment or records designated
for long-term retention.
Authority for maintenance of the system:
5 U.S.C. 7901 et seq., Office of Management and Budget Circular No. A-
72.
Purpose(s):
These records document employee utilization of health services
provided under the Office's Occupational Health Program.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. To refer information required by applicable law to be disclosed to
a Federal, State, or local public health service agency, concerning
individuals who have contracted certain communicable diseases or
conditions. Such information is used to prevent further outbreak of
the disease or condition.
b. To disclose information to the appropriate Federal, State, or local
agency responsible for investigation of an accident, communicable
disease, medical condition, or injury as required by pertinent legal
authority.
c. To disclose information to another Federal agency, to a court or a
party in litigation before a court or in an administrative proceeding
being conducted by a Federal agency, either when the Government is a
party to a judicial proceeding or in order to comply with the issuance
of a subpoena.
d. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
e. To disclose to the OWCP information in connection with a claim for
benefits filed by an employee.
f. To provide information to a congressional office from the record of
an individual in response to an inquiry from that congressional office
made at the request of the individual.
g. To communicate information to contractors providing medical or
counseling services to Department of Labor employees when such
contractors have a need for the information in connection with their
services. This would include medical or health personnel and alcohol
or other drug abuse counselors.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are stored in manual file folders.
Retrievability:
These records are retrieved by the name of the individual to whom they
pertain.
Safeguards:
Records are maintained in a locked file cabinet with access limited to
authorized staff employees.
Retention and disposal:
Records are destroyed six (6) years after last entry. (Suspended per
GSA FPMR Bulletin B-112, August 5, 1981).
System manager(s) and address:
a. For records maintained at the Office's Health Unit in Washington,
DC, Chief, Division of Health Services, U.S. Department of Labor, 200
Constitution Avenue, NW, Room S-3217, Washington, DC 20210.
b. For records maintained at the 555 Griffin Square Building Health
Unit in Dallas, Texas, Regional Administrator-OASAM.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the appropriate system manager
indicated above. Individuals must furnish the following information
for their records to be located and identified:
a. Full name.
b. Any former name, if applicable.
c. Signature.
Record access procedures:
Individuals wishing to request access to records about them should
contact the appropriate system manager indicated above. Individuals
must furnish the following information for their records to be located
and identified:
a. Full name.
b. Any former name, if applicable.
c. Signature.
Individuals requesting access must also comply with the Office's
Privacy Act regulations on verification of identity and access to
records (5 CFR 297.201 and 297.203).
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the system manager indicated above. Individuals must furnish
the following information for their records to be located and
identified:
a. Full name.
b. Any former name, if applicable.
c. Signature.
Individuals requesting amendment must also comply with the Office's
Privacy Act regulations on verification of identity and amendment of
records (5 CFR 297.201 and 297.208).
Record source categories:
a. The individual to whom the information pertains.
b. Laboratory reports and test results.
c. Contract or Health Unit physicians and nurses who have examined,
tested, or treated the individual.
d. The individual's co-workers or supervisors.
e. The individual's personal physician.
f. Other Federal employee health units.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-11

System name: Training Information System.

Security classification:
None.
System location:
A. Offices in Washington, D.C.: (1) Office of the Deputy Secretary,
DOL Academy; and (2) servicing personnel offices located in OASAM,
National Capital Service Center; (3) Office of the Solicitor; (4)
Bureau of Labor Statistics; (5) Employment Standards Administration;
(6) Employment and Training Administration; (7) Occupational Safety
and Health Administration; (8) Mine Safety and Health Administration;
(9) Office of the Inspector General; and
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
DOL employees who participate in training.
Categories of records in the system:
Records of training received by individual employees for cost and no
cost training.
Authority for maintenance of the system:
5 U.S.C 301, 5 U.S.C. 4115, and FPM Chapter 410, subchapter 9, as
supplemented by the Department's Manual Series Handbook 4-1, (July,
1979).
Purpose(s):
To maintain data needed in the preparation of regular reports to the
Office of Personnel Management and the Office of Management and
Budget.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses.
To prepare statistical attendance reports on training received for
agencies and regions upon request and to satisfy an annual reporting
requirement on training incidents to the Office of Personnel
Management.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files and computer system.
Retrievability:
By employee's name, social security number and/or course number.
Safeguards:
Locked storage equipment and secure computer system.
Retention and disposal:
Disposed of on separation or transfer of the employee.
System manager(s) and address:
Director, DOL Academy, Room C5515, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedures:
Any individual may inquire whether or not the system contains a record
pertaining to her/him by contacting the System Manager.
Record access procedures:
As specified above in ``Notification procedures''.
Contesting record procedures:
As specified above in ``Notification procedures''.
Record source categories:
Training requests and follow-up evaluations of training received.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-12

System name: Administrative Grievance Records.

Security classification:
None.
System location:
1. Directorate of Personnel Management, U. S. Department of Labor, 200
Constitution Avenue, NW, Room N-5470, Washington, DC 20210; DOL Agency
and Regional Personnel Offices;
2. Office of the Solicitor, Washington, D.C., and Regional Offices of
the Solicitor.
Categories of individuals covered by the system:
Current or former DOL employees who have filed grievances, under DOL's
administrative grievance procedure in accordance with 5 CFR part 771
and DOL's implementing regulation.
Categories of records in the system:
The system contains records relating to grievances filed by DOL
employees under administrative grievance procedures and in accordance
with 5 CFR part 771 and DOL's implementing regulation. These case
files contain all documents related to the grievance including
statements of witnesses, reports of interviews and hearings, fact-
finder's findings and recommendations, a copy of the original
decision, and related correspondence and exhibits. This system does
not include files and records of any grievance filed under negotiated
procedures with recognized labor organizations.
Authority for maintenance of the system:
5 CFR part 771.
Purpose(s):
The records are used to process grievances submitted by covered DOL
employees for personal relief in a matter of concern or
dissatisfaction which is subject to the control of agency management.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose pertinent information to the appropriate Federal,
State, or local agency responsible for investigating, prosecuting,
enforcing, or implementing statute, rule, regulation, or order, when
the DOL agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation.
b. To disclose information to any source from which additional
information is requested in the course of processing a grievance, 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.
c. To disclose information to a Federal agency, in response to its
request, in connection with the conducting of a security or
suitability investigation of an individual, the classifying of jobs,
the letting of a contract, to the extent that the information is
relevant and necessary to requesting the agency's decision on the
matter.
d. To disclose information to another Federal agency, to a court, or a
party in litigation before a court or in an administrative proceeding
being conducted by a Federal agency, either when the Government is a
party to a judicial proceeding.
e. To disclose information to officials of the Merit System Protection
Board or the Office of Special Counsel, when requested in connection
with appeals, special studies of the civil service and other merit
systems, review of DOL rules and regulations, investigations of
alleged or possible prohibited personnel practices, and such other
functions as may be authorized by law.
f. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices or examination of
affirmative employment programs.
g. To disclose information to the Federal Labor Relations Authority or
its General Counsel when requested in connection with investigations
of allegations of unfair labor practices or matters before the Federal
Service Impasses Panel.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, safeguarding, and
retaining and disposing of records in the system:
Storage:
Manual file.
Retrievability:
These records are retrieved by the names of the individuals on whom
they are maintained.
Safeguards:
Locked storage equipment.
Retention and disposal:
These records are disposed of 4 years after the closing of the case.
System manager(s) and address:
Director, Office of Employee and Labor Management Relations, U.S.
Department of Labor, Room N-5470, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals submitting grievances should be provided a copy of the
record under the grievance process. They may, however, contact the
personnel office where the action was processed, regarding the
existence of such records on them. They must furnish the following
information for their records to be located and identified:
a. Name;
b. Approximate date of closing of the case and kind of action taken,
and
c. Organizational component involved.
Record access procedure:
See Notification Procedure above.
Contesting record procedure:
Contact the personnel office where the grievance was processed.
Individuals must furnish the following information for their records
to be located and identified:
a. Name;
b. Approximate date of closing of the case and kind of action taken;
and
c. Organizational component involved.
Record source categories:
Information in this system of records is provided by the following:
a. The individual on whom the record is maintained.
b. Testimony of witnesses.
c. Investigative and other employment records.
d. Decisions by Agency Officials.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OASAM-14

System name: Automated Position Control System.

DOL/OASAM-15

System name: Travel and Transportation System.

DL 1-33 Travel Authorization
SF 1038 Advance of Funds Application and Account
SF 1012 Travel Voucher
DL 1-2014 Request and Authorization for Exception From Standard
Contract Terms for City-Pair Service
DL 1-289 Request for Approval of GSA Vehicle Option or Exemption
DL 1-473 Employment Agreement for Transfers Within the Continental
U.S.
DL 1-474 Employment Agreement for Persons Assigned to Posts Outside
the Continental U.S.
DL-1-2030 Estimated PCS Travel and Transportation Data for Travel
Authorization
DL-1-2031 Claim Form for Payment of Relocation Income Tax Allowance
DL-1-2032 Covered Taxable Reimbursements
DL-1-2033R Withholding Tax Allowance,Summary of Transactions,
Withholding of Taxes, and W-2 Reporting
DL 1-472 Employee Application for Reimbursement of Expenses Incurred
in Sale or Purchase (or both) of Residence Upon Change of Official
Station
SF 1164 Claim for Reimbursement for Expenditures on Official Business
DL 1-101 Training Authorization and Evaluation Form
DL 1-478 Administrative Exception to Travel Claim
DL 1-423 Expense Record for Temporary Quarters
SF 1169 Government Transportation Request

As a result of travel, individuals may become indebted to the
Government. Records used to cure these claims include: Consumer credit
reports, information or records relating to the debtor's current
whereabouts, assets, liabilities, income and expenses, debtor's
personal financial statements, and other information such as the
nature, amount and history of the debt, and other records and reports
relating to the implementation of the Debt Collection Act of 1982,
including any investigative reports or administrative review matters.
In order to travel, individuals may avail themselves of charge cards
provided by Government contract. Besides the application for such
cards, records created include transaction, payment and account status
data.
Travel arrangement services are also available by Government contract.
Records include traveler's profile containing name of individual,
social security number, home and office telephones, agency's name,
address, and telephone number, air travel preference, rental car
identification number and preference of car, hotel preference, current
passport and/or visa number, personal credit card numbers, and
additional information; travel authorization; and monthly reports from
travel agent(s) showing charges to individuals, balances, and other
types of account analyses. Permanent change of station travel
arrangements may include information about real estate and movement of
household goods.
Vendors and contractors provide to the Department itemized statements
of invoices, and reports of transactions including refunds and
adjustments to enable audits of charges to the Government.
Authority for maintenance of the system:
41 CFR part 101-7 (Federal Travel Regulations); interpret or apply 31
U.S.C. 3511, 3512, and 3523; 31 U.S.C. 3711 et seq (Debt Collection
Act of 1982); section 206 of Executive Order 11222 (May 8, 1965); 5
CFR 735.207 (Office of Personnel Management Regulations).
Purpose(s):
To facilitate performance of official Government travel by documenting
the authorization of travel; payment of advances; payment of claims,
invoices, vouchers, judgments; debts created by advance payments and
overpayments; provision and use of government contractor-issued charge
cards; and to make travel arrangements.
Data received from a charge card company under government contract
will be used to perform responsibilities under section 206 of
Executive Order 11222 (May 8, 1965) and 5 CFR 735.207 (Office of
Personnel Management Regulations) concerning requirements for
employees to pay their just financial obligations in a proper and
timely manner. Reports will also be monitored to insure that the
charge cards are used only in the course of official travel as
required by the contract. Data will also be analyzed to permit more
efficient and cost effective travel planning and management, including
negotiated costs of transportation, lodging, subsistence and related
services.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
A. Transmittal of data to the U.S. Treasury to effect issuance of
checks to payees.
B. Pursuant to section 13 of the Debt Collection Act of 1982, the
name, address(es), telephone number(s), social security number, and
nature, amount and history of the debts of an individual whose travel
is handled by DOL may be disclosed to private debt collection agencies
for the purpose of collecting or compromising a debt existing in this
system.
C. Information may be forwarded to the Department of Justice as
prescribed in the Joint Federal Claims Collection Standards (4 CFR Ch.
II). When debtors fail to make payment through normal collection
routines, the files are analyzed to determine the feasibility of
enforced collection by referring the cases to the Department of
Justice for litigation.
D. Pursuant to sections 5 and 10 of the Debt Collection Act of 1982,
information relating to the implementation of the Debt Collection Act
of 1982 may be disclosed to other Federal Agencies to effect salary or
administrative offsets, or for other purposes connected with the
collection of debts owed to the United States.
E. A record from this system may be disclosed to a Federal Agency in
response to its request in connection with the hiring/retention of an
employee, the letting of a contract, or the issuance of a grant,
license, or other benefit by the requesting agency, to the extent that
the information is relevant to the requesting agency's decision on the
matter.
F. Information contained in the system of records may be disclosed to
the Internal Revenue Service to obtain taxpayer mailing addresses for
the purpose of locating such taxpayer to collect, compromise, or write
off a Federal claim against the taxpayer. Records from this system of
record may be disclosed to the Internal Revenue Service for the
purpose of offsetting a Federal claim from any income tax refund that
may be due to the debtor.
G. Information may be disclosed to the Internal Revenue Service
concerning the discharge of an indebtedness owed by an individual, or
other taxable benefits received by the employee.
H. Information will be disclosed:
1. To a Federal, State, local, or foreign agency responsible for
investigating, prosecuting, enforcing, or carrying out a statute, rule
regulation, or order, where there is a suspected violation of civil or
criminal law.
2. To another Federal agency or a court when the Government is party
to a judicial proceeding.
3. To credit card companies for billing purposes.
4. To Departmental and other Federal agencies such as GSA for travel
management purposes.
5. To airlines, hotels, car rentals companies and other travel related
companies for the purpose of serving the traveler. This information
will generally include the name, phone number, addresses, charge card
information and itineraries.
I. Records from this system of records may be disclosed to the Defense
Manpower Data Center--Department of Defense and the United States
Postal Service to conduct computer matching programs for the purpose
of identifying and locating individuals who are receiving Federal
salaries or benefit payments and are delinquent in their repayment of
debts owed to the United States Government under certain programs
administered by the United States Department of Labor in order to
collect the debts under the provisions of the Debt Collection Act of
1982 (Pub. L. 97-365) by voluntary repayment, or by salary or
administrative offset procedures.
Disclosure to consumer reporting agencies:
The amount, status, and history of overdue debts; the name and
address, taxpayer identification number (SSN), and other information
necessary to establish the identity of a debtor, the agency and
program under which the claim arose, are disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer reporting agencies as defined by
section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)),
in accordance with section 3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966, as amended (31 U.S.C. 3711(f)) for the purpose
of encouraging the repayment of an overdue debt.

Note: Debts incurred by use of the official travel charge card are
personal and the charge card company may report account information to
credit collection and reporting agencies.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file cabinets. Computer records within a computer and
attached equipment.
Retrievability:
Filed by name and/or social security number of traveler at each
location.
Safeguards:
Records stored in lockable file cabinets or secured rooms.
Computerized records protected by password system. Information
released only to authorized officials on a need-to-know basis.
Retention and disposal:
Records are held for 3 years or until audit whichever is sooner and
then destroyed.
System manager(s) and address:
Comptroller, Office of the Comptroller, OASAM, Department of Labor,
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Inquiries from individuals should be addressed to the appropriate
agency's administrative office for which they traveled.
Record access procedures:
Requests from individuals should be addressed to the appropriate
Department of Labor agency's administrative office for which they
traveled. Individuals must furnish their full name and the authorizing
agency component for their records to be located and identified.
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the appropriate Department of Labor administrative office of
which they traveled. Individuals must furnish their full name and the
name of the authorizing agency, including duty station where they were
employed when traveling if applicable.
Record source categories:
Individuals, employees, other Federal agencies, consumer reporting
agencies, credit card companies, government contractors, state and
local law enforcement.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-17

System name: Equal Employment Opportunity Complaint Files.

Note: Records in this system are covered in conjunction with EEOC's
government-wide system EEOC/GOVT-1.
Security classification:
None.
System location:
Directorate of Civil Rights, OASAM, U.S. Department of Labor, Room N-
4123, 200 Constitution Avenue, NW, Washington, DC 20210.
The Directorate of Civil Rights maintains the primary system of
records. However, Regional Civil Rights Officers maintain copies of
complete or partial investigative reports and correspondence files, as
well as settlement agreements and informal complaint forms.
Categories of individuals covered by the system:
Individuals, classes of individuals, or representatives designated to
act on behalf of employees, former employees, or applicants of the
Department who have consulted with an EEO Counselor and/or who have
filed a formal complaint alleging discrimination on the basis of race,
color, religion, sex, national origin, physical or mental handicap,
and/or age because of a determination, decision, action, or the non-
action administered against them by a departmental official, and
individuals alleging reprisal for having previously participated in
the EEO process.
Categories of records in the system:
Information and/or documents pertaining to pre-complaint processing,
informal resolutions, formal allegations of discrimination, and
investigations of complaints of discrimination. These records contain
complainant's names, addresses, job titles and descriptions, dates of
employment; agencies involved; counselor's reports; initial and
supplemental allegations; letters and notices to individuals and
organizations involved in the processing of the complaint; materials
placed into the record to support or refute the alleged decisions;
determination or actions taken; statements of witnesses; related
correspondence; investigative reports, instructions on actions to be
taken in order to comply with the provisions of a decision, opinions,
recommendations, settlement agreements, proposed and final decisions.
Authority for maintenance of the system:
Executive Order 11478; Secretary's Order 3-83; Title VII of the Civil
Rights Act of 1964, as amended, 42 U.S.C. 2000e; the Equal Pay Act, 29
U.S.C. 206(d); the Age Discrimination in Employment Act of 1967, as
amended, 29 U.S.C. 621; the Rehabilitation Act of 1973, as amended, 29
U.S.C. 794; the Civil Service Reform Act of 1978, 5 U.S.C. 1101; and
29 CFR part 1613.
Purpose(s):
These records are used to process, investigate and resolve
discrimination complaints within the Department.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The records in the complaint file are classified in three categories:
correspondence file, investigative file, and transcripts. Records that
are relevant and necessary may be disclosed:
1. To the responding official (RO) consistent with the instructions in
EEOC's Complaint Processing Manual which provides that during the
investigative process the responding official shall have access to
documents in the correspondence file and the investigative file in
which the official is identified and charged with discrimination or
other wrong-doing. Names of and identifying information on persons
other than the complainant and the RO should be deleted from copies of
the documents shown to the RO. If the Department issues a final
decision on the complaint rejecting the complainant's allegations
against the RO, the RO does not have access to the entire complaint
file. If the Department's decision concludes or implies impropriety on
the part of the RO, the entire complaint file, with names and
identifying information deleted where appropriate, must be made
available to the RO. If the Department takes or proposes adverse
action or other disciplinary action against the RO, the entire
complaint file, without deletions, must be made available for his or
her review.
2. To Federal agencies with jurisdiction over a complaint, including
the Equal Employment Opportunity Commission, the office of Personnel
Management, the Merit Systems Protection Board, the Office of Special
Counsel, and the Federal Labor Relations Authority, for investigatory,
conciliation or enforcement purposes.
3. To the Department of Justice for the purpose of obtaining advice
regarding the disclosability of particular records pursuant to a
Freedom of Information Act request.
4. To a physician or medical official for the purpose of evaluating
medical documents in complaints of handicap discrimination.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in manual and automated files.
Retrievability:
Manual files are indexed by complainant's name and by the office case
number. Automated files are retrieved by: Office case number;
complainant's name, fiscal year; current status of complaint; region
code; issue code; basis code; agency code; class action; relief code;
EOS identification; Investigator identification.
Safeguards:
Access to the Department of Labor and its annexes is controlled by
security guards, and admission is limited to those individuals
possessing a valid identification card or individuals who have
obtained special permission. Manual records are maintained in secured
file cabinets or in restricted areas, access to which is limited to
authorized personnel. Automated files are controlled by means of
identification numbers and passwords known only to the employees of
the Directorate of Civil Rights who are authorized to have access to
such files. Statistical information from these records may be made
available to departmental officials, other agencies, and to the public
without the persons to whom the records pertain being identified.
Retention and disposal:
Records are retained for a period of four years after the final
disposition of a complaint, and then destroyed. A permanent
alphabetical record is kept of complaints by name of the complainant,
giving the basis of the complaint, the matter giving rise to the
complaint, and the disposition.
System manager(s) and address:
Director, Directorate of Civil Rights, OASAM, U.S. Department of
Labor, 200 Constitution Avenue, NW, Room N-4123, Washington, DC 20210.
Notification procedure:
Individuals or organizations designated to act on behalf of
individuals may write the system manager indicated above regarding the
existence of records pertaining to them pursuant to 29 CFR part 70a.
The inquirers should provide, as appropriate, their full name, the
name of the employing agency and/or the agency in which the situation
arose, if different than the employing agency, approximate date of
filing complaint, region of complaint, last known status of complaint
office case number, the kind(s) of action(s) taken against them, and a
notarized signature, or a notarized letter of consent when a person
requests access on behalf of the individual who is the subject of the
file.
Record access procedures:
Individuals or organizations designated to act on behalf of an
individual wishing to gain access to records covered by the Privacy
Act, shall follow the guidelines prescribed by 29 CFR part 70a,
summarized here under ``Notification procedures.''
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to 29 CFR 70a.7, write the system manager at the specified
address above, reasonably identifying the record pertaining to them,
the information which is being contested in that record, the
corrective action(s) being sought, and the reasons for the
correction(s).
Record source categories:
Individual to whom the record pertains; official documents relating to
the processing of a complaint, the informal and formal allegations,
appeals of departmental decisions; and respondent agency officials,
employees, and other witnesses.
Systems exempted from certain provisions of the act:
Under the specific exemption provided by 5 U.S.C. 552a(k) (2), this
system of records is exempted from the following provisions of the
Privacy Act: Under the specific exemption provided by 5 U.S.C. 552a(k)
(2), this system of records is exempted from the following provisions
of the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and
(f). Information from the complaint file may be denied in anticipation
of a civil action or proceeding, in instances where premature release
of documents could hamper the decision-making process, where the
release of personal information about another employee may result in
an invasion of personal privacy, and where release of confidential
statements could lead to intimidation or harassment of witnesses and
impair future investigations by making it more difficult to collect
similar information. Personal information about other employees that
are contained in the complainant's file because of its use as
comparative data such as: Medical records, place and date of birth,
age, martial status, home address and telephone numbers, the substance
of promotion recommendations, supervisory assessments of professional
conduct and ability, may be denied to the subject when it could cause
embarrassment and/or harassment to the other employees.

DOL/OASAM-19

System name: Negotiated Grievance Procedure and Unfair Labor
Practice Files.

Security classification:
None.
System location:
A. Offices in Washington, D.C.:
1. Office of Employee and Labor-Management Relations (OASAM);
2. Office of the Solicitor;
3. Bureau of Labor Statistics;
4. Employment Standards Administration;
5. Employment and Training Administration;
6. Office of Labor-Management Services;
7. Occupational Safety and Health Administration;
8. Mine Safety and Health Administration;
9. National Capital Service Center; and
10. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
DOL employees who have filed grievances under negotiated grievance
procedures, and DOL employees who have filed unfair labor practices
charges against the Department.
Categories of records in the system:
This system contains a variety of records relating to an employee
grievance filed under procedures established by labor-management
negotiations and unfair labor practice charges filed under the Federal
Service Labor-Management Relations Statute. The records may include
information such as: Employee's name, grade, job title, employment
history, arbitrator's decision or report, record of appeal to the
Federal Labor Relations Authority, and a variety of employment and
personnel records associated with the grievance or charge.
Authority for maintenance of the system:
Section 7121 of 5 U.S. Code for grievances, section 7116 of 5 U.S.
Code for unfair labor practices, Federal Service Labor-Management
Relations Statute and related amendments of 5 U.S. Code 5596(b) for
back pay.
Purpose(s):
These records are used to process an employee's grievance filed under
a negotiated grievance procedure or an unfair labor practice charge
filed by an employee or union.
Routine use of records maintained in the system, including categories of
users and the purposes of such uses:
These records and information in these records that are relevant and
necessary may be used:
a. To disclose information to any source from which additional
information is requested in the course of processing a grievance, 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.
b. To disclose information to officials of the Merit System Protection
Board or the Office of Special Counsel, when requested in connection
with appeals, special studies of the civil service and other merit
systems, review of DOL rules and regulations, investigations or
alleged or possible prohibited personnel practices, and such other
functions as may be authorized by law.
c. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices or examination of
affirmative employment programs.
d. To disclose information to the Federal Labor Relations Authority or
its General Counsel when requested in connection with investigations
of allegations of unfair labor practices or matters before the Federal
Service Impasses Panel.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual file.
Retrievability:
By name and/or case file number.
Safeguards:
Locked room.
Retention and disposal:
Records are destroyed 3 years after all administrative remedies have
been exhausted.
System manager(s) and address:
Director, Office of Employee and Labor-Management Relations, U.S.
Department of Labor, Room N-5476, 200 Constitution Ave., NW,
Washington, DC 20210.
Notification procedures:
Contact system manager at above address.
Record access procedure:
Contact system manager at above address.
Contesting record procedure:
Contact system manager at above address.
Record source categories:
Employee grievances and charges, employee/supervisor interviews,
investigative and employment records, and findings of arbitrators and
other tribunals.
Systems exempted from certain provisions of the act:
Under the specific exemption provided by 5 U.S.C. 552a(k)(2), this
system of records is exempted from the following provisions of the
Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), and (e) (4)(G),(H), (I)
& (f). Information from the case file may be denied in anticipation of
a civil action or proceeding, in instances where premature release of
documents could hamper the decision-making process, where the release
of personal information about another employee may result in an
invasion of personal privacy, and where release of confidential
statements could lead to intimidation or harassment of witnesses and
impair future investigations by making it more difficult to collect
similar information. Personal information about other employees that
is contained in the grievant's or charging party's file because of its
use as comparative data such as: Medical records, place and date of
birth, age, marital status, home address and telephone numbers, the
substance of promotion recommendations, supervisory assessments of
professional conduct and ability, may be denied to the subject when it
could cause embarrassment and/or harassment to the other employees.

DOL/OASAM-20

System name: Personnel Investigation Records.

Security classification:
None for the system. However, items or records within the system may
have national defense/foreign policy classifications up through
secret.
System location:
Personnel Security Unit, Office of Executive Personnel Management
(OASAM), U.S. Department of Labor, Room C-5331, 200 Constitution
Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
a. Current and former employees or applicants for employment in the
Department.
b. Individuals considered for access to classified information or
restricted areas and/or security determinations as contractors,
experts, instructors, and consultants to Departmental programs.
Categories of records in the system:
Investigative files and investigative index card files which pertain
to clearance investigations for Federal employment. These records
contain investigative information regarding an individual's character,
conduct, and behavior in the community where he or she lives or lived;
arrests and convictions for violations against the law; reports of
interviews with present and former supervisors, coworkers, associates,
educators, etc; reports about the qualifications of an individual for
a specific position and files and index cards relating to adjudication
matters; reports of inquiries with law enforcement agencies,
employers, educational institutions attended; reports or action after
OPM or FBI Section 8 (d) Full Field Investigation; Notices of Security
Investigation; and other information developed from above.
Note: This system does not apply to records of a personnel
investigative nature that are part of the Office of Personnel
Management's (OPM) Privacy Act System OPM/CENTRAL-9, Personnel
Investigation Records. Access to or amendment of such records must be
obtained from OPM.
Authority for maintenance of the system:
Executive Order 10450.
Purpose(s):
The purposes of this systems are:
a. To provide investigatory information for determination concerning
compliance with Federal personnel regulations and for individual
personnel determinations including suitability and fitness for Federal
employment, access and security clearances, evaluations of
qualifications, loyalty to the U.S. and evaluations of qualifications
and suitability for performance of contractual services for the U.S.
Government.
b. To document such determinations;
c. To provide information necessary for the scheduling and conduct of
the required investigations;
d. To otherwise comply with mandates and Executive Order; and
e. These records may also be used to locate individuals for personnel
research.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records and information in these records may be used in
disclosing relevant and necessary information:
a. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
Government, when such agency, office, or establishment conducts an
investigation of the individual for the purpose of granting a security
clearance, or for the purpose of making a determination of
qualifications, suitability, or loyalty to the United States
Government, or access to classified information or restricted areas.
b. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
Government, having the responsibility to grant clearances to make a
determination regarding access to classified information or restricted
areas, or to evaluate qualifications, suitability, or loyalty to the
United States Government, in connection with performance of a service
to the Federal Government under a contract or other agreement.
c. To the intelligence agencies of the Department of Defense, the
National Security Agency, the Central Intelligence Agency, and the
Federal Bureau of Investigation for use in intelligence activities.
d. To any source from which information is requested in the course of
an investigation, to the extent necessary to identify individual,
inform the source of the nature and purpose of the investigation, and
to identify the type of information requested.
e. To Federal agencies as a data source for management information
through the production of summary descriptive statistics and
analytical studies in support of the functions for maintained or for
related studies.
f. To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel, when
requested in connection with appeals, special studies of the civil
service and other merit systems, review of office rules and
regulations,investigations of alleged or possible prohibited personnel
practices, and such other functions, e.g., as promulgated in 5 U.S.C.
1205 and 1206, or as may be authorized by law.
g. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, compliance by
Federal agencies with the Uniform Guideline Employee Selection
Procedures, or other functions vested in Commission by the President's
Reorganization Plan No. 1 of 1978.
h. To disclose information to the Federal Labor Relations Authority or
its General Counsel when requested in connection with investigations
of allegations of unfair labor practices or matters before the Federal
Service Impasses Panel.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, assessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and on index cards.
Retrievability:
Records are retrieved by the name of the individual on whom they are
maintained.
Safeguards:
Folders are maintained in file cabinets secured by three position
combination locks. The index to the system and those records which are
maintained on index cards are contained in covered and locked Wheeldex
machines. All employees are required to have an appropriate security
clearance before they are allowed access to the records.
Retention and disposal:
a. Index cards which show the scheduling or completion of an
investigation, and investigative files, if any, are retained for 2
years, plus the current year from the date of the most recent
investigative activity. Other index cards which show no investigative
record other than the completion of a clear National Agency Check or a
clear National Agency Check Inquiry, and where no investigative file
folder exists, are retained for two years plus the current year.
b. Reports of action after OPM or FBI section 8(d) background
investigation are retained for the life of the investigative file.
c. Notices of Security Investigations are retained for 20 years.
All records are destroyed by burning.
System manager(s) and address:
Director, Office of Executive Personnel Management, OASAM, U.S.
Department of Labor, Room C-5331, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the system manager in writing.
Individuals must furnish the following information for their records
to be located and identified:
a. Full name
b. Date of birth
c. Social Security Number
d. Signature
e. Any available information regarding the type of record involved.
f. The category of covered individuals under which the requester
believes he or she fits.
Record access procedures:
Specific materials in this system have been exempted from Privacy Act
provisions at 5 U.S.C. 552a(c)(3) and (d), regarding access to
records. The section of this notice titled Systems exempted from
certain provisions of the Act, which appears below, indicates the
kinds of material exempted and the reasons for exempting them from
access. Individuals wishing to request access to their records should
contact the system manager in writing. Individuals must furnish the
following information for their records to be located and identified:
a. Full name
b. Date of birth
c. Social Security Number
d. Signature
e. Any available information regarding the type of record involved.
f. The category of covered individuals under which the requester
believes he or she fits.
Contesting record procedures:
Specific materials in this system have been exempted from Privacy Act
provisions at 5 U.S.C. 552a(d), regarding amendment to records.
The section of this notice titled Systems exempted from certain
provisions of the Act, which appears below, indicates the kinds of
material exempted and the reasons for exempting them from amendment.
Individuals wishing to request amendment to their non-exempt records
should contact the system manager in writing. Individuals must furnish
the following information for their records to be located and
identified:
a. Full name
b. Date of birth
c. Social Security Number
d. Signature
e. Any available information regarding the type of record involved.
f. The category of covered individuals under which the requester
believes he or she fits.
Record source categories:
Information contained in the system was obtained from the following
categories of sources:
a. Applications and other personnel and security forms furnished by
the individual;
b. Investigative and other record material furnished by Federal
agencies;
c. Notices of personnel actions furnished by Federal agencies;
d. By personal investigation or written inquiry from sources such as
employers, educational institutions, references, neighbors,
associates, police departments, courts, credit bureaus, medical
records, probation officials, prison officials, newspapers, magazines,
periodicals, and other publications.
Systems exempted from certain provisions of the act:
This system may contain the following types of information:
a. Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment. The Privacy Act, at 5 U.S.C 552a(k)(5), permits
an agency to exempt such material from certain provisions of the Act.
Materials may be exempted to the extent that release of the material
to the individual whom the information is about would:
1. Reveal the identity of a source who furnished information to the
Government under an express promise (granted on or after September 27,
1975) that the identity of the source would be in confidence; or
2. Reveal the identity of a source who, prior to September 27, 1975,
furnished information to the Government under an implied promise that
the identity of the source would be held in confidence.
b. For all the above reasons the Department hereby exempts this system
from the following provisions of the Privacy Act: 5 U.S.C. 552a (c)
(3), (d), (e) (1), (e) (4) (G), (H) and (I) and (f).

DOL/OASAM-22

System name: Directorate of Civil Rights Citizen Discrimination
Complaint Case Files.

Security classification:
None.
System location:
Directorate of Civil Rights, OASAM, U.S. Department of Labor, Room N-
4123, 200 Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Individuals or classes filing complaints under Title VI of the Civil
Rights Act of 1964; Title IX of the Education Amendments of 1972, as
amended; section 504 of the Rehabilitation Act of 1973, as amended;
the Age Discrimination Act of 1975, as amended; and section 167 of the
Job Training Partnership Act of 1982, as amended, alleging
discrimination on the basis of race, color, national origin, age,
handicap, sex, religion, citizenship, or political affiliation or
belief, or retaliation for having filed a discrimination complaint,
furnishing information, or assisting or participating in any manner in
an investigation, hearing or any other activity related to the
administration of Federal law requiring equal opportunity.
Categories of records in the system:
Complainants' statements of alleged discrimination, respondents'
statements, witnesses' statements, names and addresses of complainants
and respondents, personal, employment or program participation
information, medical records, conciliation and settlement agreements,
related correspondence, initial and final determinations, other
records related to investigations of discrimination complaints.
Authority for maintenance of the system:
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d to 2000d-4;
section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.
794; the Age Discrimination Act of 1975, 42 U.S.C. 6102; Title IX of
the Education Amendments of 1972, 20 U.S.C. 1681; and the Job Training
Partnership Act of 1982, as amended, 29 U.S.C. 1577; 29 CFR parts 31
and 32; and section 5(3) of Secretary's Order 2-81.
Purpose(s):
These records are used to initiate a complaint with, or to investigate
and resolve discrimination complaints filed with the Department of
Labor against recipients of financial assistance from the Department.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records that are relevant and necessary may be disclosed:
a. To the Equal Employment Opportunity Commission, Department of
Justice, Federal Mediation and Conciliation Service, and the
Department's Offices of the Solicitor and Administrative Law Judges,
when relevant to matters within the jurisdiction of those agencies
over a complaint, for investigatory, conciliation, enforcement, or
litigation purposes.
b. To organizations which are recipients of Federal financial
assistance and against whom complaints in an administrative or
judicial proceeding are filed to the extent necessary to effectively
represent themselves, provided that the privacy of persons not a party
to the dispute is protected.
c. To the Equal Employment Opportunity Commission, the Department of
Justice, the Department of Health and Human Services, and other
Federal entities having responsibility for processing and resolving
complaints, coordinating civil rights activities and/or preparing
reports to Congress under authorities indicated in this particular
notice.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in manual and automated files.
Retrievability:
These records are retrieved by various combinations of office case
numbers, complainant's name, fiscal year, current status of complaint,
state, basis code, and program code.
Safeguards:
Access to the Department of Labor and its annexes is controlled by
security guards, and admission is limited to individuals possessing a
valid identification card or individuals who have obtained special
permission. Manual records are maintained in secured file cabinets or
in restricted areas, access to which is limited to authorized
personnel. Automated files are controlled by means of identification
numbers and passwords known only to the employees of the Directorate
of Civil Rights who are authorized to have access to such files.
Retention and disposal:
Manual records are retained for a period of three years after the
final disposition of a complaint. They are then retired to the Federal
Records Center for two additional years, and then destroyed.
Complaints are maintained in the automated file for two years, after
which they are stored on disc or tape for three additional years and
then destroyed by shredding.
System manager(s) and address:
Director, Directorate of Civil Rights, U.S. Department of Labor, 200
Constitution Avenue, NW, Room N-4123, Washington, DC 20210.
Notification procedure:
Pursuant to 29 CFR part 70a individuals requesting information or
assistance, or making inquiries regarding the existence of records
pertaining to them should write the system manager at the address
above. Inquiries should include the name of the inquirer, complaint
case number, approximate date of filing, if the case number is
unknown, name of respondent, last known status of the complaint, and
signature. When a request is submitted by mail, the signature of the
requester shall be notarized.
Record access procedures:
An individual or organization representing an individual(s), wishing
to gain access to records covered by the Privacy Act shall follow the
guidelines set forth under notification procedures summarized above
and Departmental regulations at 29 CFR part 70a.
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to 29 CFR 70a.7, write the system manager at the specified
address above, reasonably identifying the record pertaining to them,
the information which is being contested in that record, the
corrective action(s) being sought, and the reason(s) for the
correction(s).
Record source categories:
Individual complainants and witnesses of the complainants; respondent
officials, employees, and witnesses; interrogatories; recipient files
and records; and physician's and other medical service provider's
records.
Systems exempted from certain provision of the Act:
In accordance with 5 U.S.C. 552a(k)(1), this system of records is
exempt information in this system of records specifically authorized
under criteria established by an Executive order to be kept secret in
the interest national defense or foreign policy and which are in fact
properly classified pursuant to such Executive order are exempt from 5
U.S.C. 552a(d); (c)(3); (e)(4)(G), (H), and (I); and (f).
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.
In accordance with 5 U.S.C. 552a(k)(5), investigatory material in this
system of records compiled solely for the purpose of determining
suitability, eligibility, or qualifications for Federal civilian
employment, military service, Federal contract, or access to
classified information, but only to the extent that the disclosure of
such material would reveal the identity of a source who furnished
information to the Government under an express promise that the
identity of the source would be held in conference, or prior to
January 1, 1975, under an implied promise that the identity of the
source would be held in confidence, is exempt from subsection (c)(3);
(d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a.

DOL/OASAM-23

System name: Contracted Travel Service Program.

Security classification:
Unclassified.
System location:
This system of records is located in the travel agency under contract
with a Federal agency and in the administrative offices of Department
of Labor agencies. The office in Washington D.C. is the Office of the
Assistant Secretary for Administration and Management, (OASAM) and in
the Regions are OASAM Regional Offices.
Categories of individuals covered by the system:
Individuals for whom travel is being arranged by the contractor.
Categories of records in the system:
Records include traveler's profile which contains name of individual,
social security number, home and office telephones, agency's name,
address, and telephone number, air travel preference, rental car
identification number and preference of car, hotel preference, current
passport and/or visa number, personal credit card numbers, and
additional information; travel authorization and monthly reports from
travel agent(s) showing charges to individuals, balances, and other
types of account analyses.
Authority for maintenance of the system:
31 U.S.C. 711; interpret or apply 31 U.S.C. 3511, 3512, and 3523.
Purpose(s):
To assemble in one system information to enable travel agents who are
under contract to the Federal Government to issue and account for
travel provided to individuals.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
a. To disclose information to a Federal State, local, or foreign
agency responsible for investigating. prosecuting, enforcing, or
carrying out a statute, rule, regulation, or order, where to agencies
become aware of a violation or potential violation of civil or
criminal law or regulation.
b. To disclose information to another Federal agency or a court when
the Government is party to a judicial proceeding.
c. To disclose information to a credit card company for billing
purposes.
d. To disclose information to a Federal agency for accumulating
reporting data and monitoring the system.
e. To disclose information to the agency by the contractor in the form
of itemized statements of invoices, and reports of all transactions
including refunds and adjustments to enable audits of charges to the
Government.
f. To disclose information credit card, phone numbers, addresses,
etc., to airlines, hotels, car rentals companies and other travel
affiliated companies for the purpose of serving the client.
g. To disclose personal credit card information to hotels and car
rental companies for the purpose of guaranteeing reservations.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file cabinets. Computer records within a computer and
attached equipment.
Retrievability:
Filed by name and/or social security number of traveler at each
location.
Safeguards:
Records stored in lockable file cabinets or secured rooms.
Computerized records protected by password system. Information
released only to authorized officials on a need-to-know basis.
Retention and disposal:
Records kept by the Federal agency are held for 3 years and then
destroyed. Records kept by the travel agency are held and destroyed no
longer than 3 years.
System manager(s) and address:
Comptroller, Office of the Comptroller, OASAM, Department of Labor,
200 Constitution Avenue NW, Washington, DC 20210.
Notification procedure:
Inquiries from individuals should be addressed to the appropriate
agency's administrative office for which they traveled.
Record access procedures:
Requests from individuals should be addressed to the appropriate
Department of Labor agency's administrative office for which they
traveled. Individuals must furnish their full name and the authorizing
agency, including duty station where they were employed when traveling
if applicable.
Record source categories:
Individual, employees, travel authorization, credit card companies.
System exempted from certain provisions of the act:
None.

DOL/OASAM-24

System name: Privacy Act/Freedom of Information Act Requests
Files Systems.

Security classification:
None.
System location:
A. Offices in Washington, D.C.
1. Office of the Secretary of Labor, including
(a) Office of the Assistant Secretary for Administration and
Management,
(b) Office of the Solicitor of Labor,
(c) Office of Public and Intergovernmental Affairs,
(d) Office of Small and Disadvantaged Business Utilization,
(e) Bureau of International Labor Affairs,
(f) Employees' Compensation Appeals Board,
(g) Wage Appeals Board,
(h) Benefits Review Board, and
(i) Office of Administrative Law Judges;
2. Office of Pension and Welfare Benefits Administration;
3. Office of Labor-Management Standards;
4. Bureau of Labor-Management Relations and Cooperative Programs;
5. Bureau of Labor Statistics;
6. Employment and Training Administration;
7. Employment Standards Administration;
8. Occupational Safety and Health Administration;
9. Mine Safety and Health Administration;
10. Office of Inspector General;
11. Office of Veterans Employment and Training Services.
B. Regional offices of the above.
Categories of individuals covered by the system:
Individuals who have submitted Privacy Act and Freedom Of Information
Act requests under (5 U.S.C. 552a and 552).
Categories of records in the system:
This system contains records of requests, responses, and related
documents for:
a. Information under the provisions of the FOIA Act (5 U.S.C. 552a);
and
b. Information under provisions of the Privacy Act (5 U.S.C. 552a)
for:
1. Notification of the existence of records about them;
2. Access to records about them;
3. Amendment to records about them;
4. Review of initial denials of such requests for notification,
access, or amendments; and
5. Requests for an accounting of disclosure of records about them.
Authority for maintenance of the system:
The Privacy Act of 1974 (5 U.S.C. 552a); the Freedom of Information
Act (5 U.S.C. 552); and 5 U.S.C.301).
Purpose(s):
This system of records is maintained for various reasons as follows:
a. To process individual's requests made under the Privacy Act and the
Freedom of Information Act.
b. To provide a record of communications between the requester and the
agency.
c. To ensure that all relevant, necessary and accurate data are
available to support any process for appeal.
d. To provide a legal document to support any process for appeal.
e. To prepare the annual reports to OMB and Congress as required by
the Privacy and Freedom of Information Acts.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
These records, and information in these records, may be used:
a. To disclose information to the Office of Management and Budget at
any state in the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB
Circular No. A-19.
b. To disclose information to Federal agencies (e.g., Department of
Justice) in order to obtain advice and recommendation concerning
matters on which the agency has specialized experience or particular
competence, for use by the Office in making required determinations
under the Freedom of Information Act or the Privacy Act of 1974.
c. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose of the request, and to
identify the type of information requested), where necessary to obtain
information relevant to an Office decision concerning a Privacy or
Freedom of Information Act request.
d. To disclose information to another Federal agency, to a court, or a
party in litigation before a court or in an administrative proceeding
being conducted by a Federal agency, either when the Government is a
party to a judicial proceeding or in order to comply with the issuance
of a subpoena.
e. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
f. To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel, when
requested in connection with appeals, special studies of the civil
service and other merit systems, review of Office rules and
regulation, investigations of alleged or possible prohibited personnel
practices, and such other functions, e.g., as prescribed in 5 U.S.C.
1205 and 1206, or as may be authorized by law.
g. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination complaints in the Federal sector,
examination of Federal Affirmative employment programs, compliance by
Federal agencies with the Uniform Guidelines on Employee Selection
Procedures, or other functions vested in the Commission by the
President's Reorganization Plan No. l of 1978.
h. To disclose information to the Federal Labor Relations Authority or
its General Counsel when requested in connection with investigations
of allegations of unfair labor practices or matters before the Federal
Service Impasses Panel.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by name of individual making request and
by date of request.
Safeguards:
These records are located in lockable metal filing cabinets with
access limited to personnel whose duties require access.
Retention and disposal:
Destroyed two years after response date if no denial was involved.
Destroyed five years after response date if denial of records was
involved.
System manager(s) and address:
Head of agencies or component units within their organizations who
have custody of the records. (See the appropriate Agency Official in
the listing in appendix I, and at 29 CFR 70a.4.)
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the
appropriate office or region where their original Privacy Act or
Freedom of Information Act request was sent, or where they received
responses to such requests.
Record access procedure:
A request for access shall be addressed to each facility to which the
requester has submitted a Freedom of Information Act or Privacy Act
request.

Note: Individuals must furnish the following information for their
records to be located and identified:

a. Name
b. Approximate dates of Privacy Act/FOIA Act correspondence between
the Department of Labor and the individual.
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identify and access to records
at (29 CFR 70a.4).
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the content requirement of 43 CFR 2.71.
Record source categories:
Information in this system of records comes from:
a. The individual who is the subject of the records.
b. Official personnel documents of the agency, including records from
any other agency system of records included in this notice.
c. Agency officials who respond to Privacy Act/FOIA Act requests.
d. Other sources whom the agency believes have information pertinent
to an agency decision on a Privacy Act or Freedom of Information Act
request.
e. Other Federal agencies referring the request to the Department of
Labor.
Systems exempted from certain provisions of the act:
The Department of Labor has claimed exemptions from several of its
other systems for several of its other systems of records under 5
U.S.C. 552a(k) (1), (2), (3), (5), and (6). During the course of a PA/
FOIA action, exempt materials from those other systems may become part
of the case record in this system. To the extent that copies of exempt
records from those other systems are entered into these PA/FOIA case
records, the Department has claimed the same exemptions for the
records as they have in the original primary system of records of
which they are a part.

DOL/OASAM-25

System name: Intergovernmental Personnel Act Assignment Records.

Security classification:
None.
System location:
A. In Washington, D.C.:
(1) OASAM, Office of Employment and Training and personnel offices
located in
(2) OASAM, National Capital Service Center;
(3) Office of the Solicitor;
(4) Bureau of Labor Statistics;
(5) Employment Standards Administration;
(6) Employment and Training Administration;
(7) Occupational Safety and Health Administration;
(8) Mine Safety and Health Administration;
(9) Office of the Inspector General; and
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
Current of former State of local government agency or educational
institution employees, employees of Indian tribal governments, or
other organizations who have completed or are presently on an
assignment in a DOL agency under the provisions of IPA.
Categories of records in the system:
These records consist of a copy of the individual's IPA agreement
between a DOL agency and a State or local government, educational
institution, Indian tribal government, or other organization;
biographical and background information about the assignees.
Authority for maintenance of the system:
The Intergovernmental Personnel Act of 1970. (5 U.S.C. 3371 through
3376).
Purpose(s):
These records are maintained to document and track mobility
assignments under IPA.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
By the name of the individual.
Safeguards:
Files are maintained in an area with limited access.
Retention and disposal:
Records are retained for a period of 2 years following the completion
of the assignment.
System manager(s) and address:
Director, Office of Employment and Evaluation, Room N-5476, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wanting to inquire whether this system contains
information about them should contact the servicing personnel office.
Record access procedures:
Contact the servicing personnel office.
Contesting record procedures:
Contact the servicing personnel office.
Record source categories:
Information provided by the assignee and by officials in DOL agencies,
State and local government, educational institutions, Indian tribal
governments and other organizations where the assignee is employed.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OASAM-26

System name: Frances Perkins Building Parking Management System.

Security classification:
None.
System location:
Office of Facilities Management, Room S-1521, Frances Perkins
Building, 200 Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
All individuals assigned or applying for assignment of parking
privileges in the Frances Perkins Building, Washington, D.C.
Categories of records in the system:
This system includes the following information on all individuals
assigned or applying for parking privileges int he Frances Perkins
Building: Name, office building and room number, office telephone
number, employing agency, home address, federal service computation
date, handicap certification, automobile license number, make and year
of car, permit number (if assigned parking privileges), category of
assignment, and office location in/out of zone of special
consideration.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on individuals who are assigned or applying for
assignment of parking privileges in the Frances Perkins Building.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of information may be made to other government agencies in
response to their request to compare names of car pool members. For
verification, the names of car pool members, their office telephone
number and permit number will be displayed within the Frances Perkins
Building. A printout of the names of car pool members, permit number,
agency and office telephone numbers will be provided to the management
contractor for the sale of permits.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files are stored in a lockable, three drawer file cabinet.
Computer records are stored in a personal computer.
Retrievability:
Records are filed and retrieved by name or permit number.
Safeguards:
Access to and use of these records is limited to personnel whose
official duties require access, except as provided under routine use.
Automated data in personal computer are password protected. Written
application data are placed in file cabinets.
Retention and disposal:
Records are retained while the assignments are current and are
destroyed after the completion of each parking reallocation cycle.
System manager(s) and address:
Director, office of Facilities Management, Room S-1521, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Access to these records may be obtained by request in writing to:
Director, Office of Facilities Management, Room S-1521, 200
Constitution Avenue, NW, Washington, DC 20210.
Record access procedure:
Individuals wishing to request access to records should contact the
appropriate office listed in the notification procedure section.
Individuals must furnish the name or permit number for the record they
wish to access.
Contesting records procedures:
Individual swishing to request amendment of the records should contact
the official at the address specified under notification procedures
above, and reasonably identify the record and specify the information
to be contested.
Record source categories:
Information comes from the individuals to whom the information
pertains.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-27

System name: Employee/Contractor Identification Program.

Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), Directorate of Administrative
and Procurement Programs (DAPP), Office of Facilities Management
(OFM), Division of Security, Room S-1521, 200 Constitution Avenue, NW,
Washington, DC 20210.
Categories of individuals covered by the system:
Individual DOL employees and individual employees of contractors doing
business with DOL.
Categories of records in the system:
Records which contain information on DOL employees and Contract
employees. The information generally includes name, agency, issuance
and expiration dates, and photograph.
Authority of maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records permit identification of persons to be rightfully
admitted to DOL facilities.
Routine uses of records maintained in the system, including categories
of users and purpose of such uses:
The records and information in this system may be used to:
1. Provide information to Federal, State, or local government agencies
for civil, criminal, or regulatory law enforcement;
2. Disclose pertinent information to the appropriate Federal, State,
or local agency responsible for investigating, prosecuting, enforcing,
or implementing a statute, rule, regulation, or order, when the
disclosing agency becomes aware of an indication of a violation or
potential violation of civil or criminal law or regulation. Disclosure
may be made as a routine use to:
1. Contractor, grantee or other direct recipient of federal funds to
allow such entity to effect corrective action in agency's best
interest;
2. Any source, either private or governmental, to the extent necessary
to solicit information relevant to any investigation or audit;
3. The Office of Government Ethics for any purpose consistent with
that office's mission, including the compilation of statistical data;
4. The Department of Justice in order to obtain advice regarding
civil, criminal and administrative law questions and regarding
disclosure obligations under the Freedom of Information Act;
5. In response to a facially valid subpoena or an order signed by a
judge from a court of competent jurisdiction.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records:
Storage:
Manual files in a cabinet housed in a secured room.
Retrievability:
Records are maintained until expiration of employment with DOL, at
which time they are destroyed.
System manager(s) and address:
Chief, Division of Security and Emergency Preparedness, U.S.
Department of Labor, OASAM/DAPP/OFM Room S-1521, 200 Constitution
Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above.
Record access procedure:
Individuals requesting access must comply with Privacy Act regulations
on verification of identity and access to records. (See 29 CFR part
70a.)
Contesting record procedure:
Same as notification procedure above, except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the system manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Sources of information contained in this system are from individuals
and from DOL records.
System exempted from certain provisions of the act:
None.

DOL/OASAM-28

System name: Incident Report/Restriction Notice.

Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), Directorate of Administrative
and Procurement Programs (DAPP), Office of Facilities Management
(OFM), Division of Security Room S-1521, 200 Constitution Avenue NW,
Washington, DC 20210.
Categories of individuals covered by the system:
Complainants, Witnesses and Suspects.
Categories of records in the system:
Records which contain information on incidents that occurred in the
Frances Perkins Building. Information includes name, agency and date
of incident.
Authority of maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Records provide a means of identifying security problem areas thereby
making it possible to better utilize security resources.
Routine uses of records maintained in the system, including categories
of users and purpose of such uses:
Records and information in this system may be used to:
1. Provide information to Federal, State, or local government agencies
for civil, criminal, or regulatory law enforcement;
2. Disclose pertinent information to the appropriate Federal, State or
local agency responsible for investigating, prosecuting, enforcing, or
implementing a statute, rule, regulation, or order, when the
disclosing agency becomes aware of an indication of a violation or
potential violation of criminal or civil law or regulation. Disclosure
may be made as a routine use to:
1. Contractor, grantee or other direct recipient of federal funds to
allow such entity to effect corrective action in agency's best
interest;
2. Any source, either private or governmental, to the extent necessary
to solicit information relevant to any investigation or audit;
3. The office of Government Ethics for any purpose consistent with
that office's mission, including the compilation of statistical data;
4. The Department of Justice in order to obtain advice regarding
civil, criminal and administrative law questions and regarding
disclosure obligations under the Freedom of Information Act;
5. An adjudicative body in response to a facially valid subpoena or an
order signed by a judge from a court of competent jurisdiction.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records:
Storage:
Manual files in a cabinet housed in a secured room.
Retrievability:
Records are maintained seven years, at which time they are destroyed.
System manager(s) and address:
Chief, Division of Security and Emergency Preparedness, U.S.
Department of Labor, OASAM/ DAPP/OFM Room S-1521, 200 Constitution
Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above.
Record access procedure:
Individuals requesting access must comply with Privacy Act regulations
on verification of identity and access to records. (See 29 CFR part
70a.)
Contesting record procedure:
Same as notification procedure above, except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the system manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Sources of information contained in this system are from individuals
and from DOL records.
System exempted from certain provisions of the act:
None.

DOL/OASAM-29

System name: OASAM Employee Administrative Investigation File.

Security classification:
None.
System location:
Offices within the Office of the Assistant Secretary for
Administration and Management at the National Office and in each of
the Regional Offices in addition to all OASAM client agencies in the
National Office and in the regions.
Categories of individuals covered by the system:
OASAM employees and National Capital Service Center client agency
personnel against whom allegations of misconduct have been made.
Categories of records in the system:
Investigative report(s), sworn affidavits, written statements, time
and attendance records, earnings and leave statements, applications
for leave, notifications of personnel actions, travel vouchers, 171's,
certificates of eligible, performance appraisals, interviews and other
data gathered from involved parties and organizations which are
associated with the case.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To investigate allegations of misconduct.
Routine uses of records maintained in the system, including categories
of users and the purpose of such users:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing in the system:
Storage:
Records are stored in file folders in metal cabinets.
Retrievability:
By name or case file number.
Safeguards:
Files are maintained in locked file cabinets with access only to those
with a need to know the information to perform their duties.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Director, Office of Personnel Management Services, 200 Constitution
Avenue, NW, Washington, DC 20210, and appropriate Regional Personnel
Officers.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified: Name;
approximate date of the investigation; and individuals requesting
access must also comply with the Privacy Act regulations regarding
verification of identity to records at 29 CFR 70a.4.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Hotline complaints through the Office of the Inspector General's
hotline or through the General Accounting Office; incident reports
submitted by employees or members of the general public; statements by
subject and fellow employees; and other investigative reports.
System exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/OASAM-30

System name: Injury Compensation System (ICS).

Security classification:
None.
System location:
A. Offices in Washington, DC:
(1) Office of Safety and Health, OASAM,
(2) OASAM, National Capital Service Center;
(3) Office of the Solicitor;
(4) Bureau of Labor Statistics;
(5) Employment Standards Administration;
(6) Employment and Training Administration;
(7); Occupational Safety and Health Administration;
(8) Mine Safety and Health Administration;
(9) Office of the Inspector General; and
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
Current/former employees of the Department of Labor and current/former
Job Corps Center enrollees who file, or who have filed on their
behalf, workers' compensation claims for traumatic injury,
occupational disease, recurrence of disability, and death.
Categories of records in the system:
This system contains information relating to a DOL employee's/Job
Corps Center enrollee's claim for compensation filed under procedures
established by the Office of Worker's Compensation Programs.
Authority for maintenance of the system:
Federal Employees' Compensation Act, as amended (codified in 5 U.S.C.
8101 et seq.), and to related regulations in Title 20 CFR part 10; The
Occupational Safety and Health Act of 1970 (Pub. L. 91-596), Executive
Order 12196; Occupational Safety and Health Programs for Federal
Employees, and 29 CFR part 1960.
Purpose(s):
The records are used as a reference, by agency officials, to track and
monitor DOL employees and/or Job Corps Center enrollees who receive
continuation of pay and/or FECA compensation benefits.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in manual and automated files.
Retrievability:
Manual files are indexed by agency/region. Automated files are
retrieved by agency/region code, case number, claimant's name, fiscal
year.
Safeguards:
Manual files are maintained in locked file cabinets under supervision
of Office of Safety and Health personnel. Confidential passwords are
required for access to automated records.
Retention and disposal:
Records are maintained in the ICS system for 5 years.
System manager(s) and address:
Director, Office of Safety and Health, U.S. Department of Labor, 200
Constitution Avenue, NW, Room N-1301, Washington, DC 20210.
Notification procedure:
Requests, including name, date of injury, agency name, and case file
number, if known, should be addressed to the system manager listed
above, at the office where the record is located.
Record access procedures:
Individuals wishing to gain access to records covered by the Privacy
Act, shall follow the guidelines prescribed by 29 CFR part 70a, and
contact the system manager indicated above.
Contesting record procedures:
Not applicable.
Record source categories:
Records in this system contain information extracted from OWCP/payroll
data files/tapes.
System exempted from certain provisions of the act:
None.

DOL/OASAM-31

System name:

DOL Flexible Workplace (Flexiplace) Pilot Programs Evaluation and
Files.
Security classification:
None.
System location:
DOL/OASAM/Office of Human Resources, Office of Human Resource System.
Categories of individuals covered by the system:
DOL Participants in Flexiplace Pilot Programs.
Categories of records in the system:
Records in the system may include characteristics of program
participants, such as number of dependents and national origin,
description of program activities, program outcomes and participant
follow-up information obtained at six-month intervals during the first
eighteen months of the individual's participation.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are used solely for statistical research and to evaluate
the DOL Flexiplace Pilot Programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such use:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in manual files and on computer disks.
Retrievability:
Records are retrieved by individual(s) names(s).
Safeguards:
Records are maintained on secure computer systems and can only be
retrieved with the proper access code.
Retention and disposal:
Records will be retained for three years after the conclusion of the
studies and then destroyed. After the conclusion of the studies, the
database will be retained without individual identifiers (which will
be deleted from the files) for statistical purposes only.
System manager(s) and address:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management, Office of Human Resources, Office of
Human Resource System, Room N-5460, Frances Perkins Building, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the systems manager listed
above. Individuals must furnish the following information for their
records to be located and identified: Name, GS grade and series,
organizational unit.
Record access procedures:
Individuals wishing to request access to records pertaining to them
should contact the systems manager. Individuals must furnish the
following information for their records to be located and identified:
Name, GS grade and series, organizational unit. Individuals requesting
access must also comply with DOL's Privacy Act regulations pertaining
to verification of identity set forth at 29 CFR 70a.5.
Contesting record procedure:
Individuals wishing to contest information in their files may,
pursuant to Departmental regulations at 29 CFR 70a.7, write to the
system manager at the specified address above, reasonably identify the
records pertaining to them, the information which is being contested
in those records, the corrective action(s) being sought, and the
reasons for the correction(s).
Record source categories:
Individual participants, their supervisors, and evaluation project
files.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/PCEPD-1

System name:

Job Accommodation Network (JAN) Files.
Security classification:
None.
System location:
Job Accommodation Network, West Virginia University, PO Box 6080,
Morgantown, West Virginia, 26505-6080.
Categories of individuals covered by the system:
Individuals with disabilities and the general public who request
information through the JAN system.
Categories of records in the system:
Caller's name, address, telephone number, type of disability,
functional limitations caused by the disability, accommodations
discussed, type of firm or organization for whom the caller works,
anecdotal information recorded by the human factors consultant.
Authority for maintenance of the system:
5 U.S.C. 301
Purpose(s):
System makes it possible for employers, individuals with disabilities
and others to share information about job accommodations. The JAN
system compiles a comprehensive resource data bank for job
accommodations currently available.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer disks.
Safeguards:
The data is stored on computer disk, stored in central file server and
is available only to those individuals with a password security
clearance.
Retrievability:
Records are retrieved by caller's name, state, disability, functional
limitation, accommodation, type of company for whom individual worked,
or type of information requested.
Retention and disposal:
Data is maintained for 20 years and is then destroyed by deletion.
System manager(s) and address:
The systems manager is the Job Accommodations Network, West Virginia
University, PO Box 6080, Morgantown, WV 26506-6080.
Notification procedure:
Mail all inquiries or present in writing to the President's Committee
on Employment of People with Disabilities, 1331 F Street NW, DC 20004
or to the Freedom of Information Act/Privacy Act Coordinator, at U.S.
Department of Labor/PCEPD, 200 Constitution Avenue NW, room N4671,
Washington, DC 20210.
Record access procedures:
Individuals wishing to gain access shall write to the President's
Committee on Employment of People with Disabilities at the above
address and must meet the requirements of Departmental regulations
implementing the Privacy Act, 29 CFR 70a.7.
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to Departmental regulations at 29 CFR 70a.7, write to the
system manager at the specified address above, reasonably identify the
records pertaining to them, the information which is being contested
in those records, the corrective action(s) being sought, and the
reasons for the correction(s).
Record source categories:
Callers to the JAN system.
System exempted from certain provision of the act:
Not applicable.

Office of Administrative Appeals (OAA)

DOL/OAA-1

System name: Administrative Appeals File-DOL OAA-1.

Security classification:
None.
System location:
Office of Administrative Appeals, U.S. Department of Labor, Room S-
4309, 200 Constitution Ave., NW, Washington, DC 20210
Categories of individuals covered by the system:
Parties in cases which are before the Secretary, Deputy Secretary or
other deciding officials of the Department and for which OAA is
assigned responsibility.
Categories of records in the system:
Information assembled in case files pertaining to proceedings relating
to administrative adjudications of orders and decisions issued by
Departmental officials and Administrative Law Judges.
Authority for maintenance of the system:
Surface Transportation Assistance Act of 1982, 49 U.S.C. app. 2305
(1988); Energy Reorganization Act of 1974, as amended, 42 U.S.C. 5851
(1988); Clean Air Act, 42 U.S.C. 7622 (1988); Water Pollution Control
Act, 33 U.S.C. 1367 (1988); Solid Waste Disposal Act, 42 U.S.C.
6971(a) (1988); Safe Drinking Water Act, 42 U.S.C. 300j-9(i) (1988);
Toxic Substances Control Act, 15 U.S.C. 2622 (1988); Comprehensive
Environmental Response Compensation and Liability Act, 42 U.S.C. 9610
(1988); Comprehensive Employment and Training Act, as amended, 29
U.S.C. 801-999 (Supp. V 1981); Job Training Partnership Act, 29 U.S.C.
1501-1781 (1988); McNamara-O'Hara Service Contract Act of 1965, as
amended, 41 U.S.C. 351-358 (1988); Migrant and Seasonal Agricultural
Worker Protection Act, 29 U.S.C. 1813(b), 1853(b) (1988); Longshore
and Harbor Workers' Compensation Act, 33 U.S.C. 907(j) (1988); Walsh-
Healey Public Contracts Act, as amended, 41 U.S.C. 35-45 (1988); Age
Discrimination Act of 1975, 42 U.S.C. 6101-6107 (1988); Title VI of
the Civil Rights Act of 1964, as amended, 42 U.S.C. 601-605 (1988);
Contract Work Hours and Safety Standards Act, 40 U.S.C. 327-332
(1988); Title IX of the Education Amendments of 1972, 20 U.S.C. 1681-
1686 (1988); Employee Polygraph Protection Act of 1988, 29 U.S.C.
2001-2009 (1988); Equal Access to Justice Act, 5 U.S.C 504 (1988);
Executive Order No. 11,246, as amended, 3 CFR 339 (1964-1965 Comp.)
reprinted in 42 U.S.C. 2000e app. at 28-31 (1988); Fair Labor
Standards Act of 1938, as amended, 29 U.S.C. 203(m) and (t), 211(d),
214(c) (1988); Federal Unemployment Tax Act, 26 U.S.C. 3304 (1988);
Immigration Reform and Control Act of 1986, 8 U.S.C.
1101(a)(15)(H)(ii)(a), 1184(c), 1188 (1988); National Apprenticeship
Act, 29 U.S.C. 50 (1988); Program Fraud Civil Remedies Act of 1986, 31
U.S.C. 3801-3812 (1988); Sections 503 and 504 of the Rehabilitation
Act of 1973, as amended, 29 U.S.C. 793, 794 (1988); Social Security
Act, 42 U.S.C. 503 (Supp. V 1987); Single Audit Act of 1984, 31 U.S.C.
7500-7507 (1988); Trade Act of 1974, as amended, 26 U.S.C. 3302
(1988); Vietnam Era Veterans Readjustment Assistance Act, as amended,
38 U.S.C. 4212 (1988).
Purpose(s):
Maintained for use in adjudication of cases.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The primary uses of the records are for the adjudication of cases by
the Secretary, Deputy Secretary or other deciding officials.
Disclosures outside the Department of Labor may be made to District
Courts or Courts of Appeals, parties and others and are related to
litigation.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, remaining and
disposing of records in the system:
Storage:
Maintained in manual form in file folders and containers, and in a
computer system.
Retrievability:
Indexed by name of complainant, respondent, and docket number.
Safeguards:
Maintained with safeguards meeting the requirements of 29 CFR part
70a.
Retention and disposal:
Case records are returned to Office of Administrative Law Judges after
completion of OAA function. A file containing copies of decisions,
orders and OAA correspondence related to the case is retained in the
office files. OAA retains case record of cases not arising from ALJ
decisions.
System manager(s) and address:
Director, Office of Administrative Appeals, Room S-4309, 200
Constitution Avenue, NW, Washington, DC 20210
Notification procedure:
Inquiries regarding records should be in the form of a written, signed
request to the above address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Records include information submitted by claimants, respondents, other
parties in the case, Administrative Law Judges, government
representatives and the deciding official.
Systems exempted from certain provisions of the act:
None.

Office of Administrative Law Judges (OALJs)

DOL/OALJ-1

System name: Administrative Law Management System.

Security classification:
Unclassified.
System location:
U.S. Department of Labor, Office of Administrative Law Judges (OALJ),
Vanguard Building, Suite 700, 1111 20th Street, NW, Washington, DC
20036.
Categories of individuals covered by the system:
Claimants under statutory and Executive Order Jurisdiction assigned to
the OALJ.
95Categories of records in the system:
Records that contain information and pertinent data gathered from the
claimant's case file, medical file, and transcript file, necessary to
schedule hearings and make a final decision.
Authority for maintenance of the system:
Title IV of the Federal Mine Safety and Health Act of 1977, as
amended, 33 U.S.C. 901 et seq.
Purpose(s):
Primary use of records is for tracking each case through the
disposition processes by Administrative Law Judges.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files and computer system.
Retrievability:
By name or social security number.
Safeguards:
Routine computer precautions limiting access to authorized user codes.
Retention and disposal:
Inactive records retained in system for two years before being purged
to history files where they are stored for 5 years, then destroyed.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office of
Administrative Law Judges, Suite 400, 800 K Street, NW, Washington, DC
20001-8002.
Notification procedures:
Inquiries regarding the existence of records should be in the form of
a written, signed request to the above address.
Record access procedures:
As in notification procedures.
Contesting record procedures:
As in notification procedures.
Record source categories:
Individual filing the claim for benefits and the Administrative Law
Judges involved in the judicial process of the case.
System exempted from certain provisions of the act:
None.

Office of the American Workplace (OAW)

DOL/OAW-1

System name: Investigative Files.

Security classification:
None.
System location:
The Regional and District Offices of the Office of Labor-Management
Standards listed in the appendix.
Categories of individuals covered by the system:
Union officials, other individuals investigated, and individuals
interviewed in connection with investigations carried out pursuant to
the Labor-Management Reporting and Disclosure Act, 29 U.S.C. 401 et
seq.
Categories of records in the system:
Records compiled in connection with investigations conducted under the
Labor-Management Reporting and Disclosure Act of 1959, as amended
(LMRDA), and under the standards of conduct provisions of the Civil
Service Reform Act of 1978 (CSRA) and Foreign Service Act of 1980
(FSA) and the implementing regulations at 29 CFR part 458.
Authority for maintenance of the system:
29 U.S.C. 401 et. seq., 5 U.S.C. 7120, 22 U.S.C. 4117, 29 CFR part
458.
Purpose(s):
Records are compiled in connection with enforcement of the LMRDA and
the standards of conduct provisions of the CSRA and FSA and the
implementing regulations at 29 CFR part 458.
Routine use of records maintained in the systems, including categories
of users and the purposes of such uses:
Records may be disclosed to interested persons or officials as
provided for in section 601(a) of the Labor-Management Reporting and
Disclosure Act, 29 U.S.C. 521(a). See also, routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files and manual and computer indices.
Retrievability:
By name of union, union officials, individuals investigated, business
organizations, labor relations consultants, and other individuals and
organizations deemed significant.
Safeguards:
These records are normally maintained in secured file cabinets with
access strictly limited to only these employees of the agency who need
such information as part of there official duties. A charge-out system
is employed to restrict and monitor withdrawal of records from the
files.
Retention and disposal:
Records pertaining to open investigations are retained in the Regional
and District offices. Closed files are retained in Regional and
District offices for three years after which they are retired to
Federal Records Centers where they are maintained in accordance with
the agency's Retention and Destruction Schedule. Records having
historical value are retained indefinitely.
System manager(s) and address:
OLMS Regional Administrators and District Directors at the addresses
listed in the appendix.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the appropriate systems manager.
Individuals must furnish the following information for their records
to be located and identified: Name, date of birth, union or business
affiliation.
Record access procedure:
Individuals wishing to request access to records pertaining to them
should contact the appropriate systems manager. Individuals must
furnish the following information for their records to be located or
identified: Name, date of birth, and union or business affiliation.
Individuals requesting access must also comply with DOL's Privacy Act
regulations pertaining to verification of identity set forth at 29 CFR
70a.5.
Contesting record procedure:
To the extent the agency elects to allow petitions for amendments to
such records, individuals wishing to contest information in their
files may, pursuant to 29 CFR 70a.7, write to the system manager at
the specified address above, reasonably identify the records
pertaining to them, the information which is being contested in those
records, the corrective action(s) being sought, and the reasons for
the correction(s).
Record source categories:
Labor unions, union members, union officials and employees, employers,
labor relations consultants, and other individuals.
Systems exempted from certain provisions of the act:
To the extent this system of records is maintained for criminal law
enforcement purposes, it is exempt pursuant to 5 U.S.C. 552a (j)(2)
from all provisions of the Privacy Act except the following: 5 U.S.C.
552a (b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (7), (9), and
(11), and (i).
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for civil law enforcement purposes is
exempt for subsections (c)(3); (d); (e)(1), (e)(4) (G), (H), and (I);
and (f) of 5 U.S.C. 552a, provided however, that if any individual is
denied any right, privilege, or benefit that he or she would otherwise
be entitled to by Federal law, or for which he or she would otherwise
be eligible, as a result of the maintenance of these records, such
material shall be provided to the individuals, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.
Exemption under 5 U.S.C 552a (j)(2) and (k)(2) of information within
this system of records is necessary to undertake the investigative and
enforcement responsibilities of OLMS, to prevent individuals from
frustrating the investigatory process, to prevent subjects of
investigation from escaping prosecution or avoiding civil enforcement,
to prevent disclosure of investigative techniques, to protect the
confidentiality of witnesses and informants, and to protect the safety
and well-being of witnesses, informants, and law enforcement
personnel, and their families.

DOL/OAW-2

System name: Lists of Airline Employees Protected Under the
Rehire Program.

Security classification:
Unclassified.
System location:
The Office of Labor-Management Programs (OLMP), Office of Statutory
Programs (OSP), Room N-5411, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Employees of covered air carriers who are protected under the Airline
Employee Protection Program. (Covered air carrier means, whenever used
in this notice, an air carrier which held a certificate under Section
401 of the Federal Aviation Act of 1958, as amended, prior to October
24, 1978.)
Categories of records in the system:
Lists that contain employees, names, Social Security numbers (if
available), occupational specialties and reporting covered carrier.
Authority for maintenance of the system:
Pub. L. 95-504, 49 U.S.C. 1552.
Purpose(s):
The lists will assist covered air carriers in verifying job
applicants, protected status.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed to covered air carriers that have a duty
to hire protected employees in order for those carriers to verify the
protected status of job applicants. Information may also be disclosed
to protected employees, labor organizations of protected employees to
the extent necessary to determine and enforce the rights of protected
employees under the Act.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disclosing of records in the system:
Storage:
Magnetic tape and paper copy.
Retrievability:
Alphabetically by covered carrier and name of employee.
Safeguards:
The records will be maintained in locked storage in OLMP/OSP
accessible only to authorized personnel during working hours.
Retention and disposal:
Records will be retained until they can be incorporated into the
records disposition schedule of OLMP/OSP.
System manager(s) and address:
Program Officer, Airline Employee Protection Program, Room N-5411,
OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager.
Record access procedures:
Individuals wishing to request access to the records should contact
the Disclosure Officer, Airline Employee Protection Program, Room N-
5411, OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Contesting record procedures:
Individuals wishing to request amendment of the records should contact
the Disclosure Officer, Airline Employee Protection Program, Room N-
5411, OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Record source categories:
Covered air carriers.
System exempted from certain provisions of the act:
None.

DOL/OAW-3

System name: Semi-Annual Lists of Hired Employees.

Security classification:
Unclassified.
System location:
The Office of Labor-Management Programs (OLMP), Office of Statutory
Programs (OSP), Room N-5411, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Employees hired by covered air carriers during each 6 month period who
are protected under the Airline Employee Protection Program. (Covered
air carrier means, whenever used in this notice, an air carrier which
held a certificate under Section 401 of the Federal Aviation Act of
1958, as amended, prior to October 24, 1978.)
Categories of records in the system:
Lists of protected employees, names, social security numbers (if
available), occupational specialties, dates or hire for each position
filled, and reporting covered air carrier.
Authority for maintenance of the system:
Pub. L. 95-504, 49 U.S.C. 1552.
Purpose(s):
These lists will assist covered carriers in verifying job applicants'
protected status.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Opinion letters may be sent to other parties of each application in
order to gather complete information for the opinion. Information also
may be disclosed to airline employees, labor organizations of
protected employees, authorized representatives of airline employees,
and covered air carriers to the extent necessary to determine and
enforce the rights of protected employees under the Act.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disks and manual files.
Retrievability:
Name of employee and case control number, if any.
Safeguards:
The records will be maintained in locked storage in USES/DSP
accessible only to authorized personnel during working hours.
Retention and disposal:
Records will be retained until they can be incorporated into the
records disposition schedule of OLMS/OSP.
System manager(s) and address:
Programs Officer, Airline Employee Protection Program, Room N-5411,
OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager.
Record access procedures:
Individuals wishing to request access to the records should contact
the Disclosure Officer, Airline Employee Protection Program, Room N-
5411, OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Contesting record procedures:
Individuals wishing to request amendment of the records should contact
the Disclosure Officer, Airline Employee Protection Program, Room N-
5411,OLMS/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Record source categories:
Covered air carriers, protected employees, authorized representatives
of protected employees and labor organizations of protected employees.
Systems exempted from certain provisions of the act:
None.

DOL/OAW-4

System name: Rehire Program Appellant and Inquiry Files.

Security classification:
Unclassified.
System location:
The Office of Labor-Management Programs (OLMP), Office of Statutory
Programs (OSP), Room N-5411, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Airline employees who request the Secretary of Labor to determine
whether they are protected employees under section 43(d) of the
Airline Deregulation Act of 1978, as amended, and may be entitled to
benefits under the Rehire Program. Other airline employees and
interested parties seeking interpretations under the Rehire Program.
Categories of records in the system:
Letters of appeal and inquiry and relevant documents from appellants
and other parties, such as employing carrier, and agency reports and
opinions.
Authority for maintenance of the system:
Pub. L. 95-504, 49 U.S.C. 1552.
Purpose(s):
The list will assist covered air carriers in verifying job applicants,
protected status.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information may be disclosed to covered air carriers that have a duty
to hire protected employees to permit those carriers to verify the
protected status of job applicants. Information may also be disclosed
to protected employees, labor organizations of protected employees,
and authorized representatives of protected employees, to the extent
necessary to determine and enforce the rights of protected employees
under the Act.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The lists of protected employees will be stored on paper printout in
OLMP/OSP. All other records will be kept in manual files.
Retrievability:
All records will be accessed by covered carrier, occupational
specialty and name of employee.
Safeguards:
The records will be maintained in locked storage in OLMP/OSP,
accessible only by authorized personnel during working hours.
Retention and disposal:
Records will be retained until they can be incorporated into the
records disposition schedule of OLMP/OSP.
System manager(s) and address:
Program Officer, Airline Employee Protection Program, Room N-5411,
OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager.
Record access procedures:
Individuals wishing to request access to the records should contact
the Disclosure Officer, Airline Employee Protection Program, Room N-
5411, OLMS/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Contesting record procedures:
Individuals wishing to request amendment of the records should contact
the Disclosure Officer, Airline Employee Protection Program, Room N-
5411, OLMS/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Record source categories:
Covered air carriers and employees.
Systems exempted from certain provisions of the act:
None.

DOL/OAW-5

System name: OLMP/OSP, Redwood Employee Protection Program,
Health, Welfare, and Pension Claims and Benefits Payments
(including severance benefits and benefits for salary replacement,
retraining, job search and relocation).

Security classification:
Unclassified.
System location:
Office of Labor-Management Programs (OLMP), Office of Statutory
Programs, (OSP), Room N-5411, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Those applying for benefits/filing claims under the Redwood Employee
Protection Program.
Categories of records in the system:
Financial records consisting of weekly requests from claimants for
Redwood benefits from the California Employment Development
Department. Medical records consisting of actual claims from
individuals and medical providers and including dates of service,
patient name, social security number, diagnosis, and payment. Personal
records including name of claimant, former employer, social security
number, date of birth and dates of eligibility.
Authority for maintenance of the system:
Redwood National Park Expansion Act, Pub. L. 95-250, 92 Stat. 172
(1978).
Purpose(s):
Records are used for verification and payment of health, welfare, and
pension benefits and payment of benefits through the U.S. Treasury.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information can be shared with the following agencies: California
Employment Development Department; all participating and
nonparticipating Health & Welfare Trusts, Administrators, and Pension
Insurance Carriers; and other interested parties (e.g., hospitals and
medical providers) in order for those agencies to verify eligibility
of claimants and payment of health, welfare, and pension benefits.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Records are maintained in manual files.
Retrievability:
Records are accessed alphabetically by claimant's name.
Safeguards:
Records are only accessible during normal business hours and
maintained in a locked room at all other times.
Retention and disposal:
Records are closed when claimant retires or accepts severance pay or
exhausts period of protection and receives pension entitlement.
Records are transferred to the Federal Archives and Record Center when
one year old and destroyed when five years old.
System manager(s) and address:
Program Officer, Redwood Employee Protection Program, Room N-5411,
OLMP/OSP, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals who apply for benefits under the Redwood Employee
Protection Program may contact the system manager regarding the
existence of records about them. An individual must furnish his/her
full name to access these records and may volunteer his/her social
security number to facilitate the identification and location of his/
her file.
Record access procedures:
Individuals who apply for benefits under the Redwood Employee
Protection Program health and welfare program may contact the system
manager to request access to records about them. An individual must
furnish his/her full name to access these records and may volunteer
his/her social security number to facilitate the identification and
location of his/her file.
Contesting record procedures:
Individuals who wish to amend their records to correct factual errors
should contact the system manager. An individual must furnish his/her
full name for the records to be located and identified.
Record source categories:
The information in this system is obtained from the following sources:
a. The individual to whom the information pertains;
b. California Employment Development Department;
c. NUMAS, Inc., claims processing contractor;
d. Providers of medical service; and/or
e. Claimants, former employers and trust administrators.
Systems exempted from certain provisions of the act:
None.

Office of the Assistant Secretary for Policy (ASP)

DOL/ASP-1

System name: National Agricultural Workers Survey (NAWS)
Research File (formerly the Seasonal Agricultural Services (SAS)
Farmworkers Research File), Case Tracking Files, Name Index,
USDOL/ASP.

Security classification:
Unclassified.
System location:
Office of the Assistant Secretary for Policy, U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210, and in the
office of the system co-manager, Aguirre International, 411 Borel
Avenue, Suite 402, San Mateo, CA, 94402.
Categories of individual covered by the system:
The respondents in the National Agricultural Workers Survey. These
will be randomly selected individuals who are engaged in crop
activities. There will be approximately 2,600 individuals per year
included in the file.
Categories of records in the system:
The system will contain records of the employment history of crop
workers and their families. It will also contain information about the
wages, working conditions and recruitment procedures experienced by
crop workers. The records will contain the name, Social Security
Number (SSN), and addresses of the respondents in the NAWS. All of
this data will have been obtained in a personal interview with the
respondents. In addition, data obtained about the work record of the
respondents (as recorded in their SSN records) obtained from State
Employment Security Agencies may be included for many of these
individuals.
Authority for maintenance of the system:
Within the mission of the U.S. Department of Labor. In fact, serving
migrant farmworkers is one component of the Department's Secretarial
Goals and Objectives Program for 1992.
Purpose(s):
The demographic characteristics of farmworkers have been gathered by
the federal government continuously throughout the postwar period.
Until 1987 they were gathered by the CPS through a supplement and then
elaborated by USDA's Economic Research Service (ERS). In 1987, the
responsibility to carry out this national survey was taken over by the
OASP/DOL, initially to accomplish the mandate of the Immigration
Reform and Control Act of 1986 to measure the supply of the farm labor
during fiscal years 1990 through 1993. Along with the task of carrying
out the labor supply estimate assigned to OASP came the responsibility
and the associated resources of the traditional survey on farmworkers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
In the initial stages the information will be stored on interview
questionnaires which will be handled by Aguirre International of San
Mateo California. This company will transfer the questionnaires as
quickly as possible to their San Mateo Offices where they will be kept
in locked filing cabinets. The information will be entered onto
computer and stored on computer tape by Aguirre and by the Assistant
Secretary for Policy's office. The computer records will be kept in
locked file cabinets at all times.
Retrievability:
The names of the respondents will be retrievable since the computer
files and the questionnaires will be cross-indexed.
Safeguards:
Only employees of Aguirre International or the Office of the
Assistant Secretary for Policy will have access either to the hard
copy or computer tapes. The records will only be accessible through
use of confidential procedures and passwords.
Retention and disposal:
These files will be kept secure from public access in order to
protect the privacy of respondents. Names and social security numbers
will be removed from the records and destroyed in October, 1995.
System manager(s) and address:
Assistant Secretary for Policy, DOL, 200 Constitution Avenue, NW,
Washington, DC 20210, and in the office of the system co-manager,
Aguirre International, 411 Borel Avenue, Suite 402, San Mateo, CA,
94402.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the office of one of
the co-system managers. Individuals must furnish the following
information for their records to be located and identified:
a. Full name.
b. Date of birth.
c. Social Security Number.
d. Place where interview occurred.
e. Signature.
Record access procedures:
Individual farmworkers seeking to look at their own files will be
permitted access. All other individuals will be denied access.
Individuals wishing to request access to their own records should
contact one of the co-system managers and include in their request the
identification data required in the Notification Procedure section.
Contesting record procedures:
To seek amendment of record procedures individuals should direct their
requests to one of the co-system managers and include all the personal
identification information required for the Notification Procedure.
Record source categories:
The information in this system will be received from respondents
answers to questions about their own employment histories. In
addition, employment data from UI files may be included in the file
for each individual.
Systems exempted from certain provision of the act:
None.

Benefits Review Board (BRB)

DOL/BRB-1

System name: Appeals Files--Benefits Review Board (BRB).

System location:
Benefits Review Board, 800 K Street, NW, Suite 500, Washington, DC
20001-8001
Categories of individuals covered by the system:
Individual persons involved in appeals proceedings before the Benefits
Review Board.
Categories of records in the system:
Information assembled in case files pertaining to hearings proceedings
and appeals to the Benefits Review Board relating to appeals raising a
substantial question of law or fact taken by any party in interest
from decisions with respect to claims of employees for benefits under
the Longshoremen's and Harbor Workers' Compensation Act as amended,
and its extensions and the Federal Coal Mine Health and Safety Act, as
amended.
Authority for maintenance of the system:
(a) 30 U.S.C. 901-62 (1982) (b) 33 U.S.C. 901-50 (1982) (c) 42 U.S.C.
1651-54 (1982) (d) 36 D.C. Code 501-04 (1973) (e) 43 U.S.C. 1331-43
(1982) (f) 5 U.S.C. 8171-73 (1982) (g) 42 U.S.C. 1701-17 (1982)
Purpose(s):
To have a centralized and complete file of all appeals arising before
the Board.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The primary uses of the records are for the adjudication of issues in
appeals proceeding before the Benefits Review Board. Disclosure
outside the Department of Labor may be made to federal courts.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Maintained in manual form in file folders.
Retrievability:
Indexed by Benefits Review Board docket number and claimant's name.
Safeguards:
Maintained with safeguards meeting the requirements of applicable
regulations.
Retention and disposal:
Case materials returned to the Office of Workers' Compensation
Programs, Employment Standards Administration, Department of Labor
after completion of Benefits Review Board functions. Records of
decisions not authorized for disposal.
System manager(s) and address:
Clerk of the Board, Benefits Review Board, 800 K Street, NW, Suite
500, Washington, DC 20001-8001.
Notification procedure:
A written and signed request to the System Manager stating that the
requester seeks information concerning records pertaining to him is
required.
Record access procedures:
A request for access may be addressed to the System Manager. The
request must be in writing and be signed by the requester.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager.
Record source categories:
Records in the system include information submitted by the appellants,
claimants, and other persons involved in the appeals proceedings, as
well as by the Government.
Systems exempted from certain provisions of the act:
None.

Bureau of International Labor Affairs (ILAB)

DOL/ILAB-1

System name:

Arbitrators/Experts/Consultant Candidates' Biographies.
Security classification:
Unclassified.
System location:
U.S. National Administrative Office, U.S. Department of Labor, Bureau
of International Labor Affairs, Room C-4327, 200 Constitution Avenue,
NW, Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who applied, are nominated or are selected to serve as
arbitrators, experts, advisors, consultants, contractors or similar
positions for the U.S. National Administrative Office or the
Secretariat for the North American Agreement on Labor Cooperation
(NAALC), the supplemental agreement on labor issues to the North
American Free Trade Agreement (NAFTA).
Categories of records in the system:
Application and nomination letters; resumes, biographical sketches,
curriculum vitae, and other related documents.
Authority for maintenance of the system:
North American Agreement on Labor Cooperation Articles 23, 28, and 30;
58 FR 69410; and 5 U.S.C. 301.
Purpose(s):
These records are established when individuals nominate themselves or
are recommended for appointments as arbitrators, experts, consultants,
contractors, advisory committee members or similar positions with the
U.S. National Administrative Office or the Secretariat for the NAALC.
The records are used by the Deputy Under Secretary of Labor for
International Affairs to make selections or recommendations as
appropriate to the Secretary of Labor or Executive Director of the
Secretariat for appointment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those uses listed in the General Prefatory Statement
to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Manual files and computer disk.
Retrievability:
By Nominee's name and by selected skills categories.
Safeguards:
Locked storage equipment and personnel screening.
Retention and disposal:
a. Advisory committee members, arbitrators, contractors, consultants,
and experts: Permanent transfer to National Archives three (3) years
after expiration of term of service.
b. Nominees not selected: Destroy files when five (5) years old.
System manager(s) and address:
Secretary, U.S. National Administrative Office, U.S. Department of
Labor, Bureau of International Labor Affairs, Room C-4327, Washington,
DC 20210.
Notification procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name;
b. Approximate date for investigation;
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of the identity to records at 29
CFR 70a.4.
Contesting record procedure ;
A petition for amendments shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a7.
Record source categories:
Nominations submitted by individuals within the system, other
individuals and organizations and by government agencies.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/ILAB-2

System name:

Senior Technical Assistance Register (STAR).
Security classification:
None.
System location:
Office of Foreign Relations, Bureau of International Labor Affairs
(ILAB), U.S. Department of Labor, Room S-5006, 200 Constitution Ave.,
NW, Washington, DC 20210.
Categories of individuals covered by the system:
Individuals offering unpaid assistance to ILAB in carrying out
technical assistance in developing countries.
Categories of records in the system:
Name, address, telephone number, area(s) of expertise, statement of
related experience in and outside the United States, foreign language
fluency, availability for travel, any additional information provided
by covered individual, information on assistance opportunities offered
to the individual, and on any assignments undertaken.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
This system provides for the collection and maintenance of information
on individuals who can offer expert advice to developing nations.
Routine use 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, last published in the Federal Register on May 10,
1995 (60 FR 24897-24898) records from this system may be disclosed to
the U.S. Agency for International Development to assist that agency in
identifying individuals to whom an opportunity to lend technical
assistance can be offered.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records on the system:
Storage:
Records are stored in manual files, computer databases, a document
imaging system, and archive disks. Information from the paper
documents provided by the applicant is transferred to a computer
database and electronic images.
Retrievability:
Records are retrieved by any record element, including name.
Safeguards:
Paper files, magnetic disks and optical disks are maintained in a
locked storage cabinet. Computer files are password protected.
Retention and disposal:
Records will be held in ILAB for either one year after completion of
overseas assignment or, if not selected, for two years after date of
application. Records are then destroyed.
System manager(s) and address:
(1) Director, Office of Foreign Relations, Bureau of International
Labor Affairs, U.S. Department of Labor, Room S-5006, 200 Constitution
Avenue, NW, Washington, DC 20210 or
(2) STAR Project Coordinator; same address.
Notification procedure:
Individuals wishing to access this system of records should contact
the System Manager or the STAR Project Coordinator as indicated above.
Individuals must furnish the following information for their inquiries
to be honored: Full name, address most recently furnished the STAR
project, current telephone number, and signature.
Record access procedures:
Individuals wishing to inquire whether this system of records contains
information about them should contact the one of the System Managers
indicated above. Individuals must furnish the following information
for their inquiries to be honored: Full name, address most recently
furnished the STAR project, current telephone number, and signature.
Contesting record procedures:
Individuals wishing to change, augment, or remove their records from
this system of records should write to one of the System Managers
indicated above. Include full name, address most recently furnished to
STAR, current telephone number, and signature.
Record source categories:
Applicants; Office of Foreign Relations, ILAB
Systems exempted from certain provisions of the act:
None.

Bureau of Labor Statistics (BLS)

DOL/BLS-2

System name: Staff Utilization System.

Security classification:
Unclassified.
System location:
Records stored on computer at Boeing Computer Center, Vienna, VA.
Access and maintenance occur by remote terminal in Room 4120, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Categories of individuals covered by the system:
Regular full-and part-time and intermittent employees in the BLS
National and Regional Offices.
Categories of records in the system:
Payroll, accounting and staff utilization data: Name, SSN, grade and
step, cost center, PAS home code, staff hours by PAS code, by function
and by task (function and task specified by each office).
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To capture and electronically enter time distribution data into the
DOL Time Distribution and Accounting Systems. To provide BLS managers
a means of monitoring staff hours and pay on assigned functions and
tasks.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disk packs.
Retrievability:
Retrievable by any element, including name and SSN.
Safeguards:
Data on private disk, accessible only by authorized employees.
Retention and disposal:
Cumulative file is retained by fiscal year. Original input documents
are retained for 4 years and then destroyed.
System manager(s) and address:
Chief, Division of Management Information Systems, Room 4120, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address. Give name, SSN, and dates of employment.
Record access procedures:
As above.
Contesting record procedures:
As above.
Record source categories:
Input from DOL bi-weekly payroll tape and time distribution forms (DL
1-129, ``Project Reporting Form'').
Systems exempted from certain provisions of the act:
None.

DOL/BLS-3

System name: Regional Office Staff Utilization File.

Security classification:
Unclassified.
System location:
Records stored on computer at The National Institutes of Health,
Bethesda, Md. Access and maintenance is generally by remote terminal
in Room 2935, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Categories of individuals covered by the system:
All regular regional office BLS employees.
Categories of records in the system:
Staff utilization and travel expenditures data: Name, SSN, pay period,
hours worked and units accomplished by PAS code for functions such as
personal visit, telephone collection, training, and costs for
transportation and subsistence.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To capture and electronically enter time distribution data into the
DOL Time Distribution and Accounting Systems. To provide BLS managers
a means of monitoring regional staff hours worked per unit and travel
expenditures on assigned functions and tasks.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic tapes and disks.
Retrievability:
Retrievable by a data field, including name and SSN.
Safeguards:
Only authorized employees have access to tapes/disks, to the programs,
and to the Regions' backup documents.
Retention and disposal:
Cumulative file is retained by fiscal year. Original input documents
are retained for 4 years and then destroyed.
System manager(s) and address:
Chief, Division of Field Collection Activities, Room 2935, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address. Give name, SSN, and dates of employment.
Record access procedures:
As above.
Contesting record procedures:
As above.
Record source categories:
``Staff Utilization Report'' (Form SO-1) filled out each pay period by
each R.0. employee (in place of the DL 1-291, ``Project Reporting
Form'') and SF-1012 (Travel Voucher).
Systems exempted from certain provisions of the act:
None.

DOL/BLS-4

System name: Business Research Advisory Council.

Security classification:
Unclassified.
System location:
Room 2860, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212
Categories of individuals covered by the system:
Past and present members of the Business Research Advisory Council.
Categories of records in the system:
Biographical information on individuals who are or have been members
or are being considered for membership in BRAC.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To insure that all appropriate records are retained and are available
for official use.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agency:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual file.
Retrievability:
Retrievable by name.
Safeguards:
Maintained by liaison for BRAC. Only authorized employees have access
to file.
Retention and disposal:
Records transferred to National Archives 5 years after member resigns
from council.
System manager(s) and address:
Liaison, Business Research Advisory Council, Room 2860, Postal Square
Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
From individuals concerned.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-5

System name: Labor Research Advisory Council.

Security classification:
Unclassified.
System location:
Room 2860, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Categories of individuals covered by the system:
Past and present members of the LRAC and persons being considered for
membership.
Categories of records in the system:
Biographical information on individuals who are or have been members
or are being considered for membership.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To insure that all appropriate personal records are retained and are
available for official use.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agency:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
File cabinets and bookcases.
Retrievability:
Retrievable by individual name.
Safeguards:
Maintained by liaison for BRAC. Only authorized employees have access.
Retention and disposal:
Files are retained as long as the member is serving on the committee
and disposed of 3 years after they have resigned from the committee.
System manager(s) and address:
Associate Commissioner, Office of Publications, Room 2860, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
Address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Biographical data received from the members of LRAC, and minutes from
meetings that are held twice a year.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-6

System name: Applicant Race and National Origin (ARNO) System,
Form E 618.

Security classification:
Unclassified.
System location:
Room 4280, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Categories of individuals covered by the system:
Job applicants.
Categories of records in the system:
Applicant race and National origin data: Records which contain: Name,
SSN, grade, title of position, location of position, race,
occupational code, date received, RNO Code, title of announcement,
number of announcement, authorization number.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To comply with the data collection requirements of the Luevano V.
Devine decree (November 19, 1981) for applicants. See Civil Service
Action Number 79-0271.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Users--OPM; to develop statistical reports on the number and race of
applicants.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disk packs.
Retrievability:
Retrievable by any element, including name and SSN.
Safeguards:
Only authorized employees have access.
Retention and disposal:
Cumulative file is retained by fiscal year until all research is
completed, then it is destroyed.
System manager(s) and address:
Personnel Officer, Division of Personnel and Organization Management,
Room 4280, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Notification procedure:
Requests should be submitted to above address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Input from Form E 618, Applicant Race and National Origin
Questionnaire.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-7

System name: BLS Employee Conduct Investigation.

Security classification:
None.
System location:
Offices in the Bureau of Labor Statistics at the National Office and
in each of the eight Regional Offices.
Categories of individuals covered by the system:
BLS employee(s) against whom any allegations of misconduct, illegal
acts, conflicts of interest, etc., have been made.
Categories of records in the system:
Name, organization and other information relating to the individual
involved. It also contains investigative report(s) associated with the
case, including interviews and other data gathered.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Investigating allegations of problems, misconduct, illegal acts, and
conflicts of interest.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in file folders in metal cabinets.
Retrievability:
By name or case file number.
Safeguards:
The files are maintained in locked file cabinets with access only to
those with a need to know the information to perform their duties.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Division of Personnel and Organization Management, Room 4280, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212, and
appropriate Regional Offices.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
As noted in notification procedure.
Contesting record procedures:
As noted in notification procedure.
Record source categories:
Hotline complaints through the Office of the Inspector General's
hotline; hotline complaints through the General Accounting Office's
hotline system; incident reports submitted by employees; interview
reports and investigative reports.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/BLS-8

System name: BLS Employee ADP Training History.

Security classification:
None.
System location:
Offices in the Bureau of Labor Statistics National Office.
Categories of individuals covered by the system:
BLS employees who take training under BLS's ADP training contract.
Categories of records in the system:
Employee name, employee organization, course taken, course start date,
course end date, total hours for course, indication whether or not the
course was completed, and cost of the course for this student to the
student's organization.
Authority for maintenance of the system:
5 U.S.C. 301
Purpose(s):
The records are maintained to enable BLS to allocate costs of training
to appropriate organization within BLS and to enable employees'
managers and employees to determine what courses employees have taken.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The paper records are stored in file folders in metal cabinets.
Machine-readable versions of the records are kept in a microcomputer
database.
Retrievability:
Filed and retrieved by course title or other identifying codes such as
course number. Also, filed and retrieved by the name of employee
attending course.
Safeguards:
The files are maintained in locked file cabinets with access only to
those with a need to know the information to perform their duties.
Machine readable data will be limited to those with a need to know
basis.
Retention and disposal:
Indefinite.
System manager(s) and address:
Division of Systems Design, Room 5110, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address noted above.
Record access procedures:
As noted in notification procedure.
Contesting record procedures:
As noted in notification procedure.
Record source categories:
Application for Training forms such as DL-101 or other application
forms BLS may designate. Certificates of course completion.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-9

System name: Routine Administrative Files.

Security classification:
None.
System location:
Room 2645, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Categories of individuals covered by the system:
BLS employees, BLS contractors, visitors for longer than 30 days, and
private, federal or state workers who car pool with a BLS employee.
Categories of records in the system:
Several groups of records exist. Records containing tuition
information, which include name of the individual, office name, name
of class, cost, and number of hours. Parking permit records include
names of drivers and riders, home and work addresses, home zip codes,
tag number(s), make of car(s), and permit number. Employee separation
records include employee's name, home address, date of separation and
ID card number. Contractor ID card records include name, company name,
name of COTR, ID card number, date issued and date expired. Property
pass records include name of individuals authorized to sign passes,
cost centers, room number, and the name of the building where the
individual is authorized to sign passes. Cardkey security records
include name, social security number, cost center, organization
acronym, supervisor's name, phone number and access levels.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To record and track routine administrative date, to maintain security
and to plan expenditures.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored on file server with tape backup.
Retrievability:
By individual's name.
Safeguards:
Authorized personnel only. File servers are located in secured rooms.
Passwords are necessary to access records.
Retention and disposal:
All records are temporary, usually one to four years, and disposal is
based on BLS records disposition schedule NI257-88-1.
System manager(s) and address:
Chief, Division of Administrative Services, Room 2645, Postal Square
Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
BLS Form OA-189, DL 1-101, DL 1-127, DL 1-107 and from individuals
concerned.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-10

System name: Commissioner's Correspondence Control System.

Security classification:
Unclassified
System location:
Room 4040, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Categories of individuals covered by the system:
Individuals from whom correspondence is received in the Commissioner's
Office of the Bureau of Labor Statistics.
Categories of records in the system:
Information about correspondence and the originators including the
name of the sender, the subject of the correspondence, the name of the
individual and office instructed to prepare a response, a control
number, dates, and related information.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To record the receipt of correspondence, to monitor the handling of
correspondence, and to facilitate a timely response to correspondence.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic file server with backup tapes.
Retrievability:
Name, control number, office assigned response, dates.
Safeguards:
Access by authorized personnel only. Passwords are used.
Retention and disposal:
Indefinite.
System manager(s) and address:
Chief, Division of Management Systems, Room 3255, Postal Square
Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
As noted in notification procedure.
Contesting record procedures:
As noted in notification procedure.
Record source categories:
Correspondence received in the Commissioner's Office.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-11

System name: NIH and Boeing User ID Database.

Security classification:
Unclassified.
System location:
Electronic records stored on computer at Boeing Computer Center,
Vienna, VA and the National Institutes of Health, Bethesda, MD. Access
and maintenance occur by remote terminal in Room G415, Postal Square
Building, 2 Massachusetts Ave. NE, Washington, DC 20212. Paper copy
kept at above address.
Categories of individuals covered by the system:
BLS employees, BLS contractors, state agencies employees.
Categories of records in the system:
Records include name, ID to access system, office address and phone
number and account number.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To assign and maintain ID numbers to use NIH and Boeing mainframe
computers, to locate mainframe users and to run an accounting program.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Online in mainframe computer and paper copies.
Retrievability:
By any of the fields listed under Categories of records in the system.
Safeguards:
Access by authorized personnel only. Passwords are necessary for
electronic retrieval. Paper files maintained in locked office.
Retention and disposal:
Reviewed at the beginning of each fiscal year to delete inactive IDs
from the previous year.
System manager(s) and address:
Chief, Division of Automatic Data Processing Support, Room G415,
Postal Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address.
Record access procedures:
As in notification process.
Contesting record procedures:
As in notification process.
Record source categories:
From individuals concerned.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-12

System name: Employee Acknowledgement Letter Control System.

Security classification:
Unclassified.
System location:
Room 3255, Postal Square Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
Categories of individuals covered by the system:
BLS employees.
Categories of records in the system:
Records include name, office address, telephone number, supervisor's
name, last day of individual's first pay period, region, cost center,
date acknowledgement was signed.
Authority for maintenance of the system:
29 CFR 0.735-8 and 0.735-11(b).
Purpose(s):
Used by BLS to monitor whether employees have signed the
acknowledgement letter regarding the safeguarding of confidential
information.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Electronic file server with backup tapes. Paper files of the signed
letters are also maintained.
Retrievability:
Name, date signed, Social Security Number, regional office.
Safeguards:
Access by authorized personnel only. Passwords are used for electronic
system. Paper files are kept in an office which is locked after
working hours.
Retention and disposal:
Indefinite.
System manager(s) and address:
Chief, Division of Management Systems, Room 3255, Postal Square
Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address noted above.
Record access procedures:
As noted in notification procedure.
Contesting record procedures:
As noted in notification procedure.
Record source categories:
Signed employee acknowledgement letters are submitted by employees.
Lists of new employees required to sign the letter are prepared by the
Division of Personnel and Organization Management.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-13

System name: National Longitudinal Survey of Youth (NLSY)
Database.

Security classification:
None.
System location:
NORC, 1155 E. 60th Street, Chicago, IL 60637.
Categories of individuals covered by the system:
A random sample of the general population who were ages 14-21 on
January 1, 1979, with over representation of blacks, Hispanics, poor
whites, and persons serving in the military.
Categories of records in the system:
Records include name, Social Security Number, control number, marital
history, education, military service, job history, unemployment
history, training history, fertility/family planning and child health
history, alcohol use, drug use, reported police contacts, assets and
income, childhood residence, child development outcomes, history of
mother/child relationship, time spent on childcare and household
chores and immigration history.
Authority for maintenance of the system:
29 U.S.C. sec. 2.
Purpose(s):
To serve a variety of policy-related research interests concerning the
labor market problems of youth. Data is used for studies such as:
Diffusion of useful information on labor, examination of Department of
Labor employment and training, understanding labor markets, guiding
military manpower and measuring the effect of military, analysis of
social indicators and measuring maternal and child inputs and
outcomes.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The National Opinion Research Corporation (NORC) and Ohio State
University use the records to compile data tapes for use by
individuals of the general public and other federal agencies who are
conducting labor force research. All data which is of sufficient
specificity that individuals could theoretically be identified through
some set of unique characteristics is deleted or masked before
release.
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 on paper.
Retrievability:
Name or Control Number.
Safeguards:
Access by authorized personnel only. Passwords are used for
electronically stored data and locked file cabinets for paper files.
Retention and disposal:
Indefinite.
System manager(s) and address:
COTR, NLS Youth Cohort Study, Office of Research and Evaluation, Room
4915, Postal Square Building, 2 Massachusetts Ave. NE, Washington, DC
20212 .
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
From individuals concerned.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-14

System name: Collection Procedures Research Lab Project Files.

Security classification:
Unclassified.
System location:
Offices in the Bureau of Labor Statistics National Office.
Categories of individuals covered by the system:
BLS employees, BLS contractors, volunteer sampling of general
population.
Categories of records in the system:
Records include name, name of project and biographic information on
individuals who volunteer for studies.
Authority for maintenance of the system:
29 U.S.C. sec. 2.
Purpose(s):
Biographic data is used by BLS to select subjects for studies. Test
results and observations are used by BLS to better understand the
psychological process of respondents as it reflects on the accuracy of
answers given to BLS during data collection.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper files and some electronic files stored on floppy disks.
Retrievability:
Name and project.
Safeguards:
Authorized personnel only. Files are kept in locked offices.
Retention and disposal:
One to five years.
System manager(s) and address:
Director, CPRL, Office of Research and Evaluation, Room 4915, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Volunteer information sheet, consent form and individuals concerned.
Systems exempted from certain provisions of the act:
None.
Note: Medical records contained in this system will be disclosed
solely in compliance with 29 CFR 70a.6(d).

DOL/BLS-15

System name: Management Research Files.

Security classification:
None.
System location:
Records stored on mainframe computer at Boeing Computer Center,
Vienna, VA, and on a file server in Room 3105, Postal Square Building,
2 Massachusetts Ave. NE, Washington, DC 20212. Mainframe and file
server data access and maintenance from remote terminals on the BLS
Local Area Network located at Postal Square Building, 2 Massachusetts
Ave. NE, Washington, DC 20212.
Categories of individuals covered by the system:
Regular full- and part-time and intermittent employees of DOL and its
agencies.
Categories of records in the system:
Name, social security number and employee number, job title, grade,
step, and salary, organization (code), retirement or FICA data as
applicable. Federal, State and local tax deductions; regular and
optional government life insurance deduction(s), health insurance
deduction and plan or code; cash award data; jury duty data, military
leave data, pay differentials, union dues and all other deductions,
allotments by type and amount, Thrift Savings Plan contributions,
financial institution code and employee account number, leave status
and data of all types (including annual, compensatory, jury duty,
maternity, military, retirement, disability, sick, transferred, and
without pay,) time and attendance records, including flexitime log
sheets indicating number of regular, overtime, holiday, Sunday, and
other hours worked, pay period number and ending date, cost of living
allowances, co-owner and/or beneficiary of bonds, marital status,
number of dependents, mailing address and ``Notification of Personnel
Action.'' The individual records listed herein are included only as
pertinent or applicable to the individual employee. Records of
training received by individual employees for cost and no cost
training. Internal reports submitted to prepare the Departmental
budget and employment reports. These reports include information such
as job title, grade, location, name and social security number.
Employee name, employee organization, course taken, course start date,
course end date, total hours for course, indication whether or not the
course was completed, and cost of the course for this student to the
student's organization.
Authority for maintenance of the system:
31 U.S.C. 66(a), 5 U.S.C. 301, 5 U.S.C. 4115, and FPM Chapter 410,
subchapter 9, as supplemented by the Department's Manual Series
handbook 4-1, (July, 1979).
Purpose(s):
Development of new, experimental measures of labor input cost,
quality, and quantity that track changes over time and permit
comparisons between organizational units within the Department;
development of behavioral models explaining the determinants of
employment events, such as hiring, separation, promotion, and
participation in benefit programs; development of experimental
measures of the distribution of the characteristics of the labor
force, including sociodemographic indicators, experience, and
components of monetary and nonmonetary compensation.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Stored on magnetic disk packs on mainframe with tape backup, and on
file server with tape backup.
Retrievability:
By individual's name, social security number, PAS code, budget
position number, grade, course title, and other identifying codes,
such as course number.
Safeguards:
Authorized personnel only. File servers are located in secured rooms.
Passwords are necessary to access records.
Retention and disposal:
All records are temporary, usually one to four years, and disposal is
based on BLS records disposition schedule NI257-88-1.
System manager(s) and address:
Chief, Division of Price and Index Number Research, Room 3150, Postal
Square Building, 2 Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Mail all inquiries or present in writing to System Manager at above
address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Employees, supervisors, timekeepers, official personnel records, the
IRS, consumer credit reports, personal financial statements,
correspondence with the debtor, records relating to hearings on the
debt, and from other DOL systems of records; training requests and
follow-up evaluations of training received.
Systems exempted from certain provisions of the act:
None.

DOL/BLS-16

System name: Annual Survey of Occupational Injuries and
Illnesses.

Security classification:
None.
System location:
Bureau of Labor Statistics national computer center, BLS regional
offices, and offices of State agencies participating in the Bureau's
occupational safety and health statistics program.
Categories of individuals covered by the system:
Private and public sector employees who experience a job related
injury or illness.
Categories of records in the system:
Employee name, employee social security number, employer name,
employer industry, employee demographics (age, sex race, occupation,
length of service with employer), injury/illness circumstances (nature
of injury/illness, part of body affected, primary and secondary
sources of the injury/illness, and the event or exposure).
Authority for maintenance of the system:
29 U.S.C. 651 and 29 CFR part 673.
Purpose(s):
The records are maintained as part of a program of occupational safety
and health statistics. They are used in statistical analyses to
develop information regarding the causes and prevention of
occupational accidents and illnesses; allocating government and
private resources for prevention of work place injuries and illnesses;
development of strategies for preventing job related injuries and
illnesses; and evaluating the effectiveness of occupational safety and
health programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The paper records are stored in file folders in metal file cabinets
until completion of all survey processing (18 months). They are then
destroyed. Machine readable versions of the records are kept in a
mainframe computer database.
Retrievability:
Filed by employer identification number, employee name, and employee
social security number.
Safeguards:
Records are maintained in a secured area or automated media with
access limited to personnel authorized by BLS whose duties require
access.
System manager(s) and address:
Assistant Commissioner; Bureau of Labor Statistics; Office of Safety,
Health and Working Conditions; Room 4130, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC 20212.
Notification procedure:
Inquiries should be mailed or presented to the system manager at the
address noted above.
Record access procedures:
As noted in notification procedure.
Contesting record procedures:
As noted in notification procedure.
Record source categories:
Data collection forms designated by BLS for the Annual Survey of
Occupational Injuries and Illnesses.
Systems exempted from certain provisions of the act:
None.

Employees' Compensation Appeals Board (ECAB)

DOL/ECAB-01

System name: Employees' Compensation Appeals Board Docket
Records.

Security classification:
None.
System location:
U.S. Department of Labor, Employees' Compensation Appeals Board, 300
7th Street SW, Suite 300, Washington, DC 20210.
Categories of individuals covered by the system:
Former or current Federal employees appealing final decisions of the
Office of Workers' Compensation Programs.
Categories of records in the system:
Documents pertaining to appeals of final decisions rendered by the
Office of Workers' Compensation Programs arising under the Federal
Employees Compensation Act, including incoming and outgoing
correspondence, a summary of processing transactions, pleadings,
motions, orders, and final disposition.
Authority for maintenance of the system:
5 U.S.C. 8101 et seq.
Purpose(s):
To maintain formal records of appeals and track appeals through
processing and disposition operations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure to officers and employees of the Department of Labor having
need for access to the record in the performance of their duties.
1. Reply to correspondence pertaining to pending appeals and their
disposition.
2. Adjudicate and determine issues raised on appeal.
3. Disclosure outside the Department of Labor may be made to the
Department of Justice when related to litigation or anticipated
litigation; information indicating a violation or potential violation
of a statute, regulation, rule, order or license, may be made to
appropriate Federal, State or local agencies responsible for
investigating or prosecuting the violation or for enforcing or
implementing the statute, rule, regulation, order or license.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Maintained in manual hard copy form in file folders; summary data
maintained in computer based case tracking system.
Retrievability:
Indexed by ECAB Docket case number, can be cross-referenced to
individual's name.
Safeguards:
Manual Docket records are maintained in a separate file room with
access restricted to ECAB employees. Manual records may be reviewed
only by Federal employees with a work related need for access and to
the appellant or an authorized representative upon presentation of
appropriate identification. Standard computer operating procedures
restrict access of computer data to authorized users with proper
password.
Retention and disposal:
Manual Docket records are retired to the National Records Center after
three years; they are destroyed after 20 years. Historical computer
records are stored on diskette in a locked cabinet.
System manager(s) and address:
Clerk of the Board, Employees' Compensation Appeals Board, 300 7th
Street SW, Suite 300, Washington, DC 20210
Notification procedure:
Inquiries regarding records should be in the form of a written, signed
request to the System Manager at the above address and should specify
the ECAB Docket number.
Record access procedures:
Information or assistance regarding access to ECAB Docket records may
be obtained by contacting the Clerk of the Board, Employees'
Compensation Appeals Board, 300 7th Street SW, Suite 300, Washington,
DC 20210 or by telephoning (202) 401-8781.
Contesting record procedures:
Individuals who wish to contest their records should notify the System
Manager in writing.
Record source categories:
Records in this system contain information supplied by the appellant
and Government officials involved in the appeals proceedings.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/ECAB-02

System name: Employees' Compensation Appeals Board Disposition
Records.

Security classification:
None
System location:
U.S. Department of Labor, Employees' Compensation Appeals Board, 300
7th Street SW, Suite 300, Washington, DC 20210.
Categories of individuals covered by the system:
Former or current Federal employees who appealed final decisions of
the Office of Workers' Compensation Programs.
Categories of records in the system:
Final decisions and/or orders determining appeals of benefits claims
under the Federal Employees' Compensation Act.
Authority for maintenance of the system:
5 U.S.C. 8101 et seq.
Purpose(s):
To maintain formal records of appeal dispositions determined by the
Employees' Compensation Appeals Board.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Board final decisions and/or orders are public documents and are
accessible to any interested persons. Precedent setting decisions are
published in an annual Volume, available for sale from the Government
Printing Office, and deposited in over 500 Federal Depository
Libraries throughout the country. They are used by law schools, law
libraries, the Office of Workers' Compensation Programs, the Office of
the Solicitor of Labor, attorneys and those members of the general
public interested in federal workers' compensation.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Recent decisions are maintained in hard copy form in binders in the
ECAB library, older decisions are in published, bound volumes.
Published volumes are also on deposit in designated Federal Depository
Libraries.
Retrievability:
Published decisions are indexed by appellant's last name, by category
of medical condition and legal issue, by ECAB Docket number and by
ECAB Volume number and page. Unpublished decisions are indexed by ECAB
Docket number, and can be cross-referenced to appellant's name.
Safeguards:
Access to ECAB Library and Decision Files is by request and available
during regular office hours.
Retention and disposal:
Disposition records are retained indefinitely.
System manager and address:
Clerk of the Board, Employees' Compensation Appeals Board, 300 7th
Street SW, Suite 300, Washington, DC 20210
Notification procedure:
Inquiries should be in the form of a written, signed request to the
System Manager at the above address and should specify the ECAB Docket
number, name of appellant and approximate date of disposition.
Alternatively, if disposition is known to be a published decision,
inquiry should specify the Volume and page number.
Record access procedures:
Information or assistance regarding access to ECAB Disposition Records
may be obtained by contacting the Clerk of the Board, Employees'
Compensation Appeals Board, 300 7th Street SW, Suite 300, Washington,
DC 20210 or by telephoning (202) 401-8781.
Contesting record procedures:
Appellants who wish to contest their Disposition Records should notify
the System Manager in writing.
Record source categories:
Records in this system are composed of formal, final decisions and/or
orders of the Employees' Compensation Appeals Board.
Systems exempted from certain provisions of the act:
None.

Employment Standards Administration through Mine Safety and
Health Administration

Employment Standards Administration (ESA)

DOL/ESA-2

System name: Office of Federal Contract Compliance Programs,
Complaint Files.

Security classification:
Unclassified.
System location:
Room C-3325, Department of Labor Building, 200 Constitution Avenue,
NW, Washington, DC 20210, and OFCCP Regional and District Offices (see
Appendix 1 to this document).
Categories of individuals covered by the system:
Individuals filing complaints of discrimination under Executive Order
11246, as amended; the Vietnam Era Veterans' Readjustment Assistance
Act of 1974, as amended, 38 U.S.C. 4212; and section 503 of the
Rehabilitation Act of 1973, as amended.
Categories of records in the system:
Medical records, investigative reports and materials, contract
coverage information, employment applications, time and attendance
records.
Authority for maintenance of the system:
Executive Order 11246, as amended; the Vietnam Era Veterans'
Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 4212,
section 503 of the Rehabilitation Act of 1973, as amended.
Purpose(s):
To maintain information and to provide information to other Federal
agencies, Congressional staff and/or to an individual in response to a
request from that agency or person regarding information gathered
during the course of OFCCP's operations.
To collect information to investigate complaints by individuals under
Executive Order 11246, as amended; the Vietnam Era Veterans'
Readjustment Assistance Act of 1974, amended, 38 U.S.C. 4212; and
section 503 of the Rehabilitation Act of 1073, as amended.
Routine uses of records maintained in the system including categories or
users and the purposes of such uses:
Disclosure of relevant and necessary information to the Equal
Employment Opportunity Commission, Department of Justice, to other
Federal, State or local agencies with concurrent jurisdiction over a
complaint, for investigatory, conciliation or enforcement purposes.
Disclosure to Federal contractors, subcontractors against whom a
complaint is filed, including providing a copy of the complaint or a
summary for purposes of notice and/or under applicable internal
procedures; during an investigation to persons who may have knowledge
pertinent to the complaint, but only to the extent necessary to
determine the validity of complaint charges.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Power files/Magnetic tape/Manual files.
Retrievability:
By name or OFCCP control number.
Safeguards:
Locked files and computer access codes.
Retention and disposal:
Active files retained 2-3 years from date of closure, referred to
storage for additional 4 years then they are destroyed.
System manager(s) and address:
Director, OFCCP, Room C-3325, 200 Constitution Avenue, NW, Washington,
DC 20210; Regional Directors for OFCCP, see Appendix 1 to this
document for addresses.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager or the OFCCP
Regional Office servicing the State where they are employed (see list
of Regional Office addresses in Appendix 1 to this document).
Record access procedures:
Some records in this system of records are exempt from access
provisions of the Privacy Act. The section of this notice entitled
``Systems Exempted from Certain Provisions of the Act'' indicates the
sections from which this systems of records is exempt. However, the
Department of Labor will consider all requests for access addressed to
the OFCCP Regional Director where the case is located, or the system
manager, in accordance with 29 CFR Subtitle A, 70a.3-70a.6 and 70a.9-
70a.13. Individuals must provide the following information: Name,
social security number and signature.
Contesting record procedures:
Some records in this system of records are exempt from amendment
provisions of the Privacy Act. The section of this notice entitled
``Systems Exempted from Certain Provisions of the Act'' indicates the
sections from which this systems of records is exempt. However, the
Department of Labor will consider all requests for amendments
addressed to the OFCCP Regional Director where the case is located, or
the system manager, in accordance with 29 CFR subtitle A, 70a.3-70a.6
and 70a.9-70a.13. Individuals must provide the following information:
Name, social security number and signature.
Record source categories:
Individual complainants, employers, co-workers, State rehabilitation
agencies, physicians.
Systems exempted from certain provisions of the act:
This system contains complaints and investigative files compiled
during the course of complaint investigations and compliance reviews.
In accordance with paragraph (k)(2) of the Privacy Act, these files
have been exempted from subsections (d), (c)(3), (e)(1), (e)(4)(G),
(H), and (I) and (f) of the Act. The disclosure of information
contained in these files may in some circumstances discourage non-
management persons who have knowledge of facts and circumstances
pertinent to charges from giving statements or cooperating in
investigations. In addition, disclosure of medical records contained
in these files may adversely affect the health of individuals without
guidance of a responsible physician.

DOL/ESA-5

System name: Office of Workers' Compensation Programs, Black
Lung Antidiscrimination Files.

Security classification:
Unclassified
System location:
Office of Workers' Compensation Programs, Division of Coal Mine
Workers' Compensation, Department of Labor Building, 200 Constitution
Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Individuals filing complaints against employers on account of
discharge or other acts of discrimination by reason of pneumoconiosis
disease.
Categories of records in the system:
Individual correspondence, investigative records, employment records,
payroll records, medical reports, any other documents or reports
pertaining to an individual's work history, education, medical
condition or hiring practices of the employer.
Authority for maintenance of the system:
30 U.S.C. 938.
Purpose(s):
These records are used to process complaints against employers who
discharge or otherwise discriminate against individuals because of
pneumoconiosis disease.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of file content may be made to any party of interest to the
complaint, including the coal company, the claimant, and legal
representatives of each, for the purposes related to a complaint under
the anti-discrimination provision of the Black Lung Act.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Coal miner's name and social security number.
Safeguards:
Files located in restricted area of a Federal building under guard by
security officers.
Retention and disposal:
Files are destroyed 10 years after case is closed.
System manager(s) and address:
Director, Division of Coal Mine Workers' Compensation, Department of
Labor Building, Room C-3520, 200 Constitution Avenue, NW, Washington,
DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the above
address. Individuals must furnish their name, the coal miner's social
security number and signature.
Record access procedures:
Individuals wishing to request access to their records should contact
the system manager at the above address. Individuals must furnish
their name, the coal miner's social security number and signature.
Contesting record procedures:
Individuals wishing to request amendment of any record should contact
the system manager at the above address. Individuals must furnish
their name, the coal miner's social security number and signature.
Record source categories:
Individual correspondence, investigative records, employment records,
payroll records, medical reports, any other documents or reports
pertaining to an individual's work history, education, medical
condition, or hiring practices of the employer.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/ESA-6

System name: Office of Workers' Compensation, Black Lung
Benefits Claim File.

Security classification:
Unclassified.
System location:
Office of Workers' Compensation Programs, Division of Coal Mine
Workers' Compensation, Department of Labor Building, 200 Constitution
Avenue, NW, Washington, DC 20210, and district offices (see addresses
in Appendix 1 to this document).
Categories of individuals covered by the system:
Individuals filing claims for black lung (pneumoconiosis) benefits
under the provisions of Title IV of the Federal Coal Mine Health and
Safety Act of 1969, as amended, including miners, and their surviving
widows, children, dependent parents and siblings.
Categories of records in the system:
Name, date of birth, SSN, claim type, miner's date of death, medical,
and financial. The system also may contain information gathered in
connection with investigations concerning possible violations of
Federal law, whether civil or criminal, under the authorizing
legislation and related Acts. This record also contains the work
product of the Department of Labor and other governmental personnel
and consultants involved in the investigations. Consumer credit
reports of individuals within this system that are indebted to the
United States, correspondence to and from the debtor, information of
records relating to the debtor's current whereabouts, assets,
liabilities, income and expenses, debtor's personal financial
statements, and other information such as the nature, amount and
history of a claim owed by an individual covered by this system, and
other records and reports relating to the implementation of the Debt
Collection Act of 1982 including any investigative records or
administrative review matters. The individual records listed herein
are included only as pertinent of applicable to the individual
claimant.
Authority for maintenance of the system:
30 U.S.C. 901 et seq., 20 CFR 715.1 et seq., 20 CFR 720.1 et seq., 20
CFR 725.1 et seq.
Purpose(s):
These record are used to process all aspects of claims for black lung
(pneumoconiosis) benefits including overpayments under the provisions
of Title IV of the Federal Coal Mine Health and Safety Act of 1969, as
amended, including claims filed by miners and their surviving widows,
children, dependent parents and siblings.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the DOL-wide routine uses, disclosure of relevant and
necessary information may be made to the following:
a. Mine operators (and/or any party providing the operator with
workers' compensation insurance) who have been determined potentially
liable for the claim at any time after report of the injury or report
of the onset of occupational illness, or the filing of a notice of
injury or claim related to such injury or occupational illness, for
the purpose of determining liability for payment.
b. State workers' compensation agencies and the Social Security
Administration for the purpose of determining offsets as specified
under the Act.
c. Doctors and medical services providers for the purpose of obtaining
medical evaluations, physical rehabilitation or other services.
d. Legal representatives for the purpose of claimant, responsible
operator and program representation on contested issues.
e. Labor unions and other voluntary employee associations of which the
claimant is a member for the purpose of exercising an interest in
claims of members as part of their service to the members.
f. Contractors providing automated data processing services to the
Department of Labor, or to any agency or entity to whom release is
authorized, where the contractor is providing a service relating to
the purpose for which the information can be released.
g. Federal, state or local agency if necessary to obtain information
relevant to a Department decision concerning the determination of
initial or continuing eligibility for program benefits, whether
benefits have been or are being paid improperly, including whether
dual benefits prohibited under any federal or state law are being
paid; and salary offset and debt collection procedures, including any
action required by the Debt Collection Act of 1982.
h. Debt collection agency that DOL has contracted for collection
services to recover indebtedness owed to the United States.
i. Internal Revenue Service for the purpose of obtaining taxpayer
mailing addresses in order to locate such taxpayer to collect,
compromise, or write-off a Federal claim against the taxpayer;
discharging an indebtedness owed by an individual.
j. Credit Bureaus for the purpose of receiving consumer credit reports
identifying the assets, liabilities, income and expenses of a debtor
to ascertain the debtor's ability to pay a debt and to establish a
payment schedule.
k. Disclosure to the claimant, a person who is duly authorized to act
on his/her behalf, or to others to whom disclosure is authorized by
these routine uses, of information contained in the file may be made
over the telephone. Disclosure over the telephone will only be done
where the requestor provides appropriate identifying information to
OWCP personnel. Telephonic disclosure of information is essential to
allow OWCP to efficiently perform its functions in adjudicating and
servicing claims.
Disclosure to consumer reporting agencies:
The amount, status and history of overdue debts; the name and address,
taxpayer identification (SSAN), and other information necessary to
establish the identity of a debtor, the agency and program under which
the claim arose, are disclosed pursuant to 5 U.S.C. 552a(b)(12) to
consumer reporting agencies as defined by section 603(f) of the Fair
Credit Reporting Act (15 U.S.C. 1681a(f); or in accordance with
section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as
amended (31 U.S.C 3711(f) for the purpose of encouraging the repayment
of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Case file documents, both original and copies in manual files.
Retrievability:
Coal miner's name, social security number, and claimant's name when
different from miner's.
Safeguards:
Files are maintained under the supervision of OWCP personnel.
Retention and disposal:
Approved claims files are destroyed 10 years after death of last
beneficiary. Denied claims are destroyed 15 years after final denial.
System manager(s) and address:
Director, Division of Coal Mine Workers' Compensation, Department of
Labor Building, Room C-3520, 200 Constitution Avenue, NW, Washington,
DC 20210, and district office commissioners (see addresses in Appendix
1 to this document).
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the above
address, or district office deputy commissioner (see addresses in
Appendix 1 to this document). Individuals must furnish their name,
signature and the coal miner's social security number.
Record access procedure:
Individuals wishing to request access to non-exempt records should
contact the appropriate office listed in the Notification Procedure
section. Individuals must furnish their name, signature and the coal
miner's social security number.
Contesting record procedures:
Specific materials in this system have been exempted from Privacy Act
provisions at 5 U.S.C. 552a(d), regarding access to records. The
section of this notice titled ``Systems Exempted from Certain
Provisions of the Act'' indicates the kinds of materials exempted and
the reasons for exempting them from access. Individuals wishing to
request amendment of any non-exempt records should contact the
appropriate office listed in the Notification Procedure section.
Individuals must furnish their name, the coal miner's social security
number and signature.
Record source categories:
Claim form, medical reports, correspondence, investigative reports,
employment reports; Federal and State agency records, any other record
or document pertaining to a claimant or his dependent as it relates to
the claimant's age, education, work history, marital history or
medical condition. Consumer credit reports, personal financial
statements, correspondence with the debtor, records relating to
hearing on the debt, and from other DOL systems of records. Such
information may be derived from materials filed with the Department of
Labor, other Federal, State and local departments and agencies, court
records, medical records, insurance records, records of employers,
articles from publications, published financial data, corporate
information, bank information, telephone data, statements of
witnesses, information received from Federal, State, local and foreign
regulatory and law enforcement organizations, and from other sources.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-12

System name: Office of Workers' Compensation Programs, Black
Lung X-ray Interpretation File.

Security classification:
Unclassified
System location:
Office of Workers' Compensation Programs, Division of Coal Mine
Workers' Compensation, Department of Labor Building, 200 Constitution
Ave., NW, Washington, DC 20210, and district offices (see addresses in
Appendix 1 to this document).
Categories of individuals covered by the system:
Individuals filing claims for black lung (pneumoconiosis) benefits
under the provisions of Title IV of the Federal Coal Mine Health and
Safety Act of 1969, as amended, including miners, and their surviving
widows, children, dependent parents and siblings.
Categories of records in the system:
Records included are medical and personal (name, date of birth, SSN,
claim type, miner's date of death).
Authority for maintenance of the system:
30 U.S.C. 901 et seq., 20 CFR 715.1 et seq., 20 CFR 720.1 et seq., 20
CFR 725.1 et seq.
Purpose(s):
These records are used as medical documentation in the processing of
claims for black lung (pneumoconiosis) benefits under the provisions
of Title IV of the Federal Coal Mine Health and Safety Act of 1969, as
amended.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the DOL-wide routine uses, disclosure may also be made
to:
a. Mine operators (and/or any party providing the operator with
workers' compensation insurance) who have been determined potentially
liable for the claim at any time after report of the injury or report
of the onset of occupational illness, or the filing of a notice of
injury or claim related to such injury or occupational illness, for
the purpose of determining liability for payment.
b. State workers' compensation agencies and the Social Security
Administration for the purpose of determining offsets as specified
under the Act.
c. Doctors and medical services providers for the purpose of obtaining
medical evaluations, physical rehabilitation or other services.
d. Other Federal agencies conducting scientific research concerning
the incidence and prevention of black lung disease.
e. Legal representatives for the purpose of claimant, responsible
operator and program representation on contested issues.
f. Labor unions and other voluntary employee associations of which the
claimant is a member for the purpose of exercising an interest in
claims of members as part of their service to the members.
g. Contractors providing automated data processing or other services
to the Department of Labor, or to any agency or entity to whom release
is authorized, where the contractor is providing a service relating to
the purpose for which the information can be released.
h. Federal, state or local agency if necessary to obtain information
relevant to a Department decision concerning the determination of
initial or continuing eligibility for program benefits, whether
benefits have been or are being paid improperly, including whether
dual benefits prohibited under any federal or state law are being
paid; and salary offset and debt collection procedures, including any
action required by the Debt Collection Act of 1982.
i. Debt collection agency that DOL has contracted for collection
services to recover indebtedness owed to the United States.
j. Internal Revenue Service for the purpose of obtaining taxpayer
mailing addresses in order to locate such taxpayer to collect,
compromise, or write-off a Federal claim against the taxpayer;
discharging an indebtedness owed by an individual.
k. Credit Bureaus for the purpose of receiving consumer credit reports
identifying the assets, liabilities, income and expenses of a debtor
to ascertain the debtor's ability to pay a debt and to establish a
payment schedule.
l. Disclosure to the claimant, a person who is duly authorized to act
on his/her behalf, or to others to whom disclosure is authorized by
these routine uses, of information contained in the file may be made
over the telephone. Disclosure over the telephone will only be done
where the requestor provides appropriate identifying information to
OWCP personnel. Telephonic disclosure of information is essential to
allow OWCP to efficiently perform its functions in adjudicating and
servicing claims.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Coal miner's name and social security number.
Safeguards:
Files located in restricted area of a Federal building under guard by
security officers.
Retention and disposal:
Files are destroyed 17 years after final adjudication or denial.
System manager(s) and address:
Associate Director, Division of Coal Mine Workers' Compensation,
Department of Labor Building, Room C-3520, 200 Constitution Ave., NW,
Washington, DC 20210, and district office deputy commissioners (see
addresses in Appendix 1 to this document).
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the above
address or district office deputy commissioner (see addresses in
Appendix 1 to this document). Individuals must furnish their name, the
coal miner's social security number and signature.
Record access procedures:
Individuals wishing to request access to their records should contact
the appropriate office listed in the Notification Procedure section.
Individuals must furnish their name, coal miner's social security
number, and signature.
Contesting record procedures:
Individuals wishing to request amendment of any record should contact
the appropriate office listed in the Notification Procedure section.
Individual must furnish their name, the coal miner's social security
number and signature.
Record source categories:
Individual's medical records.
System exempted from certain provisions of the act:
Not applicable.

DOL/ESA-15

System name: Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Case Files.

Security classification:
Unclassified.
System location:
Case files are located in the district offices at the following
addresses:
One Congress Street, 11th Floor, Boston, Massachusetts 02114.
ESA/OWCP/Longshore Division, 201 Varick Street, P0 Box 249, New York,
New York 10014-0249.
Gateway Building, Room 13180, 3535 Market Street, P0 Box 7336,
Philadelphia, Pennsylvania 19104.
Federal Building, Room 1026, 31 Hopkins Plaza, Baltimore, Maryland
21201.
Federal Building, Room 212, 200 Granby Mall, Norfolk, Virginia 23510.
Edward Ball Building, Suite 1040, 214 North Hogan Street,
Jacksonville, Florida 32202.
701 Loyola Avenue, Room 13032, New Orleans, Louisiana 70113 525.
Griffin Street, Room 100, Dallas, TX 75202.
One South Green Building, Room 105, 12600 N. Featherwood Drive,
Houston, Texas 77034.
Room 800, 230 South Dearborn Street, Chicago, Illinois 60604.
ESA/OWCP/Longshore Division, P0 Box 3770, San Francisco, California
94119.
Box 50209, Room 5108, 300 Ala Moana Boulevard, Honolulu, Hawaii 96850.
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802.
1111 Third Avenue, Suite 620, Seattle, Washington 98101-3212.
1200 Upshur Street, NW, P0 Box 56098, Washington, DC 20011.
Cases involving special issues may be temporarily in the National
Office at 200 Constitution Avenue, NW, Room C-4315, Washington, DC
20210.
Categories of individuals covered by the system:
Employees injured or killed while working in private industry who are
covered by the provisions of the Longshore and Labor Workers'
Compensation Act and related acts.
Categories of records in the system:
Reports of injury by employees and employers; authorization for
medical care, medical reports; medical and transportation bills;
formal orders for or against payment of compensation, vocational
rehabilitation plans, awards and progress reports; vital statistics
such as birth, marriage, and death certificates; and enrollment and
attendance records at educational institutions.
Authority for maintenance of the system:
33 U.S.C. 901 et seq. (20 CFR parts 701 et seq.); 36 D.C. Code 501 et
seq.; 42 U.S.C. 1651 et seq.; 43 U.S.C. 1331 et seq.; 5 U.S.C. 8171,
et seq.
Purpose(s):
To monitor the actions of insurance carriers, employers, and injured
workers with respect to injuries reported under the Longshore and
Harbor Workers' Compensation Act and related acts to ensure that
eligible claimants receive appropriate benefits as provided by the
Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the DOL-wide routine uses, disclosure may also be made
to:
a. The employer at any time after report of the injury or report of
the onset of the occupational illness, or the filing of a notice of
injury or claim related to such injury or occupational illness, and/or
any party providing the employer with workers' compensation insurance
coverage since the employer and insurance carrier are parties-in-
interest to all actions on a case.
b. Doctors and medical service providers for the purpose of obtaining
medical evaluations, physical rehabilitation or other services.
c. Public or private rehabilitation agencies to whom the injured
worker has been referred for vocational rehabilitation services so
that they may properly evaluate the injured worker's experience,
physical limitations and future employment capabilities.
d. Federal, state and local agencies conducting similar or related
investigations to verify whether prohibited dual benefits were
provided, whether benefits have been or are being paid properly,
including whether dual benefits prohibited by federal or state law are
being paid; salary offset and debt collection procedures including
those actions required by the Debt Collection Act of 1982.
e. Contractors providing automated data processing or other services
to the Department of Labor, or to any agency or entity to whom release
is authorized, where the contractor is providing a service relating to
the purpose for which the information can be released.
f. Labor unions and other voluntary associations of which the claimant
is a member or to an individual acting on behalf of the individual.
g. Internal Revenue Service for the purpose of obtaining taxpayer
mailing addresses in order to locate such taxpayer to collect,
compromise, or write-off a Federal claim against the taxpayer;
discharging an indebtedness owed by an individual.
h. Credit Bureaus for the purpose of receiving consumer credit reports
identifying the assets, liabilities, income and expenses of a debtor
to ascertain the debtor's ability to pay a debt and to establish a
payment schedule.

DOL/ESA-24

System name: Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Special Fund System.

Security classification:
Unclassified.
System location:
Division of Longshore and Harbor Workers' Compensation, Room C-4315,
Department of Labor Building, 200 Constitution Avenue, NW, Washington,
DC 20210.
Categories of individuals covered by the system:
Persons receiving compensation and related benefits under the
Longshore and Harbor Workers' Compensation Act.
Categories of records in the system:
Medical and vocational rehabilitation reports, bills, vouchers and
records of payment for compensation and related benefits, statements
of employment status, and formal orders for payment of compensation.
Authority for maintenance of the system:
33. U.S.C. 901 et seq. (20 CFR parts 701 et seq.); 36 D.C. Code 501 et
seq.; 42 U.S.C. 1651 et seq.; 43 U.S.C. 1331 et seq.; 5 U.S.C. 8171 et
seq.
Purpose(s):
This system provides a record of payments to claimants, their
qualified dependents, or providers of services to claimants from the
Special Fund established pursuant to Section 44 of the Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the DOL-wide routine uses, disclosure may also be made
to:
a. The employer at any time after report of the injury or report of
the onset of the occupational illness, or the filing of a notice of
injury or claim related to such injury or occupational illness, and/or
any party providing the employer with workers' compensation insurance
coverage since the employer and insurance carrier are parties-in-
interest to all actions on a case.
b. Doctors and medical service providers for the purpose of obtaining
medical evaluations, physical rehabilitation or other services.
c. Public or private rehabilitation agencies to whom the injured
worker has been referred for vocational rehabilitation services so
that they may properly evaluate the injured worker's experience,
physical limitations and future employment capabilities.
d. Federal, state and local agencies conducting similar or related
investigations to verify whether prohibited dual benefits were
provided, whether benefits have been or are being paid properly,
including whether dual benefits prohibited by federal or state law are
being paid; salary offset and debt collection procedures including
those actions required by the Debt Collection Act of 1982.
e. Contractors providing automated data processing or other services
to the Department of Labor, or to any agency or entity to whom release
is authorized, where the contractor is providing a service relating to
the purpose for which the information can be released.
f. Labor unions and other voluntary associations of which the claimant
is a member or to an individual acting on behalf of the individual
g. Internal Revenue Service for the purpose of obtaining taxpayer
mailing addresses in order to locate such taxpayer to collect,
compromise, or write-off a Federal claim against the taxpayer;
discharging an indebtedness owed by an individual.
h. Credit Bureaus for the purpose of receiving consumer credit reports
identifying the assets, liabilities, income and expenses of a debtor
to ascertain the debtor's ability to pay a debt and to establish a
payment schedule.

DOL/ESA-25

System name: Office of Federal Contract Compliance Programs,
Management Information System (OFCCP/MIS), which includes the
Compliance Review Information System (CRIS) and the Complaint
Administration System (CAS).

Security classification:
Unclassified.
System location:
Room C-3325, Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210; Computer Science Corporation, 11700 Montgomery
Road, Beltsville, MD 20705; OFCCP Regional Offices, see Appendix 1 to
this document for addresses.
Categories of individuals covered by the system:
Individuals filing complaints of employment discrimination by Federal
contractors.
Categories of records in the system:
Listing of complaints filed by individuals alleging employment
discrimination.
Authority for maintenance of the system:
Executive Order 11246, as amended; the Vietnam Era Veterans'
Readjustment Assistance Act of 1974, as amended, 38 U.S.C. 2012;
section 503 of the Rehabilitation Act of 1973, as amended.
Purpose(s):
To track, monitor by means of an automated data base complaint
investigations of employment discrimination by Federal contractors.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure of relevant and necessary information to the Equal
Employment Opportunity Commission, Department of Justice, to other
Federal, State or local agencies with concurrent jurisdiction over a
complaint, for investigatory, conciliation or enforcement purposes.
Disclosure to Federal contractors, subcontractors or federally-
assisted construction contractors against whom a complaint is filed,
including providing a copy of the complaint or a summary for purposes
of notice and/or under applicable internal procedures.
During an investigation to persons who may have knowledge pertinent
to the complaint, but only to the extent necessary to determine the
validity of complaint charges.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in system:
Storage:
Manual files for working copies of source documents and magnetic tapes
and disks for central computer processing.
Retrievability:
By the name, of the complainant, OFCCP control number, contractor
establishment name and number.
Safeguards:
Files are locked except during working hours, and only authorized
personnel have access to files. Computer systems are restricted to
authorized operators and each subsystem has multiple layers of
password protection depending upon sensitivity of data.
Retention and disposal:
Inactive records retained in system for two years from last date of
action on record before being purged to history files where they are
stored for three years. Transfer to NARA and scratch five years after
transfer.
System manager(s) and address:
Director, OFCCP, Room C-3325, 200 Constitution Avenue, NW, Washington,
DC 20210; Regional Directors for OFCCP, see Appendix 1 to this
document for addresses.
Notification procedures:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager or the
Regional Office servicing the state where they are employed (see list
of the Regional Office addresses in Appendix 1).
Record access procedures:
Some records in this system of records are exempt from access
provisions of the Privacy Act. The section of this notice entitled
``Systems Exempted from Certain Provisions of the Act'' indicates the
sections from which this systems of records is exempt. However, the
Department of Labor will consider all requests for access addressed to
the OFCCP Regional Director where the case is located, or the system
manager, in accordance with 29 CFR subtitle A, 70a.3-70a.6 and 70a.9-
70a.13. Individuals must provide the following information: Name,
social security number and signature.
Contesting record procedures:
Some records in this system of records are exempt from amendment
provisions of the Privacy Act. The section of this notice entitled
``Systems Exempted from Certain Provisions of the Act'' indicates the
sections from which the systems of records is exempt. However, the
Department of Labor will consider all requests for amendments
addressed to the OFCCP Regional Director where the case is located, or
the system manager, in accordance with 29 CFR subtitle A, 70a.3-70a.6
and 70a.9-70a.13. Individuals must provide the following information:
Name, social security number and signature.
Record source categories:
Individuals, corespondents, Federal contractors, Federal Procurement
Data Center, OFCCP personnel working in district, regional and
national office organizational components, Solicitor of Labor in
region and national offices, Department of Justice, and Equal
Employment Opportunity Commission.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-26

System name: Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Investigation Files.

Security classification:
Unclassified.
System location:
Most case files are located in the district offices at the following
addresses:

One Congress Street, 11th Floor, Boston, Massachusetts 02114.
ESA/OWCP/Longshore Division, 201 Varick Street, PO Box 249, New York,
New York 10014-0249.
Gateway Building, Room 13180, 3535 Market Street, PO Box 7336,
Philadelphia, Pennsylvania 19104.
Federal Building, Room 1026, 31 Hopkins Plaza, Baltimore, Maryland
21201.
Federal Building, Room 212, 200 Granby Mall, Norfolk, Virginia 23510.
214 North Hogan, Suite 1040, Street, Jacksonville, Florida 32202.
701 Loyola Avenue, Room 13032, New Orleans, Louisiana 70113
525 Griffin Street, Room 100, Dallas, TX 75202
One South Green Building, Room 105, 12600 N. Featherwood Drive,
Houston, Texas 77034.
Room 800, 230 South Dearborn Street, Chicago, Illinois 60604.
ESA/OWCP/Longshore Division, PO Box 3770, San Francisco, California
94119.
Box 50209, Room 5108, 300 Ala Moana Boulevard, Honolulu, Hawaii 96850.
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802.
1111 Third Avenue, Suite 620, Seattle, Washington 98101-3212.
1200 Upshur Street, NW, PO Box 56098, Washington, DC 20011.

Cases involving special issues may be temporarily in the National
Office at 200 Constitution Avenue, NW, Room C-4315, Washington, DC
20210.
Categories of individuals covered by the system:
Individuals filing claims for workers' compensation benefits under the
Longshore and Harbor Workers' Compensation Act as amended and extended
(33 U.S.C. 901 et seq.); individuals providing medical and other
Services to the Division; employees of insurance companies and of
medical and other services providers to claimants; and other persons
suspected of violations of law under the Act, including related civil
and criminal provisions.
Categories of records in the system:
Records which contain information gathered in connection with
investigations concerning possible violations of Federal law, whether
civil or criminal, under the Longshore and Harbor Workers'
Compensation Act and related Acts. This record also contains the work
product of the Department of Labor and other government personnel and
consultants involved in the investigations.
Authority for maintenance of system:
33 U.S.C. 901 et seq. (20 CFR parts 701 et seq.); 36 D.C. Code 501 et
seq.; 42 U.S.C. 1651 et seq.; 43 U.S.C. 1331 et seq.; 5 U.S.C. 8171 et
seq.
Purpose(s):
To determine possible violations of Federal law, whether civil or
criminal, in connection with reported injuries under the Longshore and
Harbor Workers' Compensation Act and its extensions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the DOL-wide routine uses, disclosure of relevant and
necessary information may also be made to:
a. The employer at any time after report of the injury or report of
the onset of the occupational illness, or the filing of a notice of
injury or claim related to such injury or occupational illness, and/or
any party providing the employer with workers' compensation insurance
coverage since the employer and insurance carrier are parties-in-
interest to all actions on a case.
b. Doctors and medical service providers for the purpose of obtaining
medical evaluations, physical rehabilitation or other services.
c. Public or private rehabilitation agencies to whom the injured
worker has been referred for vocational rehabilitation services so
that they may properly evaluate the injured worker's experience,
physical limitations and future employment capabilities.
d. Federal, state and local agencies to verify whether prohibited dual
benefits were provided, whether benefits have been or are being paid
properly, or to conduct salary offset or debt collection procedures
required by the Debt Collection Act of 1982.
e. Contractors providing automated data processing or other services
to the Department of Labor, or to any agency or entity to whom release
is authorized, where the contractor is providing a service relating to
the purpose for which the information can be released.
f. Labor unions and other voluntary associations of which the claimant
is a member or to an individual acting on behalf of the individual.
g. Internal Revenue Service for the purpose of obtaining taxpayer
mailing addresses in order to locate such taxpayer to collect,
compromise, or write-off a Federal claim against the taxpayer;
discharging an indebtedness owed by an individual.
h. Credit Bureaus for the purpose of receiving consumer credit reports
identifying the assets, liabilities, income and expenses of a debtor
to ascertain the debtor's ability to pay a debt and to establish a
payment schedule.

DOL/ESA-27

System name: Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Claimant Representatives.

Security classification:
All files and data are unclassified.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210, and the various
area and district offices of the Office of Workers' Compensation
Programs set forth in the ESA 15 and Appendix 1 to this document.
Categories of individuals covered by the system:
Individuals alleged to have violated the provisions of the Longshore
and Harbor Workers' Compensation Act and its implementing regulations
relating to representation of claimants/beneficiaries before the
Department of Labor, those found to have committed such violations and
who have been disqualified, and those who are investigated but not
disqualified. This system would also include information on those
persons who have been reinstated as qualified claimant
representatives.
Categories of record in the system:
Records in the system will consist of information such as the
representative's name and address, the names and addresses of affected
claimants/beneficiaries, copies of relevant documents obtained from
claimant/beneficiary files relating to the issue of representation;
all documents received or created as a result of the investigation of
and/or hearing on the alleged violation of the Longshore Act and/or
its regulations relating to representation, including investigations
conducted by the DOL Office of Inspector General or other agency; and
copies of documents notifying the representative and other interested
persons of the disqualification.
Authority for maintenance of the system:
Longshore and Harbor Workers' Compensation Act, 33 U.S.C.
931(b)(2)(B).
Purpose(s):
These records contain information on activities--including billing--
relating to representation of claimant/beneficiaries, including
documents relating to the debarment of representatives under other
Federal or state programs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the DOL-wide routine use provisions, disclosure of
relevant and necessary information may be made to:
a. A claimant/beneficiary that his/her representative has been
disqualified from further representation under the Longshore Act.
b. Employers and/or insurance carriers, employees who request
information as to the qualification of person(s) to act as a claimant
representative under the Act, to state bar disciplinary authorities,
and to the general public.
c. Contractors providing automated data processing services for the
Department of Labor.
d. Federal, state or local agency maintaining pertinent records, if
necessary to obtain information relevant to a Departmental decision
relating to debarment actions.

DOL/ESA-28

System name: Office of Workers' Compensation Programs,
Physicians and Health Care Providers Excluded under the Longshore
Act.

Security classification:
All files and data are unclassified.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210; and various area
and District Offices of the Office of Workers' Compensation Programs
listed in the Appendix.
Categories of individuals covered by the system:
Providers of medical goods and services, including physicians,
hospitals, and providers of medical support services or supplies
excluded or considered for exclusion from payment under the Longshore
Act, 33 U.S.C. 907(c).
Categories of records in the system:
Copies of letters, lists, and documents from Federal and state
agencies concerning the administrative debarment of providers from
participation in programs providing benefits similar to those of the
Federal Employees' Compensation Act and their reinstatement; materials
concerning possible fraud or abuse which could lead to exclusion of a
provider; documents relative to reinstatement of providers; materials
concerning the conviction of providers for fraudulent activities in
connection with any Federal or state program for which payments are
made to providers for similar medical services; all letters,
memoranda, and other documents regarding the consideration of a
provider's exclusion, the actual exclusion, or reinstatement under the
provisions of 20 CFR 702.431 et seq.; copies of all documents in a
claimant's file relating to medical care and/or treatment, including
bills for such services; as well as letters, memoranda, and other
documents obtained during investigations, hearings, and other
administrative proceedings concerning exclusion for fraud or abuse, as
well as reinstatement, and recommendations and decisions; lists of
excluded providers released by the OWCP.
Authority for maintenance of the system:
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901, 907(c).
Purpose(s):
These records provide information on treatment, billing and other
aspects of a medical provider's actions, and/or documentation relating
to the debarment of the medical care provider under another Federal or
state program. The information is used in any debarment action
initiated under the Longshore Act.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
In addition to the DOL-wide routine use provisions listed in the
General Prefatory Statement to this document, disclosure of may be
made to:
a. To Federal and state agencies and claimants, patients, employers,
insurance companies and others for the purpose of identifying the
excluded or reinstated provider to ensure that authorization is not
issued nor payment made to an excluded provider and to provide notice
that a formerly excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing
boards, and professional organizations or other individuals in order
to obtain information necessary to further identify a provider, the
nature of a violation, the penalty, and/or any other information
considered necessary to ensure that the list of excluded providers is
correct, useful, and updated as appropriate.
c. Contractors providing automated data-processing and other services
for the Department of Labor or other entities to whom disclosure is
authorized.
d. Federal, state, local or professional agencies maintaining
pertinent records, if necessary to obtain information relevant to a
Departmental decision relating to debarment actions.

Note: Disclosure of information contained in the file to the claimant,
a person who is duly authorized to act on his/her behalf, or to others
to whom disclosure is authorized by these routine uses, may be made
over the telephone. Disclosure over the telephone will only be done
where the requestor provides appropriate identifying information.
Telephonic disclosure of information is essential to permit efficient
administration and adjudication of claims.
Disclosure to consumer reporting agencies:
None.
Policies and procedures for storing, retrieving, accessing, retaining,
and disposing of records in this system:
Storage:
The records are in manual files, magnetic tapes or other computer
storage media, or on computer printouts.
Retrievability:
Material is maintained by the name of the provider.
Safeguards:
Material in the possession of the Office of Workers' Compensation
Programs and its contractors will be, when not in use, kept in closed
file cabinets, appropriate lockers and storage areas, etc. This does
not include the listings of excluded physicians and medical providers
distributed by the OWCP which are required to be disclosed.
Retention and disposal:
File is retained in the office for three years after the debarment
action is final and then transferred to the Federal Records Center,
and destroyed thirty years after the debarment action is final. Where
the period of exclusion is defined as a set period of time, the file
will be retained two years after the period of exclusion expires (or
the individual is otherwise reinstated), then transferred to the
Federal Records Center, and destroyed thirty years after the debarment
action is final.
System manager(s) and address:
Director for Longshore and Harbor Workers' Compensation Act, Room C-
4315, United States Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210, and District Offices set forth in ESA 15 and in
Appendix 1 to this document.
Notification procedure:
Director for Longshore and Harbor Workers' Compensation Act, Room C-
4315, United States Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210, and District Offices set forth in the Appendix.
Record access procedure:
Director for Longshore and Harbor Workers' Compensation Act, Room C-
4315, United States Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210, and District Offices set forth in the Appendix 1
to this document.
Contesting record procedure:
DOL rules and regulations for contesting any record contents
disclosure, and for appealing same, are promulgated at 29 CFR 70a.9
Record source categories:
Information in this system is obtained from federal, state, and local
agencies, state licensing boards, private enterprises, insurance
carriers, public documents, and newspapers, as well as from other
sources furnishing exclusion from participation in the Longshore Act
program; investigation reports, claimant and representative
submissions, and hearing transcripts, as well to correspondence and
records relating to reinstatement or exclusion from payment under the
program or to a hearing or other administrative action taken pursuant
to the Act and regulations.
System exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-29

System name: Office of Workers' Compensation Programs,
Physicians and Health Care Providers Excluded under the Federal
Employees' Compensation Act.

Security classification:
All files and data are unclassified.
System location:
The Division of Federal Employees' Compensation, Office of Workers'
Compensation Programs, Washington, DC; and the various area and
district offices of the Office of Workers' Compensation Programs
listed in the Appendix.
Categories of individuals covered by the system:
Providers of medical goods and services, including physicians,
hospitals, and providers of medical support services or supplies
excluded or considered for exclusion from payment under the Federal
Employees' Compensation Act for fraud or abuse (20 CFR 10.450-457).
Categories of records in the system:
Copies of letters, lists and documents from Federal and state agencies
concerning the administrative debarment of providers from
participation in programs providing benefits similar to those of the
Federal Employees' Compensation Act and their reinstatement; materials
concerning possible fraud or abuse which could lead to exclusion of a
provider; documents relative to reinstatement of providers, materials
concerning the conviction of providers for fraudulent activities in
connection with any Federal or state program for which payments are
made to providers for similar medical services; all letters,
memoranda, and other documents regarding the consideration of a
providers's exclusion, the actual exclusion, or reinstatement under
the provisions of 20 CFR 10.450-10.457; copies of all documents in a
claim file relating to medical care and/or treatment including bills
for such services, as well as letters, memoranda, and other documents
obtained during investigations, hearings and other administrative
proceedings concerning exclusion for fraud or abuse, as well as
reinstatement, along with recommendations and decisions; lists of
excluded providers released by the OWCP.
Authority for maintenance of the system:
Federal Employees' Compensation Act (5 U.S.C. 8101 et seq.), and Title
20 CFR part 10.
Purpose(s):
These records provide information on treatment, billing and other
aspects of a medical provider's actions, and/or documentation relating
to the debarment of the medical care provider under another Federal or
state program. The information is used in any debarment action
initiated under the Federal Employees' Compensation Act.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
In addition to the DOL-wide routine use provisions, disclosure of
relevant and necessary information may be made to:
a. To Federal and state agencies and claimants, patients, employers,
insurance companies and others for the purpose of identifying the
excluded or reinstated provider to ensure that authorization is not
issued nor payment made to an excluded provider and to provide notice
that a formerly excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing
boards, and professional organizations or other individuals in order
to obtain information necessary to further identify a provider, the
nature of a violation, the penalty, and/or any other information
considered necessary to ensure that the list of excluded providers is
correct, useful, and updated as appropriate.
c. Contractors providing automated data-processing and other services
for the Department of Labor or other entities to whom disclosure is
authorized.
d. Federal, state, local or professional agencies maintaining
pertinent records, if necessary to obtain information relevant to a
Departmental decision relating to debarment actions.

Note: Disclosure of information contained in the file to the claimant,
a person who is duly authorized to act on his/her behalf, or to others
to whom disclosure is authorized by these routine uses, may be made
over the telephone. Disclosure over the telephone will only be done
where the requestor provides appropriate identifying information.
Telephonic disclosure of information is essential to permit efficient
administration and adjudication of claims.
Disclosure to consumer reporting agencies:
None.
Policies and procedures for storing, retrieving, accessing, retaining,
and disposing of records in this system:
Storage:
The records are in manual files, magnetic tapes or other computer
storage media, or on computer printouts.
Retrievability:
Material is maintained either by the name of the provider, a case
citation, or date of release.
Safeguards:
Material in the possession of the Office of Workers' Compensation
Programs and its contractors will be, when not in use, kept in closed
file cabinets, appropriate lockers and storage areas, etc. This does
not include the listings of excluded physicians and medical providers
distributed by the OWCP which are required to be disclosed.
Retention and disposal:
File is retained in the office for three years after the debarment
action is final and then transferred to the Federal Records Center,
and destroyed thirty years after the debarment action is final. Where
the period of exclusion is defined as a set period of time, the file
will be retained two years after the period of exclusion expires (or
the individual is otherwise reinstated), then transferred to the
Federal Records Center, and destroyed thirty years after the debarment
action is final.
System manager(s) and address:
Director for Federal Employees' Compensation, Rm. S-3229, United
States Department of Labor, 200 Constitution Avenue, NW, Washington,
DC 20210, and the OWCP District Offices set forth in Appendix 1 to
this document.
Notification procedure:
Director for Federal Employees' Compensation, Room S-3229, United
States Department of Labor, 200 Constitution Avenue, NW, Washington,
DC 20210, and the OWCP District Offices set forth in the Appendix 1 to
this document.
Record access procedure:
Director for Federal Employees' Compensation, Room S-3229, United
States Department of Labor, 200 Constitution Avenue, NW, Washington,
DC 20210.
Contesting record procedure:
DOL rules and regulations for contesting or appealing any record
contents disclosure are promulgated at 29 CFR 70a.9.
Record source categories:
Information in this system is obtained from FECA case records,
Federal, state and local agencies, state licensing boards, private
enterprises, insurance carriers, public documents, newspapers, as well
as from other sources furnishing evidence that a provider may have
acted in a manner which merits exclusion form participation in the
FECA program; investigation reports, claimant and representative
submissions, hearing transcripts, as well as to correspondence and
records relating to reinstatement or exclusion from payment under the
program or to a hearing or other administrative action being taken
pursuant to the regulations.
Systems exempted from certain provisions of the act:
In accordance with section 3 (k)(2) of the Privacy Act, investigatory
material compiled for law enforcement purposes which is maintained in
the investigation files of the Office of Workers' Compensation
Programs, is exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) of 5 U.S.C. 552a. The disclosure of information
contained in civil investigative files, including the names of persons
and agencies to whom the information has been transmitted, would
substantially compromise the effectiveness of the investigation.
Knowledge of such investigations would enable subjects to take such
action as is necessary to prevent detection of illegal activities,
conceal evidence or otherwise escape civil enforcement action.
Disclosure of this information could lead to the intimidation of, or
harm to, informants and witnesses, and their respective families, and
in addition could jeopardize the safety and well-being of
investigative personnel and their families.

DOL/ESA-30

System name: Office of Workers' Compensation Programs, Black
Lung Automated Support Package.

Note: Disclosure of information contained in the file to the claimant,
a person who is duly authorized to act on his/her behalf, or to others
to whom disclosure is authorized by these routine uses, may be made
over the telephone. Disclosure over the telephone will only be done
where the requestor provides appropriate identifying information.
Telephonic disclosure of information is essential to permit efficient
administration and adjudication of claims.
Disclosure to consumer reporting agencies:
The amount, status and history of overdue debts; the name and address,
taxpayer identification (SSAN), and other information necessary to
establish the identity of a debtor, the agency and program under which
the claim arose, are disclosed pursuant to 5 U.S.C. 552a(b)(12) to
consumer reporting agencies as defined by section 603(f) of the Fair
Credit Reporting Act (15 U.S.C. 1681a(f); or in accordance with
section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of 1966 as
amended (31 U.S.C. 3711(f) for the purpose of encouraging the
repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic media. Medical bills and supporting medical reports
transferred to microfilm and magnetic media.
Retrievability:
Coal miner's name and social security number; medical provider number;
coal mine operator number; insurance carrier number.
Safeguards:
Files secured in a guarded facility; teleprocessing access protected
by restrictions on access to equipment and through use of encrypted
passwords.
Retention and disposal:
Electronic file data has permanent retention. Claimant and benefit
master file data will be transferred to magnetic tape and transmitted
to NARA. This data (which includes both open and closed cases) will
not be made available to the public until 90 years after transfer to
NARA due to Privacy Act restrictions.
System manager(s) and address:
Associate Director, Division of Coal Mine Workers' Compensation,
Department of Labor Building, Room C-3520, 200 Constitution Ave., NW,
Washington, DC 20210, and district office deputy commissioners (see
addresses in Appendix 1 to this document).
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the above
address or district office deputy commissioner (see addresses in
Appendix 1 to this document). Individuals must furnish their name, the
coal miner's social security number and signature.
Record access procedures:
Individuals wishing to access any of any non-exempt records should
contact the appropriate office listed in the Notification Procedure
section. Individuals must furnish their name, signature, and the coal
miner's social security number.
Contesting record procedures:
Individuals wishing to request amendment of any non-exempt records
should contact the appropriate office listed in the Notification
Procedure section. Individuals must furnish their name, social
security number and signature.
Record source categories:
Claim forms, medical reports, correspondence, investigative reports,
employment records, any other record or document pertaining to a
claimant or his dependents as it relates to the claimant's age,
education, work history, marital history or medical condition.
Consumer credit reports, personal financial statements, correspondence
with the debtor, records relating to hearings on the debt, and from
other DOL systems of records. Enrollment applications from providers
of medical services. Medical bills submitted by the beneficiaries or
medical service providers. Data exchanges with Federal, State or local
agencies. Reports on liability coverage from coal mine operators and
insurance carriers.
Systems exempted from certain provisions of the act:
Investigatory portion of system exempted from certain provisions of
the act: In accordance with paragraph 3(k)(2) of the Privacy Act,
investigatory material compiled for civil law enforcement purposes,
which is maintained in this system's files of the Office of Workers'
Compensation Programs of the Employment Standards Administration, is
exempt from paragraphs (c)(3), (d),(e)(1),(e)(4) (G), (H), and (I),
and paragraph (f) of 5 U.S.C. 552a. The disclosure of civil
investigatory information, if any, contained in this system's files,
including the names of persons and agencies to whom the information
has been transmitted, would substantially compromise the effectiveness
of investigations. Knowledge of such investigations would enable
subjects to take such action as is necessary to prevent detection of
illegal activities, conceal evidence, or otherwise escape civil
enforcement action. Disclosure of this information could lead to the
intimidation of, or harm to informants, witnesses, and their
respective families, and in addition, could jeopardize the safety and
well-being of investigative personnel and their families.

DOL/ESA-31

System name: Office of Federal Contract Compliance Programs,
Time Reporting Information System (TRIS).

DOL/ESA-32

System name: ESA, Employee Conduct Investigations.

Security classification:
None.
System location:
Office in the Employment Standards Administration National Office.
Categories of individuals covered by the system:
Subjects of complaints and/or investigations covered under the
authority delegated to the Division of Internal Management Control.
Categories of records in the system:
Name, organization and other information relating to the individual
involved. It also contains investigative report(s) associated with the
case, including interviews and other confidential data gathered.
Authority for maintenance of the system:
5 U.S.C.301.
Purpose(s):
To investigate allegations of misconduct.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, assessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in file folders in metal cabinets.
Retrievability:
By name of the subject of the complaint or the case file number.
Safeguards:
The files are maintained in locked file cabinets with access only to
those with a need to know the information to perform their duties.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Division of Internal Management Control, 200 Constitution Ave., NW,
Room N-4414, Washington, DC 20210.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address noted above.
Record access procedure:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified: Name;
approximate date of the investigation; and individuals requesting
access must also comply with the Privacy Act regulations regarding
verification of identity to records at 29 CFR 70a.4.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Hotline complaints through the Office of the Inspector General's
hotline; hotline complaints through the General Accounting Office's
hotline system, personnel records; incident reports submitted by other
employees; investigative reports, and individuals.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-33

System name: ESA, Wage and Hour Division, Investigator's Weekly
Report.

Security classification:
Unclassified.
System location:
Sixty District Offices, See Appendix 1 of this document for addresses.
Categories of individuals covered by the system:
Wage and Hour Division Compliance Officers.
Categories of records in the system:
Listing of hours worked distributed among the various program
activities.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To provide Wage and Hour District Directors a method of monitoring the
activities of Compliance Officers by providing a daily record of
compliance officer activities including expenditure of hour by case,
act and non-case activity, and a record of leave taken.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file cabinets.
Retrievability:
By name of compliance officer.
Safeguards:
Files are locked except during working hours. Only authorized
personnel have access to files.
Retention and disposal:
Records are retained in files for two years and then destroyed.
System manager(s) and address:
Administrator, Wage and Hour Division, Room S-3502, Frances Perking
Building, 200 Constitution Avenue, NW, Washington DC 20210; Regional
Directors Wage and Hour Division (see Appendix 1 of this document for
addresses).
Notification procedures:
Individuals wishing to make inquiries regarding this system should
contact the system manager, or the regional office servicing the state
where they are employed (see Appendix 1 of this document for
addresses).
Record access procedures:
Individuals wishing to request to these records should contact the
appropriate office listed in Appendix 1 of this document.
Contesting record procedures:
Individuals wishing to request amendment of any nonexempt records
should contact the appropriate office listed in Appendix 1 to this
document.
Record source categories:
Wage and Hour personnel working in district offices.

DOL/ESA-34

System name: Farm Labor Contractor Registration File.

Security classification:
Unclassified.
System location:
All Wage and Hour Regional Offices and the Florida Department of Labor
& Employment Security, Agricultural Programs Section located in
Tallahassee, Florida.
Categories of individuals covered by the system:
Applicants for and holders of Farm Labor Contractor Certificates of
Registration.
Categories of records in the system:
Records which contain personal identification, fingerprints, FBI
records, insurance records, court and police records.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To maintain a record of applicants for and holders of Farm Labor
Contractor Certificates of Registration. Records are used to determine
eligibility for issuance of a certificate of registration and for
determining compliance with MSPA.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are kept in letter size manual files, computer discs and
computer printouts. Records are stored in metal file cabinets in Wage
and Hour Regional Offices and in the office of the Florida Department
of Labor & Employment Security, Agricultural Programs Section located
in Tallahassee, Florida.
Retrievability:
Indexed by the name of the applicant.
Safeguards:
Accessible only to persons engaged in the administration of the
program and there is screening to prevent unauthorized disclosure.
Retention and disposal:
Records must be retained for a period of three years from the
expiration date of a certificate of registration. It is proposed that
these records be destroyed when no longer needed.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices.
Notification procedure:
To System Manager at above address.
Record access procedures:
Write to System Manager indicated above. Accessible only to persons
engaged in the administration of the program.
Contesting record procedures:
Address inquiries to Assistant Administrator for the Office of Program
Operations, Wage and Hour Division, 200 Constitution Avenue, NW, Room
S-3028, Washington, DC 20210, and Regional Administrator for Wage and
Hour of relevant Regional Offices. Such inquiries should include the
full name and social security number of the requester.
Record source categories:
The sources for records in the system include information furnished by
the applicant, insurance companies, FBI, court and police records, and
from investigations conducted by DOL.
Systems exempted from certain provisions of the act:
None.

DOL/ESA-35

System name: Farm Labor Contractor Employee Registration File.

Security classification:
Unclassified.
System location:
All Wage and Hour Regional Offices and the Florida Department of Labor
& Employment Security, Agricultural Programs Section located in
Tallahassee, Florida.
Categories of individuals covered by the system:
Applicants for and holders of Farm Labor Contractor Employee
Certificates of Registration.
Categories of records in the system:
Records which contain personal identification, fingerprints, FBI
records, insurance records, court and police records.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To maintain a record of applicants for and holders of Farm Labor
Contractor Employee Certificates of Registration. Records are used to
determine eligibility for issuance of a certificate of registration
and for determining compliance with MSPA.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those uses listed in the General Prefatory Statement
to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are kept in letter size manual files, computer discs and
computer printouts. Records are stored in metal file cabinets in Wage
and Hour Regional Offices and in the office of the Florida Department
of Labor & Employment Security, Agricultural Programs Section located
in Tallahassee, Florida.
Retrievability:
Indexed by the name of the applicant.
Safeguards:
Accessible only to persons engaged in the administration of the
program and there is screening to prevent unauthorized disclosure.
Retention and disposal:
Records must be retained for a period of three years from the
expiration date of a certificate of registration. It is proposed that
these records be destroyed when no longer needed.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices.
Notification procedure:
To System Manager at above address.
Record access procedures:
Write to System Manager indicated above. Accessible only to persons
engaged in the administration of the program.
Contesting record procedures:
Address inquiries to Assistant Administrator for the Office of Program
Operations, Wage and Hour Division, 200 Constitution Avenue, NW, Room
S-3028, Washington, DC 20210, and Regional Administrator for Wage and
Hour of relevant Regional Offices. Such inquiries should include the
full name and social security number of the requester.
Record source categories:
The sources for records in the system include information furnished by
the applicant, insurance companies, FBI, court and police records, and
from investigations conducted by DOL.
Systems exempted from certain provisions of the act:
None.

DOL/ESA-36

System name: MSPA/FLCRA Civil Money Penalty Record Files.

Security classification:
Unclassified.
System location:
All Wage and Hour Regional Offices and the U.S. Department of Labor,
Wage and Hour Division National Office.
Categories of individuals covered by the system:
All persons investigated and assessed civil money penalties (CMPs)
under the Farm Labor Contractor Registration Act (FLCRA) and/or the
Migrant and Seasonal Agricultural Worker Protection Act (MSPA).
Categories of records in the system:
Names, addresses, Social Security numbers, complaint information,
employer information, employer/employee interviews, payroll
information, housing and/or vehicle inspection reports, outcome of
investigation, notification of determination to assess a CMP, hearing
requests and/or subsequent legal documents.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To maintain records on persons assessed FLCRA/MSPA Civil Money
Penalties and all actions connected therewith.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in metal file cabinets, computer discs and computer
printouts in the Wage and Hour National and Regional Offices.
Retrievability:
Indexed by the name of the subject of the investigation.
Safeguards:
Accessible only to persons engaged in the administration of the
program.
Retention and disposal:
Records must be retained for a period of three years from the last day
of the year in which the file is closed after all action has been
completed.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices whose addresses are listed in attachment I of this
document.
Notification procedure:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division and Regional Administrator for Wage and Hour of
relevant Regional Offices whose addresses are listed above. Such
inquiries should include the full name and social security number of
the requester and the date and amount of assessment.
Record access procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division and Regional Administrator for Wage and Hour of
relevant Regional Offices whose addresses are listed above. Such
inquiries should include the full name and social security number of
the requester and the date and amount of assessment.
Contesting record procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester and the date and amount of
assessment.
Record source categories:
The sources for records in the system include information furnished by
the subject, employer(s), employee(s) (present and/or former),
insurance companies, other government agencies, court documents, and
from previous investigations (if applicable).
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-37

System name: MSPA Public Central Registry Records File.

Security classification:
Unclassified.
System location:
All Wage and Hour Regional Offices and the Wage and Hour National
Office.
Categories of individuals covered by the system:
Holders of Farm Labor Contractor and Farm Labor Contractor Employee
Certificates of Registration.
Categories of records in the system:
Records which contain the name, address, certificate of registration
number, authorization to transport, house, or drive (if any), and
effective and expiration dates, of holder of Farm Labor Contractor and
Farm Labor Contractor Employee Certificates of Registration.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To maintain a record of holders of Farm Labor Contractor and Farm
Labor Contractor Employee Certificates of Registration.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
A public central registry of all persons issued certificates of
registration is maintained by name and address which is available to
anyone, upon request, as required by the Migrant and Seasonal
Agricultural Worker Protection Act (MSPA), as amended (section 402).
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in computer printouts in the Wage and Hour National
and Regional Offices. The National Office also stores these records
electronically.
Retrievability:
Records are retrieved by name or a coded file identifier.
Safeguards:
Data on computer disc, accessible only to persons engaged in the
administration of the program and there is screening to prevent
unauthorized disclosure.
Retention and disposal:
Record is updated and replaced on a monthly basis. It is proposed that
these records be destroyed when they are replaced and are no longer
needed.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices.
Notification procedure:
To System Manager at above address.
Record access procedures:
Write to System Manager indicated above. Accessible only to persons
engaged in the administration of the program.
Contesting record procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester.
Record source categories:
The sources for records in the system are Farm Labor Contractor and
Farm Labor Contractor Employee certificates of registration.
Systems exempted from certain provisions of the act:
Not exempt.

DOL/ESA-38

System name: Wage and Hour Regional Office Clearance List--MSPA
Registration.

Security classification:
Unclassified.
System location:
All Wage and Hour Regional Offices, some Wage and Hour District
Offices, and the Wage and Hour National Office.
Categories of individuals covered by the system:
Farm Labor Contractors and Farm Labor Contractor Employees who may not
currently meet eligibility requirements as stated in the Migrant and
Seasonal Agricultural Worker Protection Act (MSPA) for issuance of a
certificate of registration.
Categories of records in the system:
Records containing personal identification, outstanding unpaid CMPs
under MSPA and/or the Farm Labor Contractor Registration Act (FLCRA),
injunctions, convictions, deportations, and previous actions to deny
or revoke a certificate of registration.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To provide a list of persons who may not meet eligibility requirements
for issuance of a Farm Labor Contractor or Farm Labor Contractor
Employee Certificate of Registration to be used as a reference
document for screening incoming applications by Wage and Hour Regional
Offices.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in computer printouts in all Wage and Hour Regional
Offices, some Wage and Hour District Offices and the Wage and Hour
National Office. The National Office also stores the records
electronically.
Retrievability:
Records are retrieved by name or a coded file identifier.
Safeguards:
Data on computer disc, accessible only to persons engaged in the
administration of the program and there is screening to prevent
unauthorized disclosure.
Retention and disposal:
Record is updated and replaced on a monthly basis. It is proposed that
these records be destroyed when they are replaced and are no longer
needed.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices.
Notification procedure:
To System Manager at above address.
Record access procedures:
Write to System Manager indicated above. Accessible only to persons
engaged in the administration of the program.
Contesting record procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester.
Record source categories:
The sources for records in the system include information furnished by
insurance companies, FBI, court and police records, previous actions
to deny or revoke certificates of registration and from investigations
conducted by DOL and subsequent legal documents following such
investigations.
Systems exempted from certain provisions of the act:
None.

DOL/ESA-39

System name: State Employment Service Clearance List--MSPA
Registration.

Security classification:
Unclassified.
System location:
The Department of Labor & Employment Security, Tallahassee, Florida;
New Jersey Department of Labor, Trenton, New Jersey; Virginia
Employment Commission, Exmore, Virginia; Division of Labor and
Industry, Baltimore, Maryland; Delaware Department of Labor, Dover,
Delaware; New York Department of Labor, Albany, New York; and the Wage
and Hour National Office.
Categories of individuals covered by the system:
Farm Labor Contractors and Farm Labor Contractor Employees who may not
currently meet eligibility requirements as stated in the Migrant and
Seasonal Agricultural Worker Protection Act (MSPA) for issuance of a
certificate of registration.
Categories of records in the system:
Records containing personal identification.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To provide a list of persons who may not meet eligibility requirements
for issuance of a Farm Labor Contractor or Farm Labor Contractor
Employee Certificate of Registration to be used as a reference
document for screening incoming applications by the Department of
Labor and Employment Security, Tallahassee, Florida; New Jersey
Department of Labor, Trenton, New Jersey; and Virginia Employment
Commission, Exmore, Virginia.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in computer printouts in the system locations
stated above. The National Office also stores the records
electronically.
Retrievability:
Records are retrieved by name or by a coded file identifier.
Safeguards:
Data on computer disc, accessible only to persons engaged in the
administration of the program and there is screening to prevent
unauthorized disclosure.
Retention and disposal:
Record is updated and replaced on a monthly basis. It is proposed that
these records be destroyed when they are replaced and are no longer
needed.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices.
Notification procedure:
To System Manager at above address.
Record access procedures:
Write to System Manager indicated above. Accessible only to persons
engaged in the administration of the program.
Contesting record procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester.
Record source categories:
The sources for records in the system include information furnished by
the applicant.
Systems exempted from certain provisions of the act:
None.

DOL/ESA-40

System name: MSPA/FLCRA Tracer List.

Security classification:
Unclassified.
System location:
All Wage and Hour Regional Offices, some Wage and Hour District
Offices and the Wage and Hour National Office.
Categories of individuals covered by the system:
Farm Labor Contractors, Farm Labor Contractor Employees, Agricultural
Employers, Agricultural Associations, and Housing Providers who have
been investigated under either the Migrant and Seasonal Agricultural
Worker Protection Act (MSPA) or the Farm Labor Contractor Registration
Act (FLCRA).
Categories of records in the system:
Records containing the names, addresses, Social Security numbers, of
persons investigated under either MSPA or FLCRA, location and scope of
investigation, period covered and results of investigations conducted.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To provide a written compliance history of persons who have been
investigated under either MSPA or FLCRA and the results of those
investigations as a reference document for Wage and Hour investigators
to determine knowledge of the Act by the person being investigated and
whether previous violations are ongoing.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored on computer media and/or printouts in all Wage and
Hour Regional Offices, some Wage and Hour District Offices and the
Wage and Hour National Office.
Retrievability:
Records are retrieved by name.
Safeguards:
Data on computer media, are accessible only to persons engaged in the
administration of the program.
Retention and disposal:
Records are updated and replaced on a monthly basis. These records are
destroyed after they have been updated.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210, and Regional Administrator for Wage and Hour of relevant
Regional Offices.
Notification procedure:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester and the date and location
of the investigation.
Record access procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester and the date and location
of the investigation.
Contesting record procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210, and Regional Administrator for Wage and Hour of
relevant Regional Offices. Such inquiries should include the full name
and social security number of the requester and the date and location
of the investigation.
Record source categories:
The sources for records in the system include information obtained
from the person investigated, employers, employees, insurance
companies, FBI, court and police records, and from investigations
conducted by DOL and subsequent legal documents following such
investigations.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-41

System name: MSPA/FLCRA Certificate Action Record Files.

Security classification:
Unclassified.
System location:
Wage and Hour National Office.
Categories of individuals covered by the system:
Applicants for and holders of Farm Labor Contractor/Farm Labor
Contractor Employee Certificates of Registration.
Categories of records in the system:
Names, addresses, Social Security numbers, fingerprints, FBI records,
insurance records, court and police records.
Authority for maintenance of the system:
Pub. L. 97-470, Jan. 14, 1983, as amended by Pub. L. 99-603, Nov. 6,
1986, 100 Stat. 3359, the Migrant and Seasonal Agricultural Worker
Protection Act, as amended (MSPA) and 29 U.S.C. 1801 et seq.
Purpose(s):
To determine eligibility of persons who filed applications for Farm
Labor Contractor/Farm Labor Contractor Employee Certificates of
Registration.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
N/A.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are stored in metal file cabinets and on computer media.
Retrievability:
Indexed by the name of the applicant.
Safeguards:
Accessible only to persons engaged in the administration of the
program and there is screening to prevent unauthorized disclosure.
Retention and disposal:
Records must be retained for a period of five years from the
expiration date of a certificate of registration or from the date an
application is received where no certificate has been issued.
System manager(s) and address:
Assistant Administrator for the Office of Program Operations, Wage and
Hour Division, 200 Constitution Avenue, NW, Room S-3028, Washington,
DC 20210.
Notification procedure:
To System Manager at above address.
Record access procedures:
Write to System Manager indicated above.
Contesting record procedures:
Write to Assistant Administrator for the Office of Program Operations,
Wage and Hour Division, 200 Constitution Avenue, NW, Room S-3028,
Washington, DC 20210. Such inquiries should include the full name and
social security number of the requester.
Record source categories:
Applicants, individuals, insurance companies, FBI, court and police
records, and from investigations conducted by DOL.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ESA-42

System name: Case Registration/Compliance Officer Assignment
Form (WH-53).

Security classification:
Unclassified.
System location:
Sixty-one Wage and Hour District Offices (DO), see Appendix 1 of this
document for addresses.
Categories of individuals covered by the system:
Individual employers.
Categories of records in the system:
Records containing name and address, case investigation number,
investigation program, investigating office, prior history of
investigations, and investigating officer.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To provide Wage and Hour DOs with an alphabetical index of employers
currently undergoing investigation by Wage and Hour within the
jurisdiction of that particular DO. Used to record the initial
scheduling of an investigation, assignment to a Compliance Officer and
subsequent actions.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure of consumer report agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Maintained in manual files in the DOL.
Retrievability:
By name of employer.
Safeguards:
Only authorized personnel have access to files. Files locked in office
at close of business day.
Retention and disposal:
The record is maintained in the manual file until the investigation is
closed and the Investigation History Card is received. The original
copy will have no other purpose and may be disposed of by the District
Director. The white copy stays in the investigation file until the
investigation file itself is disposed of following a previously
submitted disposal schedule.
System manager(s) and address:
Administrator, Wage and Hour Division, Room S-3502, Frances Perkins
Building, 200 Constitution Avenue, NW, Washington, DC 20210; Regional
Administrators, Wage and Hour (see appendix 1 of this document for
addresses).
Notification procedures:
Individuals wishing to make inquiries regarding this system should
contact the system manager, or the regional office servicing the state
where they are employed (see list of the regional office addresses in
appendix 1 of this document).
Record access procedures:
Individuals wishing to request access to these records should contact
the appropriate office listed in appendix 1.
Contesting record procedures:
Individuals wishing to contest or amend any nonexempt records should
direct their request to the disclosure officer listed in appendix 1.
In addition, the request should state clearly and concisely what
information is being contested, the reason for contesting it, and the
proposed amendment sought for the information. See 29 CFR 70a.7.
Record source categories:
Complainants, employers, and Wage and Hour personnel.
Systems exempted from certain provisions of the act:
None.

DOL/ESA-43

System name: Office of Workers' Compensation Programs, Federal
Employees' Compensation Act and Longshore and Harbor Workers'
Compensation Act Rehabilitation Files.

Security classification:
Unclassified.
System location:
Rehabilitation files are located in the Federal Employees'
Compensation (FEC) and Longshore and Harbor Workers' Compensation
(Longshore) District Offices where the OWCP case file is located. See
appendix 1, Responsible Officials, for District Office addresses.
Categories of individuals covered by the system:
The rehabilitation records cover either individuals and covered by the
Federal Employees' Compensation Act (FECA) for injured on the job, or
individuals covered by the Longshore and Harbor Workers' Compensation
Act (LHWCA), and related acts. See DOL/Govt-1 for further explanation
of employees covered by the FECA, and DOL/ESA-15 for those covered by
the LHWCA.
Categories of records in the system:
Records found in the FECA or Longshore case file (see DOL/GOVT-1 and
DOL/ESA 15), notes on telephone calls and interviews with
rehabilitation counselors, claimants, potential employers, physicians
and others who have been contacted as part of the rehabilitation
process, notes created by the rehabilitation specialist and the
rehabilitation counselor concerning the rehabilitation process
relating to the claimant proposed and/or approved rehabilitation
plans, and reports submitted in connection with the plans.
Authority for maintenance of the system:
5 U.S.C. 8101 et seq.; 33 U.S.C. 901, et seq., 36 D.C. Code 501 et
seq.; 42 U.S.C. 1331 et seq.; 5 U.S.C. 8171 et seq.
Purpose(s):
These records provide information and verification about covered
employees' work-related injuries, may be the basis for an award of
compensation, which entitlement to medical treatment and/or vocational
rehabilitation, test results, rehabilitation plans with supporting
documentation, medical and other test results and interpretations, and
other information concerning rehabilitation under the Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the disclosures authorized by the DOL-wide routine uses
set forth in the General Prefatory Statement, disclosure can be made
to:
a. Rehabilitation agencies, counselors, screeners, physicians and
medical provides, and other persons or entities engaged in providing
rehabilitation services to injured workers under the FECA or LHWCA.
b. The worker's former employer, and where appropriate the employer's
insurance carrier, which may be responsible for paying compensation
benefits, including medical expenses, and the cost of the
rehabilitation services provided to the injured worker.
c. Employers, including federal agencies, which may consider returning
the worker to employment, or to hiring such worker as a result of the
return-to-work effort conducted by OWCP during the rehabilitation
process.
d. To contractors providing automated data processing or other
services to OWCP or the worker's employer, so long as the information
is necessary to perform the process.
e. Labor unions and other voluntary employee associations of which the
claimant is a member for assistance with claims processing and
adjudication and other services provided to members
f. The claimant's employing agency may disclose information contained
in this system of records, of which it has custody, to contractors for
the purpose of evaluating the employing agency's implementation of the
FECA and the agency's safety program. Should the employing agency
disclose such information to a contractor, it is the employing
agency's responsibility to assure that the contractor complies fully
with all Privacy Act provisions, including those prohibiting unlawful
disclosure of such information.

DOL/ESA-44

System name: Office of Workers' Compensation Programs, Federal
Employees' Compensation Act (FEC) and Longshore and Harbor
Workers' Compensation Act Rehabilitation Counselor Case
Assignment, Contract Management and Performance Files and FEC
Field Nurses.

Security classification:
Unclassified.
System location:
Files concerning rehabilitation counselors are located in the Federal
Employees' Compensation (FEC) and Longshore and Harbor Workers'
Compensation (Longshore) District Offices where the counselor is
certified. Files for FEC field nurses are found in FEC district
offices. See appendix 1, Responsible Officials, for District Office
addresses.
Categories of individuals covered by the system:
The rehabilitation counselor/nurse files cover individuals who have
entered into a contract with the Office of Workers' Compensation
Programs to provide rehabilitation counselor or nursing services under
the Federal Employees' Compensation Act (FECA) and/or the Longshore
and Harbor Workers' Compensation Act (LHWCA). See DOL/GOVT-1 for
further explanation of employees covered by the FECA, and DOL/ESA-15
for those covered by the LHWCA, and DOL/ESA-43.
Categories of records in the system:
Names, addresses and information on qualifications of rehabilitation
counselors/nurses certified by and under contract with OWCP to provide
rehabilitation services to injured workers under the FECA and LHWCA or
field nurse services under FECA. In addition there are records
compiled and maintained by the rehabilitation specialist or the OWCP
staff nurse, concerning the assignment of rehabilitation/field nurse
cases to the counselor/nurse and the performance of the counselor/
nurse in fulfilling the duties under the contract with OWCP. The
records are maintained in electronic form within the OWCP
rehabilitation data system, or staff nurse monitoring system and in
hard copy records maintained in the OWCP district office.
Authority for maintenance of the system:
General government contracting authority.
Purpose(s):
These records provide information about the rehabilitation counselor
or field nurse, including the name, address, telephone number,
counselor/nurse status, skill codes, number of referrals, status of
referrals and notes. These notes can include evaluation of performance
and other matters concerning performance of the contract.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the disclosures authorized by the DOL-wide routine
uses, disclosure can be made to:
To contractors providing automated data processing or other services
to DOL, who require the data to perform the services for which they
have appropriately contracted.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are principally stored by district office in electronic form,
accessed by appropriate codes. Hard copy records may be maintained in
the district office in locked cabinets.
Retrievability:
Files and automated data are retrieved by the name of the counselor/
nurse through the data base and/or files maintained in the appropriate
OWCP district office.
Safeguards:
Files and automated data are maintained under supervision of OWCP
personnel during normal working hours--only authorized personnel may
handle or disclose any information contained therein. Only personnel
having appropriate authorization, including security codes, may access
the electronic files and only the rehabilitation specialists or staff
nurses who monitor contract performance and actions in individual
claims, as wells as the appropriate supervisors and managers in the
district office and the national office, may access the files.
Retention and disposal:
All case files and automated data pertaining to the OWCP
rehabilitation counselors/nurses are maintained for two years
following the termination of the contract.
System manager(s) and address:
Director, Division of Planning, Policy and Standards, Office of
Workers' Compensation Programs, U.S. Department of Labor, Frances
Perkins Building, Room S-3522, Washington, DC 20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her may write or telephone the
appropriate OWCP District Office for the geographic region for which
that individual contracted to provide services. In order for a record
to be located, the individual must provide his/her full name, date of
birth and Social Security number.
Record access procedure:
Individuals wishing to request access to non-exempt records should
contact the appropriate office listed in the Notification Procedure
section. Individuals must furnish their name, the claim or social
security number and signature.
Contesting record procedures:
Individuals wishing to request amendment of any non-exempt records
should contact the appropriate office listed in the Notification
Procedure section. Individuals must furnish their name, the claim or
social security number and signature.
Record source categories:
Correspondence, investigative reports, Federal and state agency
records, any other record or document pertaining to a contract.
Systems exempted from certain provisions of the act:
None.

Employment and Training Administration (ETA)

DOL/ETA-1

System name: Bureau of Apprenticeship and Training, Budget and
Position Control File.

Security classification:
Unclassified.
System location:
Employment and Training Administration (ETA), Bureau of Apprenticeship
and Training (BAT), Frances Perkins Building, 200 Constitution Avenue,
NW, Washington, DC 20210.
Categories of individuals covered by the system:
Federal employees currently employed by BAT.
Categories of records in the system:
Personnel records concerning grades and salaries.
Authority for maintenance of the system:
5 U.S.C. 301
Purpose(s):
For ready access in preparing management reports as required by the
Employment and Training Administration, and controlling BAT FTE
Ceiling (Full Time Equivalent) employment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Kardex files.
Retrievability:
By region, budget position number, and name of employee, on a manual
basis.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access.
Retention and disposal:
Retained indefinitely for employment reference requests on former
employees.
System manager(s) and address:
Director, Bureau of Apprenticeship and Training, Employment and
Training Administration, Frances Perkins Building, 200 Constitution
Avenue, NW, Room N-4649, Washington, DC 20210.
Notification procedure:
Individuals seeking information concerning the existence of records or
the contents of records on himself/herself should furnish a written
request to the Director, Bureau of Apprenticeship and Training,
Employment and Training Administration, Frances Perkins Building, 200
Constitution Avenue, NW, Room N-4649, Washington, DC 20210. The
following information is needed for records to be located:
a. Full name.
b. Date of birth.
c. Social Security Number.
Record access procedures:
See Notification procedure above.
Contesting record procedure:
See Notification procedure above.
Record source categories:
Personnel records, including SF-Form 50.
System exempted from certain provisions of the act:
Not applicable.

DOL/ETA-2

System name: Bureau of Apprenticeship and Training, Program
Management Group, Budget and Position Control File.

Security classification:
Unclassified.
System location:
Employment and Training Administration, Bureau of Apprenticeship and
Training, Frances Perkins Building, 200 Constitution Avenue, NW, Room
N-4649 Washington, DC 20210.
Categories of individuals covered by the system:
Regional employees currently employed by BAT.
Categories of records in the system:
Personnel records concerning grades and salaries, addresses and
telephone numbers of employees, and copies of each position
description in effect.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
For ready access in preparing management reports on equal employment
opportunity (quarterly), for forecasting grade and salary reports;
special reports such as the number of employees eligible for
retirement, and special reports for Employment and Training
Administration and the Congress.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Kardex files.
Retrievability:
By region, budget position number, and name of employee, on a manual
basis.
Safeguards:
Access to and use of these records are limited to those persons whose
official duties require such access.
Retention and disposal:
Maintained indefinitely.
System manager(s) and address:
Frances Perkins Building, 200 Constitution Avenue, NW, Room N-4649,
Washington, DC 20210.
Notification procedure:
Individuals seeking information concerning the existence of records or
the contents of records on himself/herself should furnish a written
request to the Director, Bureau of Apprenticeship and training,
Employment and Training Administration, Frances Perkins Building, 200
Constitution Avenue, NW, Room N-4649, Washington, DC 20210. The
following information is needed for records to be located:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Occupation.
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the Disclosure Officer listed above
under ``Notification Procedure.''
Contesting record procedures:
Individuals wanting to contest or amend information maintained in this
system should direct their written request to the Disclosure Officer
listed above under ``Notification Procedure.'' The request to amend
should state clearly and concisely what information is being
contested, the reasons for contesting, and the proposed amendment to
the information sought.
Record source categories:
Personnel records including SF-Form 50.
System exempted from certain provisions of the act:
Not applicable.

DOL/ETA-4

System name: Apprenticeship Management System (AMS).

Security classification:
Unclassified.
System location:
Employment and Training Administration, Bureau of Apprenticeship and
Training, Frances Perkins Building, 200 Constitution Avenue, NW, Room
N-4649, Washington, DC 20210; and Chicago, Illinois, Department of
Labor Region V Data Center.
Categories of individuals covered by the system:
Apprentices/Trainees.
Categories of records in the system:
The categories of records include the following identifying
information on apprentices/trainees: Social security number, ATR Code,
program number, State Code, DOT Code, Job Title, name, birth date,
sex, ethnic code, Veteran code, accession date, previous experience
date, expected completion date, and apprenticeship school link.
Authority for maintenance of the system:
The National Apprenticeship Act, also referred to as the Fitzgerald
Act, 29 U.S.C. 50.
Purpose(s):
Records of individual apprentice/trainee and apprenticeship/ trainee
program sponsors are used for the operation and management of the
apprenticeship system of training.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be disclosed to SOICC (State Occupational Information
Coordinating Committee) as basis for skill needs projection; to AFL-
CIO, Joint Apprenticeship Committees and Nonjoint Apprenticeship
Committees, and other apprenticeship sponsors to determine an
assessment of skill needs and provide program information. To provide
program information for SACs (State Apprenticeship Agencies) and other
State/Federal agencies concerned with apprenticeship/training needs.
To community organizations such as the Urban League, Opportunities
Industrialization Centers, to utilize apprenticeship information in
planning.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Direct Access Storage Devices (DASD); manual files. Magnetic tape is
used for archived information.
Retrievability:
Records are retrieved by the name or social security number of the
apprentice/trainee by program type.
Safeguards:
Two levels of individual passwords for entry into the system. Locked
computer room. Manual system: Locked file cabinet. During working
hours, records are accessible only to authorized personnel.
Retention and disposal:
Retain for five years and then destroy. Inactive programs are stored
on magnetic tape and archived from online AMS file. Inactive and
completed apprentices are maintained on tape indefinitely.
System manager(s) and address:
Director, Bureau of Apprenticeship and Training, Employment and
Training Administration, Frances Perkins Building, 200 Constitution
Avenue, NW, Room N-4649, Washington, DC 20210.
Notification procedure:
Individuals seeking information concerning the existence of
apprenticeship records or the contents of records on himself/herself
should furnish a written request to the Director, Bureau of
Apprenticeship and Training, Employment and Training Administration,
Frances Perkins Building, 200 Constitution Avenue, NW, Room N-4649,
Washington, DC 20210.
The following information is needed for records to be located:
a. Full name
b. Date of birth
c. Social security number
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the Disclosure Officer listed above
under ``Notification Procedure.''
Contesting record procedure:
Individuals desiring to contest or amend information maintained in
this system should direct their written request to the Disclosure
Officer listed in ``Notification Procedure'' above. The request to
amend should state clearly and concisely what information is being
contested, the reasons for contesting, and the proposed amendment to
the information sought.
Record source categories:
Apprentice/trainee and also Program Sponsor.
Systems exempted from certain provisions of the act:
This system is not exempt.

DOL/ETA-7

System name: Employer Application and Attestation File for
Permanent and Temporary Alien Workers.

Security classification:
None.
System location:
ETA, USES, Division of Foreign Labor Certifications, Frances Perkins
Building, 200 Constitution Avenue, NW, Washington, DC 20210; 10 ETA
Regional Offices.
Categories of individuals covered by the system:
Employers who file labor certification applications, labor condition
applications, or labor attestations to employ one or more alien
workers on a permanent or temporary basis. The alien may be known or
unknown.
Categories of records in the system:
Employers names, addresses, type and size of businesses, production
data, number of workers needed in certain cases, offer of employment
terms to known or unknown aliens, and background and qualifications of
certain aliens, along with resumes and applications of U. S. workers.
Authority for maintenance of the system:
Immigration and Nationality Act, as amended, 8 U.S.C. 1101(a) (15) (H)
(i), and (ii), 1184(c), 1182(m), 1182(n), 1182(a) (5)a), 1188, 1288.
Sections 122 and 221 of Pub. L. 101-649. 8 CFR 214.2(H).
Purpose(s):
To maintain a record of applicants and actions taken by ETA on
requests to employ alien workers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Case files developed in processing labor certification applications,
labor condition applications, or labor attestations, are released to
the employers which filed such applications, their representatives,
and to named alien beneficiaries and their representatives, to review
ETA actions in connection with appeals of denials before the Office of
Administrative Law Judges and Federal Courts; to participating
agencies such DOL Office of Inspector General, INS, and Department of
State in connection with administering and enforcing related
immigration laws and regulations; and to the Office of Administrative
Law Judges and Federal Courts in connection with appeals of denials of
labor certification requests, labor condition applications, and labor
attestations.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual and/or computerized files are stored in the national office,
and each of the 10 ETA Regional Offices.
Retrievability:
Records are maintained on all applications for alien employment
certification labor condition applications, and labor attestations
filed by employer names. Partial data elements from each case file are
stored on the computer and may be accessed by employer or in certain
cases, by the named alien beneficiary.
Safeguards:
Access to records provided only to authorized personnel. The
computerized data has a double security access: (1) Initial password
entry to the local area network; and (2) restricted access to alien
certification data is given only to those employees with a need to
know the data in performing their official duties.
Retention and disposal:
Generally retain case file in office for two years, then transfer to a
records center for disposition after three additional years.
System manager(s) and address:
Chief, Division of Foreign Labor Certifications, U.S. Employment
Service, ETA, 200 Constitution Avenue, NW, Washington, DC 20210, and
each Regional Administrator (or designee) of the ETA in the ten
Regional Offices.
Notification procedure:
Inquiries concerning this system can be directed to the Disclosure
Officer listed in ``System Manager(s) and Address'' above. The
addresses for the 10 Regional Offices are listed under the section
``Responsible Officials'' included in this notice.
Record access procedures:
Individuals can request access to any personal record by mailing a
request to the Disclosure Officer listed above under ``Notification
Procedure.''
Contesting record procedures:
Individuals wanting to contest or amend information maintained in this
system should direct their written request to the Disclosure Officer
listed in ``Notification Procedure'' above. The request to amend
should state clearly and concisely what information is being
contested, the reasons for contesting, and the proposed amendment to
the information sought.
Record source categories:
Information comes from labor certification applications, labor
condition applications, and labor attestations completed by employers,
Certain information is furnished by named alien beneficiaries of labor
certification applications, State employment Security agencies, and
the resumes and applications of U.S. workers.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-8

System name: Job Corps Management Information System (JCMIS)
File.

Security classification:
Unclassified.
System location:
Job Corps Data Center, PO Box 1667, San Marcos, Texas 78666.
Categories of individuals covered by the system:
Job Corps enrollees and terminees.
(1) Program operators: Contractor staff which operate the outreach/
screening and placement programs and the center training programs, at
the field and headquarters levels; Federal staff in the Departments of
Agriculture and the Interior which operate Job Corps centers, at the
center and Agency levels.
(2) Federal staff of non-DOL Agencies: Staff at the Regional, Bureau
and National Offices which are responsible for monitoring and managing
the programs.
(3) Staff of the Selective Service System.
Categories of records in the system:
Personal information about the trainees: Pre-enrollment status, such
as number of months since enrolled in school, home address;
characteristics, such as age, race/ethnic group, sex; summarization of
basic education and vocational training received in Job Corps; and
initial Placement status (entry into employment, school, military
service, or other status) after termination from the Program.
Authority for maintenance of the system:
29 U.S.C. 1891.
Purpose(s):
To provide information to users in order to assist them in the
management of their programs; to provide descriptive information about
the youth served by the Programs and their outcomes; and to support
evaluation and research about the Job Corps Program and its enrollees.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document. All information coming out of this system
is statistical in nature.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Magnetic disk and magnetic tape.
Retrievability:
Social Security Number.
Safeguards:
Access to files is limited to designated data Processing staff
(Programmers/analysts). Files are Password-Protected, and are kept in
physically-secure vault in limited-access building which is not
accessible to the public. Back-up tape files are kept in a physically-
secure vault off-site.
Retention and disposal:
Paper records (source documents) are retained for 90 to 180 days after
processing, then destroyed by shredding. (The ``Official Record''
copies of these documents are filed in the Terminated Corpsmember
Records Folders, which are maintained at Job Corps centers from which
the enrollees terminated for one to two years after termination;
afterwards the folders are deposited in the appropriate regional GSA
archives.) Data file records on Job Corps terminees are retained
indefinitely.
System manager(s) and address:
Director, Office of Job Corps U.S. Department of Labor, Employment and
Training Administration, 200 Constitution Avenue, NW, Room N-4508,
Washington, DC 20210.
Notification procedure:
Letter to System Manager in accordance with 29 CFR part 70a et seq.
giving the following information about the Job Corps enrollee or
terminee:
Full Name, Social Security Number (if available) Job Corps center at
which enrolled (if available), Dates of enrollment and termination, if
known.
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the Disclosure Officer listed above
under ``Notification Procedure.''
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
this system should direct their written request to the Disclosure
Officer listed in ``Notification Procedure'' above. The request to
amend should state clearly and concisely what information is being
contested, the reasons for contesting, and the proposed amendment to
the information sought. Documentation should be provided supporting
any requests for amending records.
Record source categories:
Outreach/screening and placement contractors; Job Corps centers.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-15

System name: DOL/ETA Evaluation, Research, Pilot or
Demonstration Contractors' Project Files.

Security classification:
None.
System location:
Individual contractors' and subcontractors' project worksites and the
Office of Strategic Planning and Policy Development (OSPPD).
Categories of individuals covered by the system:
Participants in programs of the Job Training Partnership Act and other
research, pilot or demonstration projects.
Categories of records in the system:
Records in the system may include characteristics of program
participants, description of program activities, services received by
participants, program outcomes and participant follow-up information
obtained after the completion of the program.
Authority for maintenance of the system:
Part D, Title IV JTPA; Social Security Act, sec. 441 and 908. (29
U.S.C. 1731-1735) and (42 U.S.C. 841 and 1108) respectively.
Purpose(s):
The purpose of this system is to provide necessary information for
statutorily-required and other evaluations of Employment and Training
Administration (ETA) programs, evaluations of ETA-sponsored pilot and
demonstration programs, and other statistical and research studies of
employment and training program and policy issues. These records are
used solely for statistical research or evaluation and are not used in
any way for making any determination about an identifiable individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records may be disclosed to other Federal, State and local government
agencies in order to facilitate the collection of additional data
necessary for statistical and evaluation purposes.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic tape and disks by the U.S.Bureau of
the Census and various contractors.
Retrievability:
Records are retrieved by a variety of unique identifiers, name or
social security number, and by other unique identifiers that have been
created for a specific study.
Safeguards:
Records are maintained on secure computer systems and can only be
retrieved with the proper access code.
Retention and disposal:
Records which are individually identified are retained by the
contractors until the conclusion of the studies, then the identifiers
are destroyed. After the conclusion of the studies the records are
retired to the Federal Records Center for eventual disposal.
System manager(s) and address:
Administrator, Office of Strategic Planning and Policy Development,
Employment and Training Administration, Frances Perkins Building, 200
Constitution Ave., NW, Washington, DC 20210.
Notification procedure:
Address inquiries to the Administrator, Office of Strategic Planning
and policy Development, Employment and Training Administration,
Frances Perkins Building, 200 Constitution Ave., NW, Washington, DC
20210.
Record access procedures:
Individuals wishing access to a record should contact the office
indicated in the notification procedures section above. Individuals
requesting access to records must comply with the office's Privacy Act
regulations on verification of identity and access to records.
Contesting record procedures:
Individuals wishing to request amendment to records should contact the
office indicated in the notification procedures section.
Record source categories:
Individual participants, and Federal, State, and local Government
agencies.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-16

System name: Employment and Training Administration
Investigatory File.

Security classification:
None.
System location:
Division of Special Review and Internal Control, Employment and
Training Administration, Frances Perkins Building, 200 Constitution
Ave., NW, Room N-4071, Washington, DC 20210, and each of the
Employment and Training Administration Regional Offices.
Categories of individuals covered by the system:
Applicants, contractors, subcontractors, grantees, members of the
general public, ETA employees, and any alleged violators of ETA laws
and regulations.
Categories of records in the system:
Reports of problems, abuses or deficiencies relative to the
administration of programs and operations of the agency, and of
possible violations of Federal law whether civil or criminal; reports
on resolution of criminal or conduct violations, and information
relating to investigations and possible violations of ETA administered
programs and projects; incident reports, hotline complaints, and
investigative memoranda.
Authority for maintenance of the system:
5 U.S.C. 301; Job Training Partnership Act (JTPA) (29 U.S.C.).
Purpose(s):
To ensure that all appropriate records of problems, abuses or
deficiencies relative to the administration of programs and operations
of the agency are retained and are available to agency, Departmental,
or other Federal officials having a need for the information to
support actions taken based on the records.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The records and information in this system that are relevant and
necessary may be used to: (1) Provide information to contracting and
grant officers for award and administration of grants and contracts;
and (2) disclose pertinent information to private industry councils
and service delivery areas as necessary to enforce ETA rules and
regulations; and other uses noted in the prefatory statement.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Case files are maintained in manual files and certain information from
those manual files, e.g., case number, names and social security
numbers, description of allegations, etc., are maintained in a
computerized format on the local area network.
Retrievability:
The manual case files are indexed by case number. Automated records
are retrieved by case number, case name, or subject.
Safeguards:
Direct access to the manual case files is restricted to authorized
staff members, attorneys or other employees with a need to know the
information in the performance of their official duties and
responsibilities. Automated records can be accessed only through use
of confidential procedures and passwords by authorized staff.
Retention and disposal:
The records containing information or allegations which do not relate
to a specific investigation are retained for 5 years after the case is
closed, and are then destroyed by shredding. The records containing
information or allegations that do result in a specific investigation
are placed in an inactive file when the case is closed and destroyed,
by shredding, after 10 years.
System manager(s) and address:
Chief, Division of Special Review and Internal Control, 200
Constitution Ave., NW, Washington, DC 20210; and each Regional
Administrator (or designee) of the ETA in the ten Regional Offices of
the Department.
Notification procedure:
Inquiries concerning this system can be directed to: Disclosure
Officer, U.S. Department of Labor, Employment and Training
Administration, Office of Management Support, 200 Constitution Avenue,
NW, Washington, DC 20210 or to the appropriate ETA Disclosure Officer/
Regional Administrator in the 10 regional cities listed under
Responsible Officials in this notice. Such inquiries should include
the full name of the requester, name and address of the organization,
service delivery area, and the ETA-administered program or project.
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the Disclosure Officer(s) listed above
under ``Notification Procedure.'' Such inquiries should include the
full name of the requester, name and address of the organization,
service delivery area, and the ETA-administered program or project.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in
this system should direct their written request, containing specific
details of personal and professional data indicated, to the Disclosure
Officer(s) listed in ``Notification Procedure'' above. The request
should state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought.
Record source categories:
Program sponsors, contractors, complainants, witnesses, Office of the
Inspector General and other Federal, State and local government
records.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ETA-20

System name: Federal Bonding Program, Bondees Certification
Files.

Security classification:
None.
System location:
Punch Card Processing Co., 6875 New Hampshire Ave., Takoma Park, MD
20012, and the McLaughlin Co., Suite 514, 2000 L St., NW, Washington,
DC 20038.
Categories of individuals covered by the system:
State Job Service applicants who are eligible and need bonding to get
a job.
Categories of records in the system:
Personal (name, SSN, employer name), employment data (DOT and SIC
codes), employer data (address, city, State, ZIP code), amount of bond
(expressed in $500 units), cost of bond (expressed in units),
effective date of bond, and termination date of bond.
Authority for maintenance of the system:
Part D, Title, IV, Job Training Partnership Act. (29 U.S.C. 1731-1735)
Purpose(s):
The purpose of these records is to provide information to the DOL
project officer on the activities of the contracted project--the
Federal Bonding Program. These records are used solely for statistical
information and not used in any way for making any determination about
an identifiable individual.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Disk Operated System (DOS) and printout.
Retrievability:
Retrieved by assigned bond number.
Safeguards:
Locked in cabinets in offices of Federal, State, and private
buildings.
Retention and disposal:
States and regions dispose of data 3 years and older; punch card
processing keeps master DOS of all bondees prior to 1980.
System manager(s) and address:
Administrator, Office of Strategic Planning and Policy Development,
Frances Perkins Building, 200 Constitution Ave. NW, Washington, DC
20210.
Notification procedure:
Address inquiry to the System Manager at 200 Constitution Ave., NW,
Washington, DC 20210 as indicated above.
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the System Manager listed above under
``Notification Procedure.''
Contesting record procedures:
Individuals wishing to contest or amend information maintained in this
system should direct their written request to the systems manager at
the address shown in ``Notification Procedure'' above. The request to
amend or contest should state clearly and concisely what information
is being contested, the reasons for contesting, and the proposed
amendment to the information sought.
Record source categories:
State Job Service files, applicants for the bond and bonded employee's
employer.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-21

System name: Employment and Training Administration Advisory
Committees Members Files.

Security classification:
Unclassified.
System location:
Program offices for Bureau of Apprenticeship and Training; Office of
Job Training Programs; Unemployment: Insurance; Office of Special
Targeted Programs; U.S. Department of Labor/ETA, Frances Perkins
Building, 200 Constitution Ave., NW, Washington, DC 20210.
Categories of individuals covered by the system:
Present and former members of the committees established by ETA and
candidates for a position on an advisory committee.
Categories of records in the system:
Biographical information on individuals who are or have been members
or are being considered for membership on the committees.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To ensure that all appropriate records are retained and are available
for official use in accordance with the requirements of the Federal
Advisory Committee Act and GSA's Rule on Advisory Committee
Management.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be disclosed to the General Services
Administration when necessary to comply with the Federal Advisory
Committee Act.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Storage methods vary between program components, but the data will be
stored either on magnetic tape or in a manual file, both of which are
secured at all times. Also, a copy will be stored in the Executive
Secretariat and will be secured with access to the records by means of
identification number and password known only to the user and system
manager.
Retrievability:
Retrievable by member name or committee name, and via identification
number if electronically maintained.
Safeguards:
Maintained in system managers office with only authorized employees
having access to the file on a need to know basis.
Retention and disposal:
Records transferred to National Archives 5 years after member resigns
from committee.
System manager(s) and address:
The system manager of each file is the Administrator of the Program
Office involved, U.S. Department of Labor, Employment and Training
Administration, Frances Perkins Building, 200 Constitution Ave., NW,
Washington, DC 20210.
Notification procedure:
Mail all inquiries or present in writing to the appropriate program
system manager, or to the Freedom of Information Act/Privacy Act
Coordinator, at U.S. Department of Labor/ETA, 200 Constitution Ave.,
NW, Room N-4671, Washington, DC 20210.
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the appropriate program system manager
or to the FOIA/PA Coordinator listed above under ``Notification
Procedure.'' The request should include the name of the Committee and
the dates requester served on the Committee.
Contesting record procedures:
Individuals wanting to contest or amend information maintained in this
system should direct their written request to the appropriate program
system manager or to the FOIA/PA Coordinator listed above under
``Notification Procedure.'' The request should state clearly and
concisely what information is being contested, the reasons for
contesting, and the proposed amendment to the information sought.
Record source categories:
Information contained in this system is obtained from the individuals
concerned.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-22

System name: ETA Employee Conduct Investigations.

Security classification:
None.
System location:
Offices in the Employment and Training Administration at the National
Office and in each of the ten Regional Offices.
Categories of individuals covered by the system:
ETA employee(s) against whom any allegation of misconduct, illegal
acts, conflicts of interests, etc., has been made.
Categories of records in the system:
Name, organization and other information relating to the individual
involved; investigative report(s), including interviews and other data
gathered.
Authority for maintenance of the system:
5 U.S.C. 301, 7301, and Executive Order 11222.
Purpose(s):
To ensure that all appropriate records of problems, misconduct,
illegal acts, conflicts of interest, etc., are retained, documenting
actions taken in each case.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for the prefatory routine uses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Case files are maintained in manual files and certain information from
those manual files, e.g., case number, names and social security
numbers, description of allegations, etc., are maintained in a
computerized format on the local area network.
Retrievability:
The manual case files are indexed by case number. Automated records
are retrieved by case number, case name, or subject.
Safeguards:
Direct access to the manual case files is restricted to authorized
staff members, attorneys or other employees with a need to know the
information in the performance of their official duties and
responsibilities. Automated records can be accessed only through use
of confidential procedures and passwords by authorized staff.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Chief, Division of Special Review and Internal Control, 200
Constitution Ave., NW, N-4071, Washington, DC 20210, and each Regional
Administrator in the 10 Employment and Training Administration
Regional Offices.
Notification procedure:
Inquiries concerning this system can be directed to the Chief,
Division of Special Review and Internal Control at the address listed
above under ``System Manager(s) and Address'', or to the appropriate
Regional Administrator listed under Responsible Officials contained at
the end of these notices. Such inquiries should include full name,
agency, organization, and office component of the requester.
Record access procedures:
Individuals can request access to any record pertaining to himself/
herself by mailing a request to the Disclosure Officer listed above
under ``Notification Procedure.'' Such inquiries should include full
name, agency, organization, and office component of the requester.
Contesting record procedures:
Individuals wanting to contest or amend information maintained in this
system should direct their written request, containing the data
elements listed above, to the Disclosure Officer listed above in
``Notification Procedure.'' The request to amend should state clearly
and concisely what information is being contested, the reasons for
contesting, and the proposed amendment to the information sought.
Record source categories:
Individuals, hotline complaints through the Office of the Inspector
General's hotline; hotline complaints through the General Accounting
Office's hotline system; incident reports submitted by other
employees; investigative reports and interviews.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/ETA-23

System name: Federal Committee on Apprenticeship (FCA).

Security classification:
None.
System location:
Department of Labor (DOL); Employment and Training Job Office Training
Programs, Bureau of Apprenticeship and Training, 200 Constitution
Avenue, NW, Room N-4649, Washington, DC 20010.
Categories of individuals covered by the system:
Present and former members of the Federal Committee on Apprenticeship
and candidates applying for a position on the advisory committee.
Categories of records in the system:
Membership file listing name, address, occupation, committee name, and
term of appointment. Biographical information on committee members and
applicants.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
For ready access in preparing Advisory Committee reports as required
by the Federal Advisory Committee Act and GSA's Interim Rule on
Advisory Committee Management.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information in these records may be disclosed to the General Services
Administration when necessary to comply with the Federal Advisory
Committee Act.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
All data is stored on a disk which is located inside the processor,
with magnetic tape backup. The hand copies will be stored in the
Executive Secretariat and will be secured at all times, access to the
records will be by means of identification number and password known
only to the user and system manager.
Retrievability:
Records will be retrievable by name or by any of the categories listed
under ``Categories of Records.''
Safeguards:
The records are safeguarded by (1) user identification and password;
(2) establishment of permission to view the file by the system or
owner of the record; and (3) encryption of documents, records and data
elements. All hard copies are stored in a locked storage area and are
only accessible by permission of the Committee Management Coordinator.
Retention and disposal:
Hardcopies will be sent to the Archives until such time as we receive
instruction from Archives regarding the permanent retention of discs
or magnetic tapes. Discs and tapes will be destroyed. Records are
retired to the Federal Records Center within five years after a
committee becomes inactive. All records over five years old may be
retired to the Federal Records Center.
System manager(s) and address:
Executive Secretary and DOL Committee Management Office, Department of
Labor (DOL), 200 Constitution Avenue, NW, Room N-4644, Washington, DC
20010.
Notification procedure:
Any individual who wishes to be notified if the system of records
contains a record pertaining to him/her may apply in writing to the
system manager.
Record access procedures:
Any individual who wishes to review the contents of a record
pertaining to him/her may apply in writing to the System Manager at
the above address.
Contesting record procedure:
Same as ``Record Access Procedures.'' Appeals should be directed to
the Secretary of Labor if request for modification or deletion is
denied.
Record source categories:
Information contained in the system is obtained from (1) committee
sponsor; (2) individuals who apply for advisory committee
appointments, and (3) persons who recommend them for appointment. Each
applicant must complete a Candidate Biographical Request for Name
Check which contains all of the data to be stored in the ``Categories
of records,'' and the individual signs a permission statement
authorizing the Department of Labor to retain such records.
System exempted from certain provisions of the act:
None.

DOL/ETA-24

System name: Contracting and Grant Officer Files.

Security classification:
None.
System location:
Employment and Training Administration, Office of Grants and Contract
Management, Office of Comptroller, and Assistant Secretary for
Administration and Management, Office of Acquisition Integrity, 200
Constitution Avenue, NW, Washington, DC 20210
Categories of individuals covered by the system:
Present and former contracting and grant officers.
Categories of records in the system:
Name, Social Security Number, job title and grade, qualifications,
training and experience, request for appointment as Contracting/Grant
Officer, Certification of Appointment, copy of Certificate of
Appointment, and other correspondence and documents relating to the
individual's qualifications therefor.
Authority for maintenance of the system:
40 U.S.C. 486; Department of Labor Acquisition Regulations 2901.6;
Department of Labor Manual Series 2-800.
Purpose(s):
To ascertain an individual's qualifications to be appointed as a
contracting/grant officer; to determine if limitations on procurement
authority are appropriate; to complete Certificate of Appointment.
Routine uses of record maintained in the systems, including categories
and users and the purposes of such uses:
A. Disclosure to Office of Government Ethics: A record from a system
of records may be disclosed, as a routine use, to the Office of
Government Ethics for any purposes consistent with that office's
mission, including the compilation of statistical data.
B. Disclosure to a Board of Contract Appeals, GAO or any other entity
hearing a contractor's 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 the
Claims Court in bid protest cases or contract dispute cases involving
procurement.
C. Disclosure to any source, either private or governmental, to the
extent necessary to solicit information relevant to any investigation
or audit. A record from a system of records may be disclosed, as a
routine use, to any source, either private or government, to the
extent necessary to secure from such source information relevant to
and sought in furtherance of a legitimate investigation or audit.
D. Disclosure to Office of Management and Budget Relevant information
may be disclosed to the Office of Management and Budget in connection
with the review of private relief legislation as set forth in OMB
Circular A-19 at any stage of the legislative coordination and
clearance process as set forth in that Circular.
E. A record from a system may be disclosed as a routine use to the
National Archives and Records Administration for the purpose of
records management inspections conducted under authority 44 U.S.C.
2904 and 2906.
Disclosure to consumer reporting agencies:
None.
Policies for storing, retrieving, accessing, retaining, and disposing of
records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed by Contracting/Grant Officer Number and Name.
Safeguards:
Records are maintained in a secured, locked file cabinet accessible to
the authorized personnel having need for the information in the
performance of their duties.
Retention and disposal:
All documents relating to and reflecting the designation of
Contracting/Grant Officers and terminations of such designations, are
destroyed 6 years after termination of appointment.
System manager(s) and address:
Chief, Division of Acquisition and Assistance, U.S. Department of
Labor, ETA, 200 Constitution Avenue, NW, Room C-4305, Washington, DC
20210.
Notification procedure:
Written or personal requests for information may be directed to the
System manager.
Record access procedures:
Requests from individuals should be addressed to system manager.
Written requests should contain the full name, current address and
telephone number of the individual.
Contesting record procedures:
Documentation should be provided supporting any requests for amending
records.
Record source categories:
The contract officer's Certification of Appointment and background
information on education, SF-171, and specific information on
procurement authorities delegated.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-25

System name: DOL/ETA Evaluation Research Projects.

Security classification:
None.
System location:
Either in ETA or at an individual contractor's worksite.
Categories of individuals covered by the system:
Any employer or employee covered under a State unemployment
compensation law.
Categories of records in the system:
The system contains claimant records, employer contribution records,
and employee wage records.
Authority for maintenance of the system:
Social Security Act, sec. 303(l), 303(a)(6), and 702 and 906, (42
U.S.C. 503(a)(l), 503(a)(6), 902, ll06); 5 U.S.C. 8506(b).
Purpose(s):
These records are used for researching and evaluating the unemployment
compensation and other programs for which ETA is responsible and are
not used for any purpose other than that specified under agreement
with the State from which the records were obtained. These records are
not used in any way for making any determination affecting an
identifiable individuals's entitlement to unemployment compensation.
Routine uses of records maintained in the system, including categories
of users and the purpose of such use:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on magnetic tape and disks by ETA and various
contractors.
Retrievability:
Records may be retrieved by individual identifiers; specifically, by
name, social security account number, or employer identification
number.
Safeguards:
Records are maintained on secure computer systems and can only be
retrieved with the proper access code.
Retention and disposal:
Records are retained by ETA or its contractor until the end of each
project. At the conclusion of each project the individually
identifiable records obtained from the State are returned to the State
from which they were obtained.
System manager(s) and address:
Assistant Secretary, Employment and Training Administration, Frances
Perkins Building, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Address inquiries to the Assistant Secretary, Employment and Training
Administration, Frances Perkins Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
Record access procedures:
Individuals wishing access to a record should contact the office
indicated in the notification procedure section. Individuals
requesting access to records must comply with the Privacy Act
regulations on verification of identity and access to records.
Contesting record procedures:
Individuals wishing to request amendment to records should contact the
office indicated in the notification procedures section.
Record source categories:
State records.
Systems exempted from certain provisions of the act:
None.

DOL/ETA-26

System name: Standardized Program Information Report (SPIR).

Security classification:
None.
System location:
Database management contractor's work site.
Categories of individuals covered by the system:
Terminees from Titles IIA (including Older Workers Set-aside), IIC,
and III of the Job Training Partnership Act (JTPA).
Categories of records in the system:
Records in the system include the Social Security number and various
characteristics of each participant, the description of program
activities and services they received, and program outcome and
participant follow-up information obtained after completion of the
program.
Authority for maintenance of the system:
JTPA section 165(c)(2) (29 U.S.C. 1575(c)(2)).
Purpose(s):
To maintain a management information system designed to facilitate the
uniform compilation and analysis of programmatic data necessary for
reporting, monitoring and evaluation purposes. These records are not
used for making determinations about identifiable individuals. The
system will:
(1) Generate statistical reports that will present detailed
information on the characteristics of program participants, program
activities and outcomes. These data will be reported at the national,
state and local levels; and will allow the Department to respond to a
variety of requests for specific information regarding the scope of
services and the nature of employment that JTPA is providing to its
clients.
(2) Provide information that will enable the Department to evaluate
the program at different levels (nationally, or at a regional, State
or local level) and to provide feedback to States and localities on
such evaluations.
(3) Provide a suitable national database to enable the Department to
provide technical guidance to local programs in establishing
performance goals for their service providers.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure to State and local JTPA organizations those records that
are relevant and necessary to allow for comparative self-analysis of
their programs' performance.
Disclosure to researchers and public interest groups those records
that are relevant and necessary to evaluate the effectiveness of the
overall program and its various training components in serving
different subgroups of the eligible population.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving,accessing, retaining, and
disposing of records in the system:
Storage:
Records are maintained on magnetic tape and disks at the database
management contractor's work site.
Retrievability:
Primarily by participant characteristic. Occasionally by Social
Security Number.
Safeguards:
Records are maintained on a secure computer system and can only be
retrieved with the proper access code. Public access files and files
used for analysis outside the database manager's computer system will
be purged of participant identifiers and records will be sufficiently
aggregated to prevent identification of any individual.
Retention and disposal:
Data files will be retained indefinitely.
System manager(s) and address:
Administrator, Office of Strategic Planning and Policy Development,
Employment and Training Administration, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Address inquiries to the Administrator, Office of Strategic Planning
and Policy Development, Employment and Training Administration, 200
Constitution Avenue, NW, Washington, DC 20210.
Record access procedures:
Individuals wishing assess to a record should contact the office
indicated in the notification procedure above. Individuals requesting
access to records must comply with the Department of Labor's Privacy
Act regulations on verification of identity and access to records.
Contesting record procedures:
Individuals wishing to request amendment to records should contact the
office indicated in the notification procedures section.
Record source categories:
Individual participant, State and local JTPA program offices.
System exempt from certain provisions of the act:
None.

Office of Inspector General (OIG)

DOL/OIG-1

System name: General Investigative Files, Case Tracking Files,
and Subject/Title Index, USDOL/OIG.

Security classification:
N/A.
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:
DOL employees, applicants, contractors, subcontractors, grantees,
subgrantees, claimants, complainants, individuals threatening DOL
employees or the Secretary of Labor, alleged violators of Labor laws
and regulations, union officers, individuals investigated and
interviewed, and individuals filing claims for entitlement or benefits
under laws administered by the Department of Labor, individuals
providing medical and other services to OWCP, employees of insurance
companies and of medical and other services provided to OWCP, and
other persons suspected of violations of law and related
administrative, civil and criminal provisions.
Categories of records in the system:
The system contains records related to administrative, civil and
criminal investigations which include: Statements and other
information from subjects, targets, and witnesses; material from
governmental investigatory or law enforcement organizations (federal,
state, local or international) and intelligence information;
information of criminal, civil or administrative referrals and/or
results of investigations; investigative notes and investigative
reports; summary information for indexing and cross referencing;
reports and associated materials filed with DOL or other government
agencies from, for example, medical providers, grantees, contractors,
employers or insurance companies; other evidence and background
material existing in any form (i.e. audio or video tape, photographs,
computer tapes or disks).
Authority for maintenance of the system:
5 U.S.C. App. 3 (IG Act); 5 U.S.C. 8101 et seq. (FECA); 5 U.S.C. 8401
et seq. (FERSA); 8 U.S.C. 1101 et seq. (IRCA); 18 U.S.C. 874 (Anti
Kickback Act); 29 U.S.C. 49 et seq. (Wagner Peyser); 29 U.S.C. 201 et
seq. (FLSA); 29 U.S.C. 401 et seq. (LMRDA); 29 U.S.C. 651 et seq.
(OSHA); 29 U.S.C. 793 et seq. (Rehabilitation Act); 29 U.S.C. 1001 et
seq. (ERISA); 29 U.S.C. 1501 et seq. (JTPA); 30 U.S.C. 801 et seq.
(MSHA); 30 U.S.C. 901 et seq. (Black Lung); 31 U.S.C. 3701 et seq.
(False Claims Act); 31 U.S.C. 3801 et seq. (Program Fraud Civil
Remedies Act); 33 U.S.C. 901 et seq. (Longshore Compensation Act and
extension); 40 U.S.C. 276a5 (Davis Bacon); 40 U.S.C. 276c (Copeland
Act); 41 U.S.C. 35 et seq. (Walsh-Healey); 41 U.S.C. 351 et seq.
(Service Contract Act); Title 18 U.S.C. (Criminal Code); and
Secretary's Order 2-90, dated January 31, 1990 concerning the
authorization and organization of the Office of Inspector General in
the Department of Labor.
Purpose(s):
This system is established and maintained to fulfill the purposes of
the Inspector General Act of 1978 and to fulfill the responsibilities
assigned by that Act concerning investigative activities. The OIG
initiates investigations of individuals, entities and programs,
maintains information received and developed in this system during the
time the investigation is performed, and after each investigation is
completed. This system is the repository of all information developed
during the course of investigations.
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 suspension/debarment authorities. A record from a
system of records may be disclosed, as a routine use, to any federal
agency responsible for considering suspension/debarment actions where
such record would be germane to a determination of the propriety/
necessity for such an action.
D. 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.
E. Disclosure to contractor, grantee or other direct 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.
F. 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 inspection.
G. 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.
H. Disclosure to Office of Government Ethics record from a system of
records may be disclosed, as routine use, to the Office of Government
Ethics for any purpose consistent with that office's mission,
including the compilation of statistical data.
I. 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.
J. 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 a
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
inspection.
K. 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 obligations under the Freedom of Information Act or Privacy
Act.
L. Disclosure to a member of Congress making a request at the behest
of a party protected under the Privacy Act. A record from a system of
records may be disclosed, as a routine use, to a Member of Congress
who submits an inquiry on behalf of an individual when the Member of
Congress informs the appropriate agency official that the individual
to whom the record pertains has authorized the Member of Congress to
have access. In such cases, the member has no greater right to the
record than does the individual.
M. 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.
N. 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.
O. 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 inspection.
P. Disclosure in accordance with computer matching guidelines and/or
laws. 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 the applicable legal and administrative requirements for the
performance of a computer matching program or procedure.
Q. Disclosure to any court or adjudicative body during the course of
any litigation to which the agency is a party or has an interest. A
record may be disclosed during the course of a proceeding before a
court or other adjudicative or administrative body before which the
DOL or OIG is authorized to appear, or in the course of settlement
negotiations with opposing counsel, when--(1) The DOL or OIG, or any
component thereof; or (2) any employee of the DOL in his or her
official capacity; or (3) any employee of the DOL in his or her
individual capacity, where the DOL or DOJ has agreed to or considering
representation of the employee; or (4) the United States or any of its
components is a party to litigation or has an interest in such
litigation, or the DOL or OIG will be affected by the litigation, and
the DOL or OIG determines that the use of such records is relevant and
necessary to the litigation; provided, however, that in each case the
DOL or OIG determines that disclosure of the records is a use of the
information that is compatible with the purpose for which the records
were collected.
R. Disclosure to DOL or another federal agency's legal representative,
to include the Department of Justice and other outside counsel, where
DOL is a party in litigation or has an interest in litigation. A
record may be disclosed to the Department of Justice or federal
agency's legal representative when-- (1) the DOL or OIG, or any
component thereof; or (2) any employee of the DOL or OIG in his or her
official capacity; or (3) any employee of the DOL or OIG in his or her
individual capacity, where the Department of Justice has agreed or is
considering a request to represent the employee; or (4) the United
States or any of its components is a party to litigation or has an
interest in such litigation, DOL or the OIG will be affected by the
litigation or and the DOL or OIG determines that the use of such
records by the Department of Justice is relevant and necessary to the
litigation; provided, however, that in each case, the DOL or OIG
determines that disclosure of the records to the Department of Justice
is a use of the information that is compatible with the purpose for
which the records were collected.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The information is maintained in a variety of mediums including paper,
microfilm, magnetic tapes or discs, and optical digital data discs.
The records are maintained in limited access areas during duty hours
and in locked offices at all other times.
Retrievability:
The written case records are indexed by case number, while file cards
are indexed by subject name. Automated records are retrieved by case
number, case name, subject, or, batch retrieval applications.
Safeguards:
Direct access is restricted to authorized staff members of the OIG
their attorneys or contractor employees on a need-to-know basis.
Automated records can by accessed only through use of confidential
procedures and passwords.
Retention and disposal:
Files containing information of an investigative nature but not
relating to a specific investigation are destroyed after five years
being closed. All other investigative case files are placed in
inactive files when case is closed and sent to the Federal Record
Center and destroyed when closed ten years.
System manager(s) and address:
Assistant Inspector General for Investigations; Assistant Inspector
General for Labor Racketeering; and Director, Special Projects Office;
Office of Inspector General; U.S. Department of Labor; Room S-1303;
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Inquiries concerning this system of records can be directed to:
Disclosure Officer, Office of Inspector General, U.S. Department of
Labor, Room S1303, 200 Constitution Avenue, NW, Washington, DC 20210.
Inquiries must comply with the requirements in 29 CFR 709.4 and 5.
Record access procedure:
Individuals can request access to any record pertaining to him/her by
mailing a request to the Disclosure Officer listed above under
``Notification Procedure.'' See 29 CFR 70a.4 and .5.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in the
system should direct their request to the Disclosure Officer listed in
``Notification Procedure,'' above.
In addition, the request should state clearly and concisely what
information is being contested, the reasons for contesting it, and the
proposed amendment to the information sought. See 29 CFR 70a.7.
Record source categories:
The information contained in this system is received from individual
complaints, witnesses, interviews conducted during investigations,
Federal, state and local government records, individual or company
records, claim and payment files, employer medical records, insurance
records, court records, articles from publications, published
financial data, corporate information, bank information, telephone
data, insurers, service providers, grantees, subgrantees, contractors
and subcontractors.
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: In accordance with 5 U.S.C. 552a(j)(2)
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 or impliedly promised to them. Disclosure
could interfere with the integrity of 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 investigative
practice which requires a full and complete inquiry and exhaustion of
all potential sources of information. See, 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.
See, 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
clandestine criminal investigation. See, 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/she 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) and (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).
(c) Protective Services: In accordance with 5 U.S.C. 552(k)(3)
investigatory material maintained in connection with assisting the
U.S. Secret Service to provide protective services to the President of
the United States or other individuals pursuant to 18 U.S.C. 3056 is
exempt from the following sections of the Act: (c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f). This material is exempt in order to
enable the OIG to continue its support of the Secret Service without
compromising the effectiveness of either agency's activities.
(d) Contract Investigations: In accordance with 5 U.S.C. 552a(k)(5),
investigatory material compiled solely for the purpose of determining
integrity, suitability, eligibility, qualifications, or employment for
a DOL contract is exempt from the following sections of the Act:
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I) and (f). This exemption was
obtained in order to protect from disclosure the identity of a
confidential source when an express promise of confidentiality has
been given in order to obtain information from sources who would
otherwise be unwilling to provide necessary information. See 29 CFR
70a.13(b)(iv).

DOL/OIG-2

System name: Freedom of Information/Privacy Acts Records.

Security classification:
N/A.
System location:
Freedom of Information/Privacy Acts Disclosure Office, Office of
Inspector General, U.S. Department of Labor, 200 Constitution Avenue,
NW, Washington, DC 20210.
Categories of individuals covered by the system:
Persons who request disclosure of records pursuant to the Freedom of
Information Act, persons who request access to or correction of
records pertaining to themselves contained in the Office of Inspector
General's systems of records pursuant to the Privacy Act; where
applicable, persons about whom records have been requested or about
whom information is contained in requested records; and persons
representing those identified above.
Categories of records in the system:
The system contains (a) copies of all correspondence and internal
memorandums related to the Freedom of Information Act and Privacy Act
requests, and related records necessary to the processing of such
requests; (b) copies of all documents relevant to appeals and lawsuits
under the Freedom of Information and Privacy Acts.
Authority for maintenance of the system:
Freedom of Information Act, 5 U.S.C. 552, the Privacy Act, 5 U.S.C.
552a and 29 CFR parts 70 and 70a.
Purpose(s):
This system of records is maintained in order to accurately reflect
the identity of requestors, the substance of each request, the
responses made by the OIG and in order to comply with the reporting
and accounting requirements of the Freedom of Information and Privacy
Acts. Materials within this system also reflect the reasons for the
disclosure and/or denial of requests or portions of requests and any
further action on requests which may be appealed and/or litigated.
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 suspension/debarment authorities. A record from a
system of records may be disclosed, as a routine use, to any federal
agency responsible for considering suspension/debarment actions where
such record would be germane to a determination of the propriety/
necessity for such an action.
D. 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.
E. Disclosure to contractor, grantee or other direct 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.
F. 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 inspection.
G. 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.
H. Disclosure to Office of Government Ethics record from a system of
records may be disclosed, as routine use, to the Office of Government
Ethics for any purpose consistent with that office's mission,
including the compilation of statistical data.
I. 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.
J. 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 a
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
inspection.
K. 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 obligations under the Freedom of Information Act or Privacy
Act.
L. Disclosure to a member of Congress making a request at the behest
of a party protected under the Privacy Act. A record from a system of
records may be disclosed, as a routine use, to a Member of Congress
who submits an inquiry on behalf of an individual when the Member of
Congress informs the appropriate agency official that the individual
to whom the record pertains has authorized the Member of Congress to
have access. In such cases, the member has no greater right to the
record than does the individual.
M. 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.
N. 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.
O. 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 inspection.
P. Disclosure in accordance with computer matching guidelines and/or
laws. 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 the applicable legal and administrative requirements for the
performance of a computer matching program or procedure.
Q. Disclosure to any court or adjudicative body during the course of
any litigation to which the agency is a party or has an interest. A
record may be disclosed during the course of a proceeding before a
court or other adjudicative or administrative body before which the
DOL or OIG is authorized to appear, or in the course of settlement
negotiations with opposing counsel, when--(1) The DOL or OIG, or any
component thereof; or (2) any employee of the DOL in his or her
official capacity; or (3) any employee of the DOL in his or her
individual capacity, where the DOL or DOJ has agreed to or considering
representation of the employee; or (4) the United States or any of its
components is a party to litigation or has an interest in such
litigation, or the DOL or OIG will be affected by the litigation, and
the DOL or OIG determines that the use of such records is relevant and
necessary to the litigation; provided, however, that in each case the
DOL or OIG determines that disclosure of the records is a use of the
information that is compatible with the purpose for which the records
were collected.
R. Disclosure to DOL or another federal agency's legal representative,
to include the Department of Justice and other outside counsel, where
DOL is a party in litigation or has an interest in litigation. A
record may be disclosed to the Department of Justice or federal
agency's legal representative when -- (1) the DOL or OIG, or any
component thereof; or (2) any employee of the DOL or OIG in his or her
official capacity; or (3) any employee of the DOL or OIG in his or her
individual capacity, where the Department of Justice has agreed or is
considering a request to represent the employee; or (4) the United
States, or any of its components is a party to litigation or has an
interest in such litigation,or DOL or the OIG will be affected by the
litigation, and the DOL or OIG determines that the use of such records
by the Department of Justice is relevant and necessary to the
litigation; provided, however, that in each case, the DOL or OIG
determines that disclosure of the records to the Department of Justice
is a use of the information that is compatible with the purpose for
which the records were collected.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records in this system are maintained in a variety of mediums
including paper, microfilm, magnetic tapes or discs, and optical
digital data discs.
Retrievability:
A record is retrieved by the name of the individual, the case file
numbers or by other subject matter covered by the request.
Safeguards:
This system of records is maintained at OIG Headquarters which is
located in a building protected by twenty-four hour guard service. The
system is kept in locked storage when not in use and is accessible
only on a need to know basis. Offices containing records are
restricted to authorized personnel only. Automated data can only be
accessed with a password by authorized users.
Retention and disposal:
These records are destroyed six years after final agency determination
or 3 years after final court adjudication, whichever is later.
System manager(s) and address:
Disclosure Officer, Office of Inspector General, U.S. Department of
Labor, Room S1303, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Inquiries concerning this system can be directed to: Disclosure
Officer, Office of Inspector General, 200 Constitution Avenue, NW,
Washington, DC 20210. Inquiries must comply with the requirements in
29 CFR 70a.4
Record access procedures:
Individuals can request access to any record pertaining to him/her by
mailing a request to the Disclosure Officer listed above under
``Notification Procedure.'' See 29 CFR 702.4 and 5.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in the
system should direct their written request to the Disclosure Officer
listed in ``Notification Procedure'' above. In addition, the request
should state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought. See 29 CFR 70a.7.
Record source categories:
The information contained in this system is received from the persons
or entities making requests, the systems of records searched to
respond to requests, and other agencies referring requests for access
or correction of records originating in the Office of Inspector
General.
System exempted from certain provisions of the act:
Some records obtained and stored in this system originate from other
systems of records and have been exempted under the provisions of the
Freedom of Information/Privacy Acts to the same extent as the systems
of records from which they were obtained.

DOL/OIG-3

System name: Case Development Records.

Security classification:
N/A.
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 known or suspected of being involved in or associated with
labor racketeering or other criminal activity, and informants.
Categories of records in the system:
The system of records contains materials related to criminal and civil
investigations which include: Intelligence and other background
information; statements and other material from subjects and
witnesses; information from government investigatory or law
enforcement organizations (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 1-80 dated March 6, 1980 establishing the Office of
Inspector General at the Department of Labor.
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.
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 suspension/debarment authorities. A record from a
system of records may be disclosed, as a routine use, to any federal
agency responsible for considering suspension/debarment actions where
such record would be germane to a determination of the propriety/
necessity for such an action.
D. 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.
E. 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.
F. 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 inspection.
G. 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.
H. Disclosure to Office of Government Ethics record from a system of
records may be disclosed, as routine use, to the Office of Government
Ethics for any purpose consistent with that office's mission,
including the compilation of statistical data.
I. 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.
J. 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 a
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
inspection.
K. 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 obligations under the Freedom of Information Act or Privacy
Act.
L. Disclosure to a member of Congress making a request at the behest
of a party protected under the Privacy Act. A record from a system of
records may be disclosed, as a routine use, to a Member of Congress
who submits an inquiry on behalf of an individual when the Member of
Congress informs the appropriate agency official that the individual
to whom the record pertains has authorized the Member of Congress to
have access. In such cases, the member has no greater right to the
record than does the individual.
M. 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.
N. 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.
O. 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 inspection.
P. Disclosure in accordance with computer matching guidelines and/or
laws. 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 the applicable legal and administrative requirements for the
performance of a computer matching program or procedure.
Q. Disclosure to any court or adjudicative body during the course of
any litigation to which the agency is a party or has an interest. A
record may be disclosed during the course of a proceeding before a
court or other adjudicative or administrative body before which the
DOL or OIG is authorized to appear, or in the course of settlement
negotiations with opposing counsel, when--(1) the DOL or OIG, or any
component thereof; or (2) any employee of the DOL in his or her
official capacity; or (3) any employee of the DOL in his or her
individual capacity, where the DOL or DOJ has agreed to or considering
representation of the employee; or (4) the United States or any of its
components is a party to litigation or has an interest in such
litigation, or the DOL or OIG will be affected by the litigation, and
the DOL or OIG determines that the use of such records is relevant and
necessary to the litigation; provided, however, that in each case the
DOL or OIG determines that disclosure of the records is a use of the
information that is compatible with the purpose for which the records
were collected.
R. Disclosure to DOL or another federal agency's legal representative,
to include the Department of Justice and other outside counsel, where
DOL is a party in litigation or has an interest in litigation. A
record may be disclosed to the Department of Justice or federal
agency's legal representative when--(1) the DOL or OIG, or any
component thereof; or (2) any employee of the DOL or OIG in his or her
official capacity; or (3) any employee of the DOL or OIG in his or her
individual capacity, where the Department of Justice has agreed or is
considering a request to represent the employee; or (4) the United
States, or any of its components is a party to litigation or has an
interest in such litigation,or DOL or the OIG will be affected by the
litigation, and the DOL or OIG determines that the use of such records
by the Department of Justice is relevant and necessary to the
litigation; provided, however, that in each case, the DOL or OIG
determines that disclosure of the records to the Department of Justice
is a use of the information that is compatible with the purpose for
which the records were collected.
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,
microfilm, magnetic tapes or discs, and/or optical digital data discs.
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 a authorized user.
Retention and disposal:
The files are cut off at the end of Fiscal Year in which the case is
closed and placed in inactive files. All closed case files are retired
to the Federal Record Center after five years of retention and
destroyed 20 years after the cut off date.
System manager(s) and address:
Assistant Inspector General for the Office of Labor Racketeering and
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 70a.4 and 5.
Record access procedure:
Individuals can request access to any record pertaining to him/her by
mailing a request to the Disclosure Officer listed above under
``Notification Procedure'' See 29 CFR 70a.4 and .5.
Contesting record procedures:
Individuals desiring to contest or amend information maintained in the
system should direct their request to the Disclosure Officer listed in
``Notification Procedure,'' above. 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 70a.7.
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).

DOL/OIG-5

System name: Investigative Case Tracking Systems/Audit
Information Reporting Systems, USDOL/OIG.

Security classification:
N/A.
System location:
Office of Inspector General, U.S. Department of Labor, Frances Perkins
Building, 200 Constitution Avenue, NW, Washington, DC 20210 and the
OIG regional and field offices.
Categories of individuals covered by the system:
Auditors, investigators, certain administrative support staff and
contractors of the Office of Inspector General.
Categories of records in the system:
Records or information contained in the system may include: (1)
Employee or OIG contractor; (2) social security number; (3) grade/
step; (4) training; (5) audit and investigative case tracking data
(e.g. audit/investigative case number, program, findings, results,
etc.) on audits/investigations; (6) other statistical information.
Authority for maintenance of the system:
Pub. L. 95-452, 5 U.S.C App. 3, Inspector General Act of 1978.
Training Act Secretary's Order 1-80 dated March 6, 1980 establishing
the Office of Inspector General at the Department of Labor.
Purpose(s):
This system is maintained in order to act as a management information
system for OIG projects, cases and personnel and to assist in the
accurate and timely maintenance of information.
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 suspension/debarment authorities. A record from a
system of records may be disclosed, as a routine use, to any federal
agency responsible for considering suspension/debarment actions where
such record would be germane to a determination of the propriety/
necessity for such an action.
D. 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.
E. Disclosure to contractor, grantee or other direct 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.
F. 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 inspection.
G. 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.
H. Disclosure to Office of Government Ethics record from a system of
records may be disclosed, as routine use, to the Office of Government
Ethics for any purpose consistent with that office's mission,
including the compilation of statistical data.
I. 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.
J. 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 a
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
inspection.
K. 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 obligations under the Freedom of Information Act or Privacy
Act.
L. Disclosure to a member of Congress making a request at the behest
of a party protected under the Privacy Act. A record from a system of
records may be disclosed, as a routine use, to a Member of Congress
who submits an inquiry on behalf of an individual when the Member of
Congress informs the appropriate agency official that the individual
to whom the record pertains has authorized the Member of Congress to
have access. In such cases, the member has no greater right to the
record than does the individual.
M. 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.
N. 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.
O. 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 inspection.
P. Disclosure in accordance with computer matching guidelines and/or
laws. 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 the applicable legal and administrative requirements for the
performance of a computer matching program or procedure.
Q. Disclosure to any court or adjudicative body during the course of
any litigation to which the agency is a party or has an interest. A
record may be disclosed during the course of a proceeding before a
court or other adjudicative or administrative body before which the
DOL or OIG is authorized to appear, or in the course of settlement
negotiations with opposing counsel, when-- (1) the DOL or OIG, or any
component thereof; or (2) any employee of the DOL in his or her
official capacity; or (3) any employee of the DOL in his or her
individual capacity, where the DOL or DOJ has agreed to or considering
representation of the employee; or (4) the United States or any of its
components is a party to litigation or has an interest in such
litigation, or the DOL or OIG will be affected by the litigation, and
the DOL or OIG determines that the use of such records is relevant and
necessary to the litigation; provided, however, that in each case the
DOL or OIG determines that disclosure of the records is a use of the
information that is compatible with the purpose for which the records
were collected.
R. Disclosure to DOL or another federal agency's legal representative,
to include the Department of Justice and other outside counsel, where
DOL is a party in litigation or has an interest in litigation. A
record may be disclosed to the Department of Justice or federal
agency's legal representative when-- (1) the DOL or OIG, or any
component thereof; or (2) any employee of the DOL or OIG in his or her
official capacity; or (3) any employee of the DOL or OIG in his or her
individual capacity, where the Department of Justice has agreed or is
considering a request to represent the employee; or (4) the United
States or any of its components is a party to litigation or has an
interest in such litigation, DOL or the OIG will be affected by the
litigation, and the DOL or OIG determines that the use of such records
by the Department of Justice is relevant and necessary to the
litigation; provided, however, that in each case, the DOL or OIG
determines that disclosure of the records to the Department of Justice
is a use of the information that is compatible with the purpose for
which the records were collected.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored on a variety of mediums including paper,
microfilm, magnetic tapes or discs, and optical digital data discs.
Retrievability:
Records are retrieved by computer using individual name(s) or project/
case name.
Safeguards:
Direct access is restricted to authorized staff members and
contractors of the OIG. Automated records can be accessed only through
use of confidential procedures and passwords by authorized personnel
in both OIG Headquarters and regional and field offices.
Retention and disposal:
Case files are cut off at the end of the Fiscal Year in which the case
is closed. File are destroyed after eight years after the cutoff date.
System manager(s) and address:
Assistant Inspector General for Investigations, Assistant Inspector
General for Audit and Assistant Inspector General for Labor
Racketeering, Assistant Inspector General, Office of Resource
Management and Legislative Assessment, Office of Inspector General,
200 Constitution Avenue, NW, Washington, DC 20210.
Record source categories:
Official personnel folders; other personnel documents, activity
supervisors, audit/investigation report standard forms.
System 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), and (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).
(c) Protective Services: In accordance with 5 U.S.C. 552a(k)(3)
investigatory material maintained in connection with assisting the
U.S. Secret Service to provide protective services to the President of
the United States or other individuals pursuant to 18 U.S.C. 3056 is
exempt from the following section of the Act: (c)(3), (d), (e)(1),
(e)(4)(G), (H), and (I), and (f). This material is exempt in order to
enable the OIG to continue its support of the Secret Service without
compromising the effectiveness of either agency's activities.
(d) Contract Investigations: In accordance with 5 U.S.C. 552a(k)(5),
investigatory material compiled solely for the purpose of determining
integrity, suitability, eligibility, or qualifications for a DOL
contract is exempt from the following sections of the Act: (c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I) and (f). This exemption was
obtained in order to protect from disclosure the identity of a
confidential source when an express promise of confidentiality has
been given in order to obtain information from sources who would
otherwise be unwilling to provide necessary information. See 29 CFR
70a.13(b)(2)(iv).

Mine Safety and Health Administration (MSHA)

DOL/MSHA-1

System name: Coal and Metal and Nonmetal Mine Accident and
Injury.

Security classification:
Unclassified.
System location:
Department of Labor, Mine Safety and Health Administration, Safety and
Health Technology Center, PO Box 25367, Denver, CO 80225-0367.
Categories of individuals covered by the system:
Individual workers in the coal and metal and nonmetal mining
industries.
Categories of records in the system:
These records contain accident, injury, and occupational illness data
which includes the mine name and identification number; date, time,
and place of occurrence; type and description of accident; and name
and social security number of injured miner. For 1978 and subsequent
years, only the last four digits of the social security number are in
the records.
Authority for maintenance of the system:
30 U.S.C. 813.
Purpose(s):
The collection of this data provides MSHA timely information for
making decisions on improving safety and health enforcement programs,
improving education and training efforts, and establishing priorities
in technical assistance activities in the mining industry.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The primary uses of the records are (a) to determine probable cause of
accidents, injuries, and illnesses and (b) to provide a statistical
analytic data base for allocation of MSHA and other resources to
reduce occupational injuries and illnesses. Disclosures outside the
Department of Labor may be made to a federal agency which has
requested information relevant or necessary to the research for Mine
Safety and Health its hiring or retention of an employee, or issuance
of a security clearance, license, contract, grant or other benefit.
Disclosures outside the Department of Labor may be made to a federal
agency which has requested information relevant or necessary to the
research for mine safety and health.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual--in file folders, Computer--magnetic media.
Retrievability:
Indexed and filed by mine identification number and date of accident
and injury occurrence or illness diagnosis. Accessed by mine
identification, date of accident and social security number of
individual(s) involved.
Safeguards:
Computer--In accordance with the National Bureau of Standards
publication ``Computer Security Guidelines for Implementing the
Privacy Act of 1974''. Manual--Locked file cabinets. During working
hours hard copy files are accessible only to authorized personnel.
Retention and disposal:
Source documents are retained for 5 years after year of record then
destroyed. Records in magnetic media are erased 5 years after year of
record.
System manager(s) and address:
Chief, Safety and Health Technology Center, PO Box 25367, Denver, CO
80225-0367.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Contesting record procedures:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Record source categories:
Information in these records is obtained from accident, injury,
illness and fatality reports submitted by mine operators.
Systems exempted from certain provisions of the act:
None.

DOL/MSHA-3

System name: Metal and Nonmetal Mine Safety and Health
Management Information System.

Security classification:
Unclassified.
System location:
(1) Office of the Administrator for Metal and Nonmetal Mine Safety and
Health, U.S. Department of Labor, 4015 Wilson Blvd., Arlington,
Virginia 22203.
(2) Substantially all Metal and Nonmetal Mine Safety and Health
Offices listed in the appendix. (See appendix for addresses.)
Categories of individuals covered by the system:
MSHA personnel who are covered by the Federal Mine Safety and Health
Act of 1977, Pub. L. 91-173 as amended by Pub. L. 95-164.
Categories of records in the system:
Contains records on metal and nonmetal mine safety and health
activities which include mine and mill locations, metal and nonmetal
mine inspection personnel time and activity, inspections, citations
and orders against operators, sampling data on personal exposure of
nonidentified miners and MSHA personnel to radiation, dust, noise and
other contaminants, and comprehensive health surveys on individual
operations.
Authority for maintenance of the system:
29 U.S.C. 668.
Purpose(s):
To determine workload, contaminant levels and schedule performance of
Mine inspection personnel.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The primary uses of the records are (a) to determine the workload,
work scheduling and performance of mine inspection personnel; (b) to
maintain records on violations of health and safety standards and
regulations; (c) to determine contaminant exposure level; (d) to
maintain employment data at metal and nonmetal mines, e.g, number of
workers, etc. Disclosure outside the Department of Labor may be made
(1) to the National Institute of Occupational Safety and Health and
the Environmental Protection Agency (see (c) above); (2) to state
agencies (see (b), (c) above); (3) to unions and company officials
(see (c) above); (4) to appropriate Federal, State, local or foreign
agencies responsible for investigating or prosecuting the violation of
or for enforcing or implementing a statute, rule, regulation, order or
license.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Computer--Information from source documents to remote disk storage to
host disk storage, with final storage on magnetic tape. Manual--8 x
10-1/2 inch reports and forms in standard file cabinets.
Retrievability:
Computerized and manual records are indexed by mine identification
number for operator and by Authorized Representative and Right of
Entry number for individuals.
Safeguards:
Computer--In accordance with the National Bureau of Standards
Publication Computer Security Guidelines for implementing the Privacy
Act of 1974. Manual--Locked file cabinets. During working hours
records are accessible only to authorized personnel.
Retention and disposal:
Computer tapes are updated weekly and monthly and retained for one
year. Source documents are retained in district offices for 3 years
and in archives for 10 years before being destroyed.
System manager(s) and address:
Administrative Officer, Metal and Nonmetal Mine Safety and Health,
4015 Wilson Blvd., Arlington, Virginia 22203.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Contesting record procedures:
Individuals requesting amendment to the record should contact the
system manager and furnish the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Record source categories:
MSHA inspection personnel and individual mine operators submit reports
and information in accordance with prescribed procedures.
Systems exempted from certain provisions of the act:
None.

DOL/MSHA-10

System name: Discrimination Investigations.

Security classification:
Unclassified.
System location:
Office of the Administrator for Coal Mine Safety and Health and Office
of the Administrator for Metal and Nonmetal Mine Safety and Health,
Mine Safety and Health Administration, U.S. Department of Labor, 4015
Wilson Boulevard, Arlington, Virginia 22203 and some of the Coal and
Metal and Nonmetal Mine Safety and Health Field offices (see appendix
for addresses).
Categories of individuals covered by the system:
Individuals alleged to have been discriminated against in violation of
the Federal Mine Safety and Health Act of 1977 and the Coal Mine
Health and Safety Act of 1969.
Categories of records in the system:
Name, address, telephone number, social security number, occupation,
place of employment, and other identifying data along with the type of
allegation. This material includes interviews and other data gathered
by the investigator.
Authority for maintenance of the system:
30 U.S.C. 815(c).
Purpose(s):
To determine validity and gravity of allegations and the amount of
civil penalty assessment.
Routine use of records maintained in the system, including categories of
users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, accessing, retaining, and disposing
of records in the system:
Storage:
In manila file folders and computerized tracking system.
Retrievability:
Filed by docket and status of case, complainant's name, indexed by
name of company mine, docket number, and complaint's name.
Safeguards:
Maintained in locked file cabinets and computer system.
Retention and disposal:
Retained for 3 years, then transferred to a Federal Records Center
where they are retained for 15 years, then destroyed.
System manager(s) and address:
Administrator for Coal Mine Safety Health, Ballston Towers No. 3, 4015
Wilson Boulevard, Arlington, Virginia 22203; Administrator for Metal
and Nonmetal Mine Safety and Health, same address as above.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Signature.
Contesting record procedures:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Signature.
Record source categories:
Individuals alleging discrimination and mine operators witnesses and
third party sources submit the information used in this system.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/MSHA-13

System name: Coal Mine Respirable Dust Program.

Security classification:
Unclassified.
System location:
Coal Mine Safety and Health, MSHA, U.S. Department of Labor, 4015
Wilson Blvd., Arlington, Virginia 22203, and substantially all Coal
Mine Safety and Health Offices listed in the appendix.
Categories of individuals covered by the system:
Individual coal miners for whom personal dust samples have been
submitted for analysis prior to 1981 mines with evidence of Coal
workers pneumoconiosis (black lung) as defined under 30 CFR and part
90 after 1981.
Categories of records in the system:
These records contain data concerning mine identification, mine
section, name of individual (pre 1981 date and part 90 miner data
after 1980) and occupation sampled, social security number (pre 1981
date and part 90 miner data after 1980), date of sample, concentration
of respirable dust contained in the person sampler, ton of coal
produced during sampling shift, and percentage of quartz contained in
the sample.
Authority for maintenance of the system:
30 U.S.C. 813(a), 842.
Purpose(s):
The primary purpose of the records is to determine compliance with
mandatory respirable dust standards.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
The primary use of the record is to determine compliance with
mandatory respirable dust standards.
Disclosures outside the Department of Labor may be made (1) to the
U.S. Department of Health and Human Services in accordance with
provisions of Pub. L. 91-173 as amended by Pub. L. 95-164; (2) to mine
operators to furnish information relevant to the respirable dust
program as it applies to their operations as required by the law; (3)
to appropriate Federal, State, local or foreign agency responsible for
investigating or prosecuting the violation of, or for research
purposes for enforcing or implementing, a statute, rule, regulation,
order or license; (4) to labor, industry and academic organizations to
monitor dust concentration and compliance trends.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Historical data on computer tape and current data on computer disk.
Retrievability:
Indexed by mine identification number, and social security number for
individual coal miners sampled prior to 1981 and for all Part 90
miners. This information is available on computer printouts.
Safeguards:
Access limited to authorized personnel in regard to computerized data.
Manual records for part 90 miners are stored in locked steel cabinets
with access being granted only to duly authorized personnel. Sample
results for other than part 90 miners are kept in regular file
cabinets. No other individual records are identifiable.
Retention and disposal:
Results of analysis are transmitted electronically to Denver
Information Systems Center (DISC). Computer tapes are maintained
indefinitely. Operator dust data cards maintained at the DISC for 2
years. Laboratory forms and dust data cards inspector sample are
maintained in the districts for 3 years.
System manager(s) and address:
Chief, Division of Health, Coal Mine Safety and Health, MSHA, 4015
Wilson Blvd., Arlington, Virginia 22203.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, for samples collected prior to 1980 and for part
90 miners after 1980 write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Contesting record procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Record source categories:
Mine operators submit the information used in this system via the dust
data card that accompanying each dust cassette (sample).
Systems exempted from certain provisions of the act:
None.

DOL/MSHA-15

System name: Health and Safety Training and Examination Records
including Qualification and Certification Data.

Security classification:
Unclassified.
System location:
Qualification and Certification Unit, Educational Policy and
Development, Mine Safety and Health Administration, PO Box 25367
(DFC), Denver, Colorado 80225.
Categories of individuals covered by the system:
Miners, mining industry personnel, and State and Federal employees who
have taken MSHA approved training courses. Also individuals certified
and qualified as required by regulations.
Categories of records in the system:
These records contain name, social security number of persons who have
taken training and examinations, mine ID number, training course,
instructor's name and other relevant data.
Authority for maintenance of the system:
30 U.S.C. 825, 877 (i) 952.
Purpose(s):
To record the qualifications and certifications of individuals
approved in accordance with title 30 CFR.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
The primary uses of the records are to (a) maintain records of
training and examination of individual miners, mining industry
personnel, and State and Federal employees who have taken MSHA
approved training courses; (b) issue qualification and/or
certification cards to individuals who become qualified or certified
under the law, as appropriate; (c) issue qualification cards to
instructors authorized to teach MSHA approved training courses; (d)
provide information to monitor and expand safety training programs;
(e) verify that individuals have completed required training; (f)
report training data in various formats for a variety of uses,
particularly, reporting to Congress, publication.
Disclosures outside of the Department of Labor may be made (1) to mine
operators requesting information to verify training required by law;
(2) to labor organizations requesting information on training status
of its members; (3) to mine operators' associations which require
training for policy and programming utilization; (4) to appropriate
Federal, State, local or foreign agencies responsible for
investigating or prosecuting the violation of, or for enforcing or
implementing, a statute, rule, regulation, order or license.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Input from data key tape to disk storage and magnetic tapes in the
computer system. Microfilm records are stored in the Qualification and
Certification Unit.
Retrievability:
Computerized records are indexed and accessed by mine identification
and individual social security numbers. Microfilm records are
retrieved on basis of cycle number, social security number, mine
identification numbers, date and course examination.
Safeguards:
Computer safeguards as described in the National Bureau of Standards
Publication ``Computer Security Guidelines for Implementing the
Privacy Act of 1974'' and procedures developed by MSHA under GSA
Circular E-34. Files are posted with the appropriate Privacy Act
warning. During working hours only authorized personnel have access to
files.
Retention and disposal:
Computer records are maintained on current, historical and magnetic
tape. Reporting outputs are discarded after they have served their
purpose. Microfilm records are maintained indefinitely for historical
purposes.
System manager(s) and address:
Chief, Qualification and Certification Unit, Educational Policy and
Development, P0 Box 25367 (DFC), Denver, Colorado 80225.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Social Security number
c. Signature
Contesting record procedures:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Social Security number
c. Signature
d. Type of Record to be amended
Record source categories:
Individuals on whom the records are maintained, instructors of the
training courses, mine operators, and MSHA and State personnel.
System exempted from certain provisions of the act:
None.

DOL/MSHA-18

System name: Coal Mine Safety and Health Management Information
System.

Security classification:
Unclassified.
System location:
(1) Office of the Administrator for Coal Mine Safety and Health, U.S.
Department of Labor, 4015 Wilson Boulevard, Arlington, Virginia 22203;
(2) substantially all Coal Mine Safety and Health offices listed in
the appendix.
Categories of individuals covered by the system:
Coal Mine Safety and Health enforcement and training personnel and key
officials at surface and underground installations.
Categories of records in the system:
Information on mine status and characteristics; key mine officials;
inspections; violations; Coal Mine Safety and Health enforcement
personnel; and time utilization for Coal Mine Safety and Health
enforcement and training personnel.
Authority for maintenance of the system:
29 U.S.C. 668.
Purpose(s):
To assist managers, inspectors, and specialists with the enforcement
of 30 CFR by providing information for making decisions, monitoring
and controlling enforcement, and supporting activities within Coal
Mine Safety and Health.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
To maintain information on (a) status of mining operations; (b)
identification of key mine officials; (c) inspections of mines; (d)
citations and orders issued for violation of the Mine Act and 30 CFR;
and (e) time utilization for Coal Mine Safety and Health enforcement
and training personnel. Disclosure outside the Department of Labor may
be made to appropriate Federal, State, local or foreign agencies
responsible for investigating or prosecuting the violation of, or for
enforcing or implementing, a statute, rule, regulation, order or
license.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files: Magnetic tape and disk units.
Retention and disposition:
Source documents are destroyed when no longer needed. Inspection
reports and related documents are destroyed after 10 years.
Retrievability:
By mine identification number for key mine officials; by Authorized
Representative number, organization number, inspection event number,
and violation number for enforcement personnel; and Right of Entry
number and organization number for training personnel.
Safeguards:
Access limited to authorized personnel in regard to computerized data.
Manual records on Coal Mine Safety and Health enforcement and training
personnel are kept in locked file cabinets. Manual records on mine
status and characteristics, key mine officials, inspections,
violations, and time utilization for Coal Mine Safety and Health
enforcement and training personnel are kept in regular file cabinets.
System manager(s) and address:
Administrator for Coal Mine Safety and Health, MSHA, Department of
Labor, 4015 Wilson Boulevard, Arlington, Virginia 22203, Administrator
of Metal Nonmetal Safety and Health, MSHA, Department of Labor, 4015
Wilson Boulevard, Arlington, Virginia 22203.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Contesting record procedures:
Individuals requesting amendment to the record should contact the
Systems Manager and furnish the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Record source categories:
Coal Mine Safety and Health personnel submit inspection, time
utilization, violation and other enforcement information in accordance
with prescribed procedures.
Systems exempted from certain provisions of the act:
None.

DOL/MSHA-19

System name: Employee Conduct Investigations.

Security classification:
Unclassified.
System location:
Mine Safety and Health Administration, Administration and Management,
U.S. Department of Labor, 4015 Wilson Blvd., Arlington, Virginia
22203.
Categories of individuals covered by the system:
Any MSHA employee against whom any allegation of serious misconduct,
illegal acts, conflict of interest, etc. has been made.
Categories of records in the system:
Name, organization, allegation and other pertinent information
relating to the individual involved. The investigative report
associated with the case including interviews and other data.
Authority for maintenance of the system:
5 U.S.C. 301, 7301, Executive Order 11222.
Purpose(s):
The primary use of the records is to determine facts and circumstances
relative to allegations.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual--in manila folders stored in secured file cabinets.
Retrievability:
By name or by file number.
Safeguards:
Stored in GSA approved 3-way combination safe.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Director of Administration and Management, MSHA, 4015 Wilson Blvd.
Arlington, Virginia 22203.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requestor seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Signature.
Contesting record procedures:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Signature.
Record source categories:
Information in these records is obtained from employee conduct
investigation records.
Systems exempted from certain provision of the Act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/MSHA-20

System name: Civil/Criminal Investigations.

Security classification:
Unclassified.
System location:
Office of the Administrator for Coal Mine Safety and Health and Office
of the Administrator for Metal and Nonmetal Mine Safety and Health,
Mine Safety and Health Administration, U.S. Department of Labor, 4015
Wilson Boulevard, Arlington, Virginia 22203 and some of the Coal and
Metal and Nonmetal Mine Safety and Health Field offices (see appendix
for addresses).
Categories of individuals covered by the system:
Individuals who allegedly, knowingly or willfully committed violations
of the Federal Mine Safety and Health Act of 1977 and the Coal Mine
Health and Safety Act of 1969; individuals who have been criminally
prosecuted for such violations; and individuals who have been civilly
assessed a monetary penalty for violations of the 1977 mine Act or
1969 Coal Act.
Categories of records in the system:
Name, address, telephone number, social security number, occupation,
place of employment, and other identifying data along with the type of
allegation. Interviews and other data gathered by the investigator.
Authority for maintenance of the system:
30 U.S.C. 815(c).
Purpose(s):
To determine validity and gravity of allegations and the amount of
civil penalty assessment or referral for possible criminal
prosecution.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement of this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, accessing, retaining, and disposing
of records in the system:
Storage:
In manila file folders and computerized tracking system.
Retrievability:
By docket and status of case, indexed by name of company and mine,
docket number, and individual's name.
Safeguards:
Maintained in locked file cabinets and passworded computer system.
Retention and disposal:
Retained for 3 years, then transferred to a Federal Records Center
where they are retained for 15 years, then destroyed.
System manager(s) and address:
Administrator for Coal Mine Safety Health, Ballston Towers No. 3, 4015
Wilson Boulevard, Arlington, Virginia 22203; Administrator for Metal
and Nonmetal Mine Safety and Health, same address as above.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Contesting record procedures:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
Record source categories:
Miners and mine operators, and other individuals. Data gathered by
the investigator.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.
In accordance with 5 U.S.C. 552a(j)(2), investigatory material in this
system of records compiled for criminal law enforcement purposes is
exempt from subsections (c)(3), (c)(4), (d)(1), (d)(2), (d)(3),
(d)(4), (e)(1), (e)(2), (e)(3), (e)(4)(G), (e)(4)(H), (e)(4)(I),
(e)(5), (e)(8), (f), of 5 U.S.C. 552a.

Occupational Safety and Health Administration (OSHA)

DOL/OSHA-1

System name: Discrimination Complaint File.

Security classification:
Unclassified.
System location:
Regional Offices of the Occupational Safety and Health Administration;
see appendix 1 for addresses.
Categories of individuals covered by the system:
Individuals who have filed complaints alleging discrimination against
them by their employers for exercising safety and health rights.
Complaints are filed pursuant to section 11(c) of the Occupational
Safety and Health Act (29 U.S.C. 651-678), section 405 of the Surface
Transportation Assistance Act (49 U.S.C. 2301 et seq), section 211 of
the Asbestos Hazard Emergency Response Act (15 U.S.C. 2601) or section
of the International Safe Container Act (46 U.S.C. 1501 et seq.)
Categories of records in the system:
Name, address, telephone number, social security number, occupation,
place of employment, and other identifying data along with the type of
allegation. This material includes interviews and other data gathered
by the investigator.
Authority for maintenance of the system:
Section 11(c) of the Occupational Safety and Health Act (29 U.S.C.
651-678) section 405 of the Surface Transportation Assistance Act (49
U.S.C. 2301 et seq), section 211 of the Asbestos Hazard Emergency
Response Act (15 U.S.C. 2601 et seq.), and section 7 of the
International Safe Container Act (46 U.S.C. 1501 et seq.)
Purpose(s):
The records are used to support investigative materials discovered or
created during investigation of violations of section 11(c) of the
Occupational Safety and Health Act, section 405 of the Surface
Transportation Assistance Act, section 211 of the Asbestos Hazard
Emergency Response Act and section 7 of the International Safe
Container Act. The records also are used as the basis of statistical
reports on such activity by regional administrators, investigators,
and their supervisors in the Occupational Safety and Health
Administration.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Manual files.
Retrievability:
By complainant's name or case identification number.
Safeguards:
Locked storage equipment and personnel screening.
Retention and disposal:
Destroy five years after case is closed.
System manager(s) and address:
Regional administrator at address in Appendix 1 where system is
located.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above.
Record access procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
Individual complaints filed alleging discrimination by employers
against employees who have exercised job safety and health
responsibilities; information compiled in connection with
investigations, and other data gathered by investigators.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/OSHA-4

System name: Advisory Committee Candidates' Biographies.

Security classification:
Unclassified.
System location:
Division of Consumer Affairs, Office of Information & Consumer
Affairs, Occupational Safety and Health Administration, Room N-3647,
200 Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who have been nominated for membership on an OSHA ad hoc
advisory committee, or for membership to the statutorily established
National Advisory Committee on Occupational Safety and Health (NACOSH)
and Advisory Committee on Construction Safety and Health (ACCSH).
Categories of records in the system:
Nomination letters with attachments such as resumes, biographical
sketches, curriculum vitae, etc.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678) and the
Federal Advisory Committee Act (5 U.S.C. app).
Purpose(s):
These records are established as individuals are recommended for
membership to an advisory committee. The records consist of
nominations and include detailed resumes of the professional
background and work history of each nominee. They are used by the
Assistant Secretary of Labor to make selections and recommendations to
the Secretary of Labor for appointment.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Manual files.
Retrievability:
By nominee's name.
Safeguards:
Locked storage equipment and personnel screening.
Retention and disposal:
a. Advisory committee members: Permanent transfer to National Archives
three years after expiration of term of service.
b. Advisory committee nominees not selected to serve on an advisory
committee: Destroy when five years old.
System manager and address:
Director, Office of Information & Consumer Affairs, Room N-3647, OSHA,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above.
Record access procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
Nominations submitted by various individuals and organizations in the
private sector and by government agencies.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OSHA-6

System name: Program Activity File.

Security classification:
Unclassified.
System location:
Office of Management Data Systems, Occupational Safety and Health
Administration, Room N-3661, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Compliance Safety and Health Officers of the Occupational Safety and
Health Administration.
Categories of records in the system:
Time sheets/logs documenting compliance safety and health officers'
activities covering inspection, monitoring and other compliance-
related data.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
Purpose(s):
These records are maintained to document the amounts of time spent by
OSHA compliance safety and health officers on their various
compliance-related activities. The data compiled from the time sheets
are used to analyze program activity by producing such activity
measures as time spent on each of various types of compliance-related
activities; the data are used by key agency officials to assist in
measuring the effectiveness of OSHA's enforcement activities.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Magnetic media.
Retrievability:
By compliance safety and health officer identifying number or by
inspection/investigation number.
Safeguards:
Computer file accessible only through password system available only
to authorized personnel.
Retention and disposal:
Data files maintained indefinitely.
System manager and address:
Director, Office of Management Data Systems, Occupational Safety and
Health Administration, Room N-3661, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above.
Record access procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
Compliance safety and health officers'/investigators' time logs.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OSHA-9

System name: OSHA Compliance Safety and Health Officer Training
Record.

Security classification:
Unclassified.
System location:
Regional offices of the Occupational Safety and Health Administration;
see appendix 1 for addresses.
Categories of individuals covered by the system:
Compliance safety and health officers of the Occupational Safety and
Health Administration.
Categories of records in the system:
Records reflecting training courses and programs completed by
compliance safety and health officers of the Occupational Safety and
Health Administration.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
Purpose(s):
These records are used to determine which compliance safety and health
officers have completed required training and which need added
training. They are used to analyze individual training needs and to
assess overall needs for training in upcoming periods; used by
Regional Administrators for planning and budgetary purposes.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Manual files.
Retrievability:
By name of individual compliance safety and health officer.
Safeguards:
Locked file cabinets.
Retention and disposal:
Upon termination of employment of a compliance safety and health
officer, or upon transfer.
System manager(s) and address:
Regional administrator at address in appendix 1 where system is
located.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above.
Record access procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
Office of Personnel Management official personnel folders;
certificates of training; individuals concerned.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OSHA-10

System name: OSHA Train-the-Trainer Outreach Program.

Security classification:
Unclassified.
System location:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
Categories of individuals covered by the system:
Students who have satisfactorily completed courses 500, 501, 502 and
503 and who, as a result of taking the courses, have elected to
participate as an outreach instructor in the Outreach Program conduct
30 an 10 hour versions of the courses for their employing organization
or other interested groups; and students who have received instruction
from the OSHA certified outreach instructors.
Categories of records in the system:
Instructor's name, address, phone number, date certified, and date re-
certified; class rosters containing names of students the instructor
has taught, dates taught and the number of persons supervised by
student, a course content outline, and summary of the student
evaluation of the training program.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
Purpose(s):
To maintain a record of individuals who are qualified to present
instruction on occupational safety and health matters.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records are used by staff on the Office of Training Education
determine when individuals are in need of updated instruction to
maintain their qualifications as certified instructors; by Office of
Training and Education staff to select and provide names of qualified
individuals to fulfill requests from employers or their
representatives for instructors qualified to teach occupational safety
and health topics; and to provide certified instructors with
appropriate safety and health instructional materials when the
materials become available.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual and ADP files.
Retrievability:
By name of OSHA certified instructor (manual); by name of OSHA
certified instructor, date certified, state of residence (ADP).
Safeguards:
Locked file cabinets for manual files and computer discs locked in
file cabinets; password system for authorized persons for ADP files.
Retention and disposal:
Dispose of when no longer needed for administrative purposes.
System manager and address:
Chief, Division of Training and Educational Programs, Occupational
Safety and Health Administration, U.S. Department of Labor, 1555 Times
Drive, Des Plaines, Illinois 60018.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above. Name, address, date certified, instructor's
name and date instructed will be provided.
Record access procedures:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedures:
Individuals wishing to request amendment of any non-exempt records
must contact the system manager at the system location listed above.
Record source categories:
The certified instructors and students.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OSHA-12

System name: OSHA Employee Conduct Investigations.

Security classification:
Unclassified.
System location:
Directorate heads, separate Office heads, Regional Administrators,
Director Cincinnati Laboratory, Director Salt Lake City Laboratory, of
the Occupational Safety and Health Administration (OSHA).
Categories of individuals covered by the system:
Employees who are subject of an investigation at the headquarters
offices of the Occupational Safety and Health Administration in
Washington, DC, in the ten regional headquarters, or in the
laboratories of the Occupational Safety and Health Administration in
Cincinnati, Ohio or Salt Lake City, Utah.
Categories of records in the system:
Name, organization, and other information relating to the individual
involved. The record also contains investigative report(s) associated
with the case, including interviews and other information gathered.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are maintained to ensure that all appropriate records of
problems, misconduct, illegal acts, conflicts of interest, etc., are
retained.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in file folders in metal file cabinets.
Retrievability:
By name or case file number.
Safeguards:
The files are maintained in locked file cabinets with access available
only to those with a need to know the information to perform their
officially assigned duties.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Directorate heads, separate Office heads, Regional Administrators,
Director Cincinnati Laboratory, Director Salt Lake City Laboratory, of
the Occupational Safety and Health Administration at addresses listed
in appendix 1.
Notification procedure:
Inquiries should be mailed to system managers listed above at
addresses listed in appendix 1.
Record access procedures:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system locations listed in appendix
1.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the location listed in appendix
1.
Record source categories:
Hotline complaints received through the Office of the Inspector
General, or through the General Accounting Office; incident reports
submitted by other employees or members of the public; and other
investigative reports.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/OSHA-13

System name: OSHA Office of Training and Education Automated
Registration System.

Security classification:
Unclassified.
System location:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
Categories of individuals covered by the system:
Students from the U.S. Department of Labor, state governments, other
Federal agencies and from the private sector. These students are
primarily compliance safety and health officers, safety specialists,
safety engineers, safety officers, industrial hygienists, instructors,
loss control specialists, and others in occupations related to
occupational safety and health.
Categories of records in the system:
Each student's file contains the following information: Student's
name, office name, office address, office telephone number, course
enrollment history, tuition status, student employment origin,
cumulative record of student's continuing educational units (CEU's),
and certification maintenance points (CMP's) issued by this office
from fiscal year 1989 to the present. Reports are prepared from these
records that identify by individual or group of individuals, the
students first and last name, office name, and status of class(es)
enrollment (i.e., enrolled, waiting, canceled, or completed). This
information is reported by region, state, area office, or course.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678).
Purpose(s):
To maintain needed enrollment information for proper management of
course schedules, curricula and determining individual training needs.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Records are used by managers and Office of Training Education staff to
develop class rosters, student enrollment history, course/class
enrollment changes on a weekly basis, training verification,
cancellation notices, confirmation letters and certificates of
completion for individual students. Reports are used by Office of
Training and Education staff, and OSHA National Office and Regional
office staff for managing the registration of students in courses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records:
Storage:
Magnetic media and manual files.
Retrievability:
The operators who operate the system can access information by
student's name or by course number. The system administrator can
access by student's name, course number, date of enrollment,
employment origin, company name, address and phone number.
Safeguards:
Manual files are stored in locked file cabinets. The hard disk in the
computer is secured by the use of a system lock to which only
authorized staff have access. Backup floppy disks are stored in locked
file cabinets. Access to all manual and ADP files is restricted to
authorized personnel only.
Retention and disposal:
Data for the current year and two preceding years will be resident on
the computer hard disk. Data pre-dating this time will be backed up on
floppy disks and stores in a locked cabinet. In no case will data
predate fiscal year 1989. Files will be destroyed when no longer of
any administrative use.
System manager and address:
Administrative officer, Office of Training and Education, at system
location listed above.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above.
Record access procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
The student's registration information for students from Federal OSHA
is the Form DL-101. Registration information for other students is
obtained by telephone or by letter.
Systems exempted from certain provisions of the act:
Not applicable.

DOL/OSHA-14

System name: Office of Training and Education Computer-based
Acquisition/ Financial Records System.

Security classification:
Unclassified.
System location:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
Categories of individuals covered by the system:
Staff of the Office of Training and Education, including the Training
Institute. Individuals doing business with the Office of Training and
Education under terms of a Government purchase order, or other
contractual document.
Categories of records in the system:
Records include necessary data to prepare a procurement requisition
including: The requisition number; the name of the bureau making the
procurement request; the specific page number of the requisition; the
date of the requisition; the accounting code; the delivery requirement
address; the official's name, title, and phone number for information
concerning the procurement; an identification if the procurement is
for instructional services, or for other supplies/services, if for
instructional services--the course number and location of the course;
a specific ordering item number and/or stock number; a narrative
description of the item or service; the quantity requested; the unit
price; the unit issue; the total dollar amount; the narrative
justification for making the request; the name, address, and phone
number of the suggested vendor; the Office division making the
request; and the initials of the staff person(s) making the request.
This system of records also contains the necessary data for
maintaining a general ledger of accounts. Information will be taken
from the following obligating documents: Blanket travel
authorizations, miscellaneous obligation records, purchase orders,
training authorizations, printing and binding authorizations, printing
and reproduction authorizations, GSA job orders, reimbursement
vouchers, specific trip travel authorizations, interagency and state
agreements, and permanent change of station travel authorizations.
Information will also be taken from expenditure and claim documents,
such as employee travel vouchers, vendor invoices, and other documents
requiring payment or showing a billing of cost. Data elements in the
automated general ledger of accounts will include: The requisition
number; the object class number; the dollar amount allocated for a
draw down fund; the date of the transaction; an individual's last
name; the name of the division the transaction involves; the
obligating document number; an identification if the transaction is a
draw down account; the accounting code; the delivery date; the vendor
name; the dollar amount of the transaction; the invoice number; the
date payment is made; the dollar amount balance for a draw down
account; the balance of dollars available in an object class fund; and
a description of the transaction.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C 651-678).
Purpose(s):
To provide an acquisition and financial management system which will
improve the acquisition process; and provide an efficient means for
the accurate recording, tracking, reporting, and control of Office
funds.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
ADP files.
Retrievability:
By name of vendor, by name of staff person making a procurement
request, by individual travel authorization number, by individual last
name, and by any of the data elements identified in Categories of
Records in the System section.
Safeguards:
Computer disks locked in file cabinets; password system for authorized
persons only.
Retention and disposal:
Dispose of when no longer needed for administrative purposes.
System manager and address:
Chief, Division of Administration and Training Information,
Occupational Safety and Health Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines, Illinois 60018.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the system
location listed above.
Record access procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the system location listed above.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
Administrative files and procurement files.
System exempted from certain provisions of the act:
Not applicable.

DOL/OSHA-15

System name: Office of Training and Education Resource Center
Circulation Project.

Security classification:
Unclassified.
System location:
Office of Training and Education, Occupational Safety and Health
Administration, U.S. Department of Labor, 1555 Times Drive, Des
Plaines, Illinois 60018.
Categories of individuals covered by the system:
Individuals who have become qualified to borrow from the Resource
Center Collection of occupational safety and health materials. These
individuals would include OSHA National, Regional, and Area Office
employees, employees of State Plan States, New Directions grantees,
Consultation Program employees, Voluntary Protection Site employees,
and OSHA certified instructors. Qualified borrowers have a current
application form on file at the system location.
Categories of records in the system:
Records contain borrower name, company name and address or home
address, telephone number, application form number, application date,
borrower category, audiovisual program title and accession number,
audiovisual copyright date, transaction identification number, and
transaction date.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678) and 5
U.S.C. 301.
Purpose(s):
These records are maintained to facilitate the performance of the
Resource Center Circulation Project which loans occupational safety
and health materials to qualified borrowers, for verification of
borrower status and authorization to borrow, to track borrower
requests for materials through processing and disposition, to maintain
material availability and usage information, to track status and
history of overdue materials, to maintain records on lost and damaged
materials.
Data collected will be analyzed to develop more efficient program
planning and management.
These records are used by the Office of Training and Education,
Division of Administration and Training Information staff to verify
that individuals requesting materials from the Resource Center
Collection are qualified borrowers, to develop statistics and reports
to determine if further/continued funding of the project is justified,
to determine which occupational safety and health topics are of most
interest to borrowers and collect other materials on these topics, to
determine which material format is the most useful to borrowers and
collect materials in these formats when possible, and to periodically
provide qualified borrowers with updated Resource Center Collection
catalogs.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files for signed borrower agreement forms, borrower request
forms, and program booking forms are maintained in file cabinets. ADP
files for all other records.
Retrievability:
By name of borrower for signed borrower agreement forms (manual), by
any of the data elements in Categories of Records in the System
section (ADP).
Safeguards:
Manual files and computer disks are locked in file cabinets. Password
system access to authorized personnel for ADP files.
Retention and disposal:
Dispose of when no longer needed for administrative purposes.
System manager(s) and address:
Chief, Division of Administration and Training Information,
Occupational Safety and Health Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines, Illinois 60018.
Notification procedure:
Any individual who wishes to be notified if this system of records
contains a record pertaining to them may apply in writing to the
system manager at the above address.
Record access procedure:
Any individual wishing to gain access to any non-exempt records
pertaining to them, may apply in writing to the system manager at the
system address listed above.
Contesting record procedures:
Individuals wishing to request modification or deletion to any non-
exempt records pertaining to them, may apply in writing to the system
manager at the system address listed above.
Record source categories:
Information contained in this system is obtained from individuals who
become qualified borrowers by completing a Borrower's Agreement Form
which contains data which is entered into the record system.
Information pertaining to Resource Center materials are taken from
Resource Center files.
System exempted from certain provisions of the act:
Not applicable.

Pension and Welfare Benefits Administration through Veterans
Employment and Training

Pension and Welfare Benefits Administration (PWBA)

DOL/PWBA-1

System name: Employee Retirement Income Security Act (ERISA)
Advisory Council on Employee Welfare and Pension Benefit Plans.

Security classification:
None.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5766,
Washington, DC 20210.
Categories of individuals covered by the system:
Private persons who are members of or have been recommended for
appointment to the Advisory Council on Employee Welfare and Pension
Plans.
Categories of records in the system:
Biographical, professional and personal data contained in background
files on members and prospective members.
Authority for maintenance of the system:
29 U.S.C. 1135, et seq.
Purpose(s):
To maintain a record of all members of and nominees for the Advisory
Council on Employee Welfare and Pension Benefit Plans. These records
are a source of professional and personal data and other background
information.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Indexed alphabetically by subject's name.
Safeguards:
Files are maintained by Executive Secretary of the Advisory Council
and are available or accessible only to limited Executive Staff
members of the Office of the Assistant Secretary.
Retention and disposal:
Break file annually. Transfer to Federal Records Center when three
years old. Transfer to National Archives when 10 years old.
System manager(s) and address:
Assistant Secretary for Pension and Welfare Benefits, U.S. Department
of Labor, 200 Constitution Avenue, NW, Room N-5766, Washington, DC
20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above. Individuals must furnish their full names for their records to
be located and identified.
Record access procedures:
Same as Notification procedure. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (5 CFR 297.201 and 297.203).
Contesting record procedures:
Same as Notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
The individual concerned and groups or entities making recommendations
for Council membership.
Systems exempted from certain provisions of the act:
None.

DOL/PWBA-2

System name: Office of Enforcement Index Cards and Investigation
Files.

Security classification:
None.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5702,
Washington, DC 20210 and all PWBA field offices.
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
involved in investigations and enforcement actions.
Categories of records in the system:
Information including plan name, plan administrator's name, service
provider name, trustees and plan participant or beneficiary's name.
Authority for maintenance of the system:
5 U.S.C. 1135, et seq.
Purpose(s):
This index system is used to access case files and correspondence
files of plan administrators, trustees, and those individuals
providing advice or services to the plan and other individuals
involved in investigations and enforcement actions instituted by the
Department of Labor (DOL) under the Employee Retirement Income
Security Act of 1974 (ERISA). The investigative files are used in the
prosecution of violations of law, whether civil, criminal or
regulatory in nature.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
A record from this system of records may be disclosed to a Federal,
State, local or foreign governmental authority, in response to its
request in connection with the hiring or retention of an employee, in
the issuance of a security clearance, the reporting of an
investigation of an employee, the letting of a contract, or the
issuance of a license, grant or benefit by the requesting agency to
the extent that the information is relevant and necessary to the
requesting agency's decision on such matters.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records in this system are maintained on 3 x 5 index cards and
manual case files.
Retrievability:
Records are retrieved by name of plan, participant or beneficiary's
name, service provider name, and/or trustee name, case number, plan
EIN/PN, service provider and/or trustee EIN. Index cards are filed
alphabetically.
Safeguards:
Locked storage equipment. Direct access to and use of these records is
restricted to authorized personnel in the Office of Enforcement and
PWBA field offices.
Retention and disposal:
Investigative case files are retained in the office for one year upon
completion of litigation and/or actions based thereon, transferred to
the Federal Records Center for seven years, then destroyed. Index
cards are retained permanently.
System manager(s) and address:
Director of Enforcement, Pension and Welfare Benefits Administration,
Department of Labor, 200 Constitution Avenue, NW, Room N-5702,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above. Individuals should furnish their full name, address and
employee benefit plan association, and identify the employee benefit
plan by name, address and EIN (if known).
Record access procedures:
Specific materials in this system have been exempted from Privacy Act
provisions under 5 U.S.C. 552a (j) and (k). To the extent that this
system of records is not subject to exemption, it is subject to access
and contest. A determination as to exemption shall be made at the time
a request for access is received. Access procedures are the same as
Notification procedure above. Individuals requesting access must also
comply with Privacy Act regulations on verification of identity (29
CFR 70a.4 - 70a.6.).
Contesting record procedures:
Same as Notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the system manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment the information sought.
Record source categories:
Individual complaints, witnesses, interviews conducted during
investigations on cases opened in the Office of Enforcement or in any
of the field offices of PWBA.
Systems exempted from certain provisions of the act:
a. Criminal Law Enforcement: In accordance with subsection (j)(2) of
the Privacy Act, information maintained for criminal law enforcement
purposes in the files of the Office of Enforcement (OE) consisting of
index cards and investigatory files is exempted from all provisions
contained in 5 U.S.C. 552a, except those requirements set forth in
subsections (b), (c) (1) and (2), (e)(4) (A) through (F),
(e)(6),(7),(9),(10), and (11) and (i) of the Act.
b. Other Law Enforcement: In accordance with 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);
(e)(1) ; (e)(4)(G), (H), and (I); and (f) of 5 U.S.C. 552a, provided
however, that if any individual is denied any right, privilege, or
benefit that he or she would otherwise be entitled to by Federal law,
or for which he or she would otherwise be eligible, as a result of the
maintenance of these records, such material shall be provided to the
individual, except to the extent that the disclosure of such material
would reveal the identity of a source who furnished information to the
Government under an express promise that the identity of the source
would be held in confidence, or prior to January 1, 1975, under an
implied promise that the identity of the source would be held in
confidence.

DOL/PWBA-3

System name: ERISA Coverage Correspondence Files.

Security classification:
None.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5646,
Washington, DC 20210.
Categories of individuals covered by the system:
The general public.
Categories of records in the system:
Letters from the general public relating to certain aspects of Title I
of ERISA, the Department's replies thereto, advisory opinions and
related internal memoranda, including notes pertaining to meetings and
telephone calls.
Authority for the maintenance of the system:
5 U.S.C. 1135, et seq.
Purpose(s):
These records are maintained to take action on or to respond to a
complaint or an inquiry concerning certain aspects of Title 1 of
ERISA.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files and computer storage.
Retrievability:
Manual files are indexed alphabetically, by name of correspondent.
Data is entered into computer system by a control number.
Safeguards:
Access to these records is limited to authorized PWBA staff. Computer
system is password protected and accessible only to personnel creating
the database.
Retention and disposal:
Manual records are maintained for four years then transferred to the
Federal Records Center for five additional years, then destroyed.
Computer files will be retained until incorporated into PWBA records
disposition schedule.
System manager(s) and address:
Director of Regulations and Interpretations, Pension and Welfare
Benefits Administration, U.S. Department of Labor, 200 Constitution
Avenue, NW., Room N-5671, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above. All requests must be in writing and mailed, or presented in
person during the Department's normal working hours.
Record access procedures:
Same as Notification procedure. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (5 CFR 297.201 and 297.203).
Contesting record procedures:
Same as Notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the system manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Correspondence from individuals and responses thereto.
Systems exempted from certain provisions of the act:
None.

DOL/PWBA-4

System name: Inquiry Correspondence Files.

Security classification:
None.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5658,
Washington, DC 20210.
Categories of individuals covered by the system:
Members of Congress, Senators, and private citizens.
Categories of records in the system:
General and congressional inquiries and correspondence regarding all
aspects of pension and welfare benefit plans and the status of
individuals under these plans.
Authority for the maintenance of the system:
29 U.S.C. 1135 et seq.
Purpose(s):
These records are used to take action on or respond to inquiries and
responses from members of Congress, Senators, and private citizens.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file cabinets and on computer system.
Retrievability:
Inquiries and responses from Members of Congress, Senators and private
citizens are indexed alphabetically by last name.
Safeguards:
Manual files are maintained in file cabinets with access limited to
staff of the Division of Technical Assistance and Inquiries. Computer
system is password protected and limited to use by authorized
personnel.
Retention and disposal:
Manual records are maintained for two years, then destroyed. Computer
files are destroyed when three years old or when no longer needed for
reference.
System manager(s) and address:
Director of Program Services, Pension and Welfare Benefits
Administration, U.S. Department of Labor, Room N-5670, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above. Individuals must furnish their full names for their records to
be located and identified.
Record access procedures:
Same as Notification procedure. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (5 CFR 297.201 and 297.03).
Contesting record procedures:
Same as Notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Congressional and public correspondence.
Systems exempted from certain provisions of the act:
None.

DOL/PWBA-5

System name: Public Disclosure Request Tracking System.

Security classification:
None.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5507,
Washington, DC 20210.
Categories of individuals covered by the system:
Plan participants, general public, private organizations. State or
local government.
Categories of records in the system:
Data regarding the request for information and/or reports regarding
employee benefit plans or benefits. Data includes individual's name,
street address, city, state, zip code, and telephone number.
Authority for the maintenance of the system:
5 U.S.C. 1135 et seq.
Purpose(s):
These records are maintained to process requests made for information
and/or reports in reference to pension and welfare benefit plans.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
These records are used by PWBA managers to document and process
requests for information and to compile statistical reports regarding
such requests for management information purposes.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files and computer storage.
Retrievability:
Requests are sorted numerically by public disclosure request number.
Records on this system are retrieved by computer and manually using
the name of requestor, public disclosure request number, or EIN/PN
number.
Safeguards:
Manual files are maintained in file cabinets with access limited to
authorized personnel. Computer system is password protected and
accessible only to personnel creating and maintaining the database.
Retention and disposal:
Manual records are maintained for two years, then destroyed. Computer
files will be retained until incorporated in a PWBA records
disposition schedule.
System manager(s) and address:
Director of Program Services, Pension and Welfare Benefits
Administration, U.S. Department of Labor, Room N-5670, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above. Individuals must furnish their full names for their records to
be located and identified.
Record access procedures:
Same as Notification procedure. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records (5 CFR 297.201 and 297.03).
Contesting record procedures:
Same as Notification procedure above except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the System Manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Sources of information contained in this system are the individual
requests for disclosure of reports and/or information from the general
public.
Systems exempted from certain provisions of the act:
None.

DOL/PWBA-6

System name: PWBA Debt Collection/Management System.

Security classification:
None.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room N-5711,
Washington, DC 20210
Categories of individuals covered by the system:
Plan Administrators and fiduciaries.
Categories of records in the system:
Records containing data regarding the assessment of fines/penalties
under provisions of ERISA sections 502(c)(2), 502(i) and 502(l). Data
includes individuals (or trade) name, street address, city, state, zip
code, telephone number, taxpayer identification number, and
transaction information (e.g. correspondence, debt status and payment
records).
Authority for maintenance of the system:
31 U.S.C. 3711(f) and 29 CFR part 20.
Purpose(s):
Records are used for maintaining an ongoing Debt Collection/Management
Program requiring tracking and accounting for assessed fines/
penalties, determination of collection status and assignment of
delinquent debts to private collection agencies.
Routine uses of records maintained in the system, including categories
of users and purposes of such uses:
Records may be disclosed to private collection agency in order for
them to collect debts subject to this program.
Disclosure to consumer reporting agencies:
Records may be disclosed for delinquent accounts.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records:
Storage:
Manual files and computer storage.
Retrievability:
Debt Collection/Management data is sorted numerically by assigned case
number. Records in this system are retrieved by computer and manually
using the PWBA-assigned case number and a cross-reference debtor
taxpayer identification number.
Safeguards:
Manual files are maintained in file cabinets with access limited to
authorized personnel. Computer system is accessible, through password,
only to personnel creating and maintaining the database.
Retention and disposal:
Both, manual and automated records are maintained for two years after
the case is closed or until expiration of applicable statute of
limitations, whichever occurs first.
System manager and address:
Administrative Officer, Pension and Welfare Benefits Administration,
U.S. Department of Labor, Room N-5711, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager indicated
above. Individuals must furnish their full name and taxpayer
identification number for their records to be located and identified.
Record access procedure:
See Notification procedure above. Individuals requesting access must
also comply with Privacy Act regulations on verification of identity
and access to records. (See 29 CFR part 70a.)
Contesting record procedure:
Same as Notification procedure above, except individuals desiring to
contest or amend information maintained in the system should direct
their written request to the system manager listed above, and state
clearly and concisely what information is being contested, the reasons
for contesting it, and the proposed amendment to the information
sought.
Record source categories:
Sources of information contained in this system are from records
containing fines/penalties levied by the Pension and Welfare Benefits
Administration under provisions of ERISA sections 502(c)(2), 502(i)
and 502(l).
Systems exempted from certain provisions of the act:
None.

DOL/PWBA-7

System name: PWBA Employee Conduct Investigations.

Security classification:
None.
System location:
Offices in Pension and Welfare Benefits Administration in the National
Office.
Categories of individuals covered by the system:
PWBA employee(s) against whom allegations of misconduct have been
made.
Categories of records in the system:
The file contains investigative report(s) compiled in the course of
employee misconduct investigations, including interviews and other
data.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The records are compiled as an adjunct to investigating allegations of
employee misconduct, to make determinations on personnel actions and
to document agency action in most cases.
Routine use of records maintained in the systems, including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are stored in file folders in metal cabinets.
Retrievability:
Records are retrieved by name of subjecting investigation.
Safeguards:
The files are maintained in locked file cabinets with access only to
those with a need to know the information to perform their duties. A
charge out system is used to monitor and restrict the withdrawal of
records from this file.
Retention and disposal:
Records are retained for four years following the date either: (a)
they are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Director, Office of Program Planning, Evaluation, and Management,
Pension and Welfare Benefits Administration, 200 Constitution Avenue
NW, Washington, DC 20210.
Notification procedure:
Inquiries should be mailed or presented to the System Manager noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the System Manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of the investigation.
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity at 29 CFR 70a.4.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7
Record source categories:
Complaints through the Office of the Inspector General's and the
General Accounting Office's hotline system; allegations and incident
reports submitted by employees; statements by the subject, fellow
employees or members of the public; and other investigative reports.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4) (G), (H), and (I); and (f) of
5 U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

Office of the Solicitor (SOL)

DOL/SOL-1

System name: Conflict of Interest File.

Security classification:
None.
System location:
Division of Labor-Management Laws, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210 and Offices of the
Regional Solicitors and Associate Regional Solicitors at various field
locations.
Categories of individuals covered by the system:
Those persons from whom reports may be required under Sections 202 and
203, Labor-Management Reporting and Disclosure Act (LMRDA) (29 U.S.C.
432, 433), are those allegedly having conflicts of interest who must
file reports under these sections. Investigation relates to civil
litigation or criminal prosecution.
Categories of records in the system:
Investigative reports, legal analyses, forwarding memoranda.
Authority for maintenance of the systems:
Section 202, LMRDA (29 U.S.C. 432); section 203, LMRDA (29 U.S.C.
433); section 601, LMRDA (29 U.S.C. 521) (investigative authority);
section 209, LMRDA (29 U.S.C. 439); section 607, LMRDA (29 U.S.C.
527).
Purpose(s):
To enforce LMRDA requirement that persons with conflicts of interest
file designated reports.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Files interchanged in the processing of cases with the Department of
Justice and Assistant U.S. Attorneys to enforce the LMRDA by court
action.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Indexed by name.
Safeguards:
Restricted to official business within agency, personnel screening.
Retention and disposal:
Files are maintained for five years and then destroyed.
System manager(s) and address:
Associate Solicitor, Division of Labor-Management Laws, Office of the
Solicitor, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210, and Regional Solicitors and Associate Regional
Solicitors at various field offices.
Notification procedure:
Contact system managers.
Record access procedure:
As in notification procedure.
Contesting record procedure:
As in notification procedure.
Record source categories:
Complainants, witnesses, investigative reports.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-2

System name: Employment and Training Legal Services Litigation
and Investigation File.

Security classification:
None.
System location:
United States Department of Labor, Room N-2101, 200 Constitution
Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Named plaintiffs and complainants in court and administrative
proceedings involving the Employment and Training Administration, the
Office of the Assistant Secretary of Labor for Veterans, Employment
and Training, and the procurement activities of the Office of the
Assistant Secretary of Labor for Administration and Management.
Individual subjects of administrative investigations under programs of
the Employment and Training Administration, the Office of the
Assistant Secretary of Labor for Veterans, Employment and Training,
and procurement activities of the Office of the Assistant Secretary of
Labor for Administration and Management.
Categories of records in the system:
Court and litigation files contain little, if any, information
regarding the individual other than that supplied by the individual in
its complaint. Investigatory files include employment and financial
information related to possible fraudulent activity on the part of the
individual.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Court and administrative files used in court and administrative
litigation. Investigatory files used in investigations.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
In addition to those contained in the United States Department of
Labor's prefatory statement, information is disclosed to United States
Department of Justice for that agency's determination regarding
potential litigation and in the course of actual litigation.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
By name of plaintiffs and complainants and individual subjects being
investigated.
Safeguards:
Physical security; files are kept in office suite that is locked after
working hours.
Retention and disposal:
Upon completion of a case, the files are maintained in the Office of
the Solicitor for two years, retired to the appropriate Federal
Records Center for three years and then destroyed.
System manager(s) and address:
Associate Solicitor of Labor for Employment and Training Legal
Services, United States Department of Labor, Room N-2101, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
As in ``System manager(s) and address'' above.
Record access procedures:
As in ``System manager(s) and address'' above.
Contesting record procedures:
As in ``System manager(s) and address'' above.
Record source categories:
Information normally is obtained from other organizations within the
United States Department of Labor.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-3

System name: Federal Tort Claims Act (FTCA).

Security classification:
Unclassified.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room S-4325,
Washington, DC 20210. See appendix 1 for additional locations.
Categories of individuals covered by the system:
Claimants under the Federal Tort Claims Act.
Categories of records in the system:
Tort claims file, including negligence, medical, personnel and legal
reports, summaries, correspondence and memoranda.
Authority for maintenance of the system:
28 U.S.C. 2671 et seq.
Purpose(s):
To allow adjudication of claims filed under the Federal Tort Claims
Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None other than those contained in the Department's General Prefatory
Statement published in the Preamble to this Notice.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Manual files.
Retrievability:
Name of claimant.
Safeguards:
Files are kept in office suite that is locked after working hours.
Retention and disposal:
Upon completion of a case, the files are maintained in the Office of
the Solicitor for two years, retired to the appropriate Federal
Records Center for three years and then destroyed.
System manager(s) and address:
Associate Solicitor, Division of Employee Benefits, U.S. Department of
Labor, 200 Constitution Avenue, NW, Room S-4325, Washington, DC 20210.
Notification procedure:
See system manager(s) and addresses.
Record access procedures:
Inquirer should provide his full name, plus date and place of
incident.
Contesting record procedures:
See record access procedures.
Record source categories:
Claimants, current and former employers, witnesses, physicians,
insurance companies, attorneys, police, hospitals, other individuals.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-5

System name: Job Training Partnership Act (JTPA).

Security classification:
Unclassified
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room S-4325,
Washington, DC 20210. See appendix 1 for additional locations.
Categories of individuals covered by the system:
Claimants.
Categories of records in the system:
Tort claims file, including negligence, medical, personnel and legal
reports, summaries, correspondence, and memoranda.
Authority for maintenance of the system:
29 U.S.C. 1501 et seq.
Purpose(s):
To allow adjudication of claims filed under the Job Training
Partnership Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None other than those contained in the Department's General Prefatory
Statement published in the Preamble to this Notice.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Name of claimant.
Safeguards:
Files are kept in office suite that is locked after working hours.
Retention and disposal:
Upon completion of a case, the files are maintained in the Office of
the Solicitor for two years, retired to the appropriate Federal
Records Center for three years and then destroyed.
System manager(s) and address:
Associate Solicitor, Division of Employee Benefits, U.S. Department of
Labor, 200 Constitution Avenue, NW, Room S-4325, Washington, DC 20210.
Notification procedure:
See system manager(s) and addresses.
Record access procedures:
Inquirer should provide his full name, plus date and place of
incident.
Contesting record procedures:
See record access procedures.
Record source categories:
Claimants, current and former employers, witnesses, physicians,
insurance companies, attorneys, police, hospitals, other individuals.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-6

System name: Military Personnel and Civilian Employees Claims
Act.

Security classification:
Unclassified.
System location:
U.S. Department of Labor, 200 Constitution Avenue, NW, Room S-4325,
Washington, DC 20210. See appendix 1 for additional locations.
Categories of individuals covered by the system:
Claimants.
Categories of records in the system:
Claims file, including negligence, medical, personnel and legal
reports, summaries, correspondence and memoranda.
Authority for maintenance of the system:
31 U.S.C. 240-243.
Purpose(s):
To allow adjudication of claims filed under the Military Personnel and
Civilian Employees Claims Act.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None other than those contained in the Department's General Prefatory
Statement published in the Preamble to this Notice.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Name of claimant.
Safeguards:
Files are kept in office suite that is locked after working hours.
Retention and disposal:
Upon completion of a case, the files are maintained in the Office of
the Solicitor for two years, retired to the appropriate Federal
Records Center for three years and then destroyed.
System manager(s) and address:
Associate Solicitor, Division of Employee Benefits, U.S. Department of
Labor, 200 Constitution Avenue, NW, Room S-4325, Washington, DC 20210.
Notification procedure:
See system manager(s) and addresses.
Record access procedures:
Inquirer should provide his full name, plus date and place of
incident.
Contesting record procedures:
See record access procedures.
Record source categories:
Claimants, current and former employers, witnesses, physicians,
insurance companies, attorneys, police, hospitals, other individuals.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-7

System name:

Solicitor's Legal Activity Recordkeeping System.
Security classification:
None.
System location:
The central database is maintained in the Office of the Solicitor
(SOL), Office of Administration, Management, and Litigation Support,
Washington, DC. Computer access terminals are located in SOL
Divisional Offices in Washington, DC, and in all SOL Regional Officer
and their branches.
Categories of individuals covered by the system:
Attorneys and paralegal specialists employed by SOL, judges assigned
to DOL cases, and individuals and/or parties involved in the cases.
Categories of records in the system:
Individual attorney and paralegal specialist assignments, records
which identify pending cases and opinions requested, status of
assignments, cases and options, statutes enforced, client agencies
served, and time spent on assignments.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To track the status of cases and other legal work, to manage attorney
and paralegal specialist assignments, to track the time spent
litigating cases and providing other legal services, to prepare budget
submissions and to assist in allocating resources among Divisional and
Regional Offices.'
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Those universal routine uses listed in the General Prefatory Statement
last published in the Federal Register on May 10, 1995 (60 FR 24897-
24898). In addition, selected data may be shared with the Office of
Management and budget (OMB) and Congress as part of the budget
submission process.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Manual and computer files.
Retrievability:
By initials of the SOL attorney or paralegal specialist, name of the
judge, name or social security number of the individual involved, and/
or the name of the party involved in a case.
Safeguards:
Manual and computer files are accessible only by authorized persons,
in accordance with SOL operating procedures.
Retention and disposal:
Records are retained permanently.
System manager(s) and address:
Director, Office of Administration, Management and Litigation,
Support/Office of the Solicitor, 200 Constitution Avenue NW, Room
N2414, Washington, DC 20210.
Notification procedure:
Inquiries should be mailed or presented to the system manager at the
address listed above.
Record access procedure:
A request for access shall be mailed or presented to the system
manager at the address listed above. Individuals must furnish the
following information for their records to be identified: (a) Name and
(b) verification of identity as required by the regulations
implementing the Privacy Act of 1974 at 29 CFR 70a.4.
Contesting record procedures:
A request for amendment should be addressed to the system manager
noted above and must meet the requirements of 29 CFR 70a.7.
Record source categories:
Covered individuals, case files, correspondence files, opinion files
and miscellaneous files.
System exempted from certain provisions of the act:
None.

DOL/SOL-8

System name: Special Litigation Records.

Security classification:
None.
System location:
U.S. Department of Labor, Office of the Solicitor, Room N-4611,
Washington, DC. Only current litigation files are maintained in DOL/
D.C.--closed files are in contract warehouse storage.
Categories of individuals covered by the system:
Defendants, respondents, witnesses and other individuals who may have
provided information relating to, or who may have been involved in,
matters that are part of the Central States litigation.
Categories of records in the system:
The system contains records gathered by the Special Litigation
Division in connection with the Central States litigation. The records
may be derived from materials filed with the Department of Labor,
court records, articles from publications, published financial data,
information received from materials filed with the Department of
Labor, court records, articles from publications, published financial
data, information received from employee benefit plans, business
organizations and individuals, statements of witnesses, information
received from federal, state, local and foreign regulatory and law
enforcement organizations and from other sources. The system also
contains records that incorporate the work product of the Special
Litigation Division and other privileged documents.
Authority for maintenance of the system:
29 U.S.C. 1132, 1134.
Purpose(s):
To maintain investigatory and related litigation files pertaining to
the Teamsters' Central States, Southeast and Southwest Areas Health
and Welfare and Pension Funds, as well as other matters within the
mission and functions of the Special Litigation Unit.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information that is relevant and necessary may be disclosed as
follows:
(1) The records may be disclosed to the Department of Justice,
Treasury Department, Commerce Department and other Federal Government
personnel and consultants investigating possible violations of the
Employee Retirement Income Security Act of 1974.
(2) The records may be disclosed pursuant to 29 U.S.C. 1134(a) to any
person actually affected by any matter which is the subject of an
investigation under ERISA.
(3) The records may be disclosed, when appropriate, to a bar
association, court, or federal, state, local or foreign licensing
authority for possible disciplinary action.
(4) The records may be given or shown to anyone during the course of
litigation if the Department has reason to believe that the person to
whom such disclosure is made may have further information about the
matter discussed therein and that those matters may be relevant to
such litigation.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
The records are maintained in hard copy, microfilm/microfiche or
machine readable (computer/tape) form.
Retrievability:
The records are indexed by name.
Safeguards:
Records are kept in office suites which are locked after working
hours. Access to and use of the records are limited to those persons
whose official duties require it.
Retention and disposal:
The records retention will be determined by the National Archives and
Records Administration upon completion of the litigation.
System manager(s) and address:
Associate Solicitor, Plan Benefits Security Division, U.S. Department
of Labor, Room N-4611, Washington, DC 20013.
Notification procedure:
Mail all inquiries or present in writing to system manager at above
address.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Investigators; other law enforcement personnel; attorneys; witnesses,
informants; other individuals; federal, state and local agencies;
investigative files, case files; correspondence files; opinion files;
miscellaneous files.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/SOL-9

System name: Freedom of Information Act and Privacy Act Appeals
Files.

Security classification:
None.
System location:
Office of the Solicitor, Division of Legislation and Legal Counsel,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210.
Categories of individuals covered by the system:
This system encompasses all individuals who submit administrative
appeals under the Freedom of Information and Privacy Acts.
Categories of records in the system:
Each file generally contains the appeal letter, the initial request,
the initial agency determination, and other records necessary to make
a determination on the appeal, including copies of unsanitized records
responsive to the request. When a determination is made on the appeal,
the determination letter is added to the file.
Authority for maintenance of the system:
The Freedom of Information Act (5 U.S.C. 552); the Privacy Act of 1974
(5 U.S.C. 552a); and 5 U.S.C. 301.
Purpose(s):
These records are maintained to process an individual's administrative
appeals made under the provisions of the Freedom of Information and
the Privacy Acts. The records are also used to prepare the
Department's annual reports to OMB and Congress required by the
Privacy and the Freedom of Information Acts.
Routine uses of records maintained in the system including categories of
users and the purposes of such uses:
These records, and information in these records, that is relevant and
necessary may be used:
a. To disclose information to the Office of Management and budget at
any stage in the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB
Circular No. A-19.
b. To disclose information to Federal agencies (e.g., Department of
Justice) in order to obtain advice and recommendations concerning
matters on which the agency has specialized experience or competence,
for use by the Office of the Solicitor in making required appeal
determinations and related dispositions under the Freedom of
Information Act or the Privacy Act of 1974.
c. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose of the appeal, and to
identify the type of information involved in an appeal), where
necessary to obtain information relative to a decision concerning a
Freedom of Information or Privacy Act appeal.
d. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
e. To disclose information to officials of the Merit System Protection
Board or the Office of Special Counsel, when requested in connection
with appeals, special studies of the civil service and other merit
systems, review of DOL rules and regulations, investigations or
alleged or possible prohibited personnel practices, and such other
functions as may be authorized by law.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in manual form in file folders and are
stored using the name of the individual filing the appeal. Information
about the status of Freedom of Information and Privacy Act appeals is
also maintained on magnetic media for use in a micro-computer.
Retrievability:
Manual records are retrieved by the name of the individual making the
appeal.
Safeguards:
These records, are located in metal filing cabinets in a lockable room
with access limited to personnel whose duties require access.
Retention and disposal:
These records are destroyed six years after final agency determination
or 3 years after final court adjudication, whichever is later.
System manager(s) and address:
Solicitor of Labor, U.S. Department of Labor, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system or records contains
information about them should contact the system manager at the
address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of the Freedom of Information or Privacy Act
Appeal and the approximate date of the determination by the Department
(if issued).
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity and access to records
at 29 CFR 70a.4.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the requirements of 70a.7.
Record source categories:
Information in this system of records comes from:
a. The individual who is the subject of the records.
b. Official personnel documents of the agency, including records from
any other agency system or records included in this notice.
c. Agency officials who respond to Freedom of Information and Privacy
Act requests.
d. Other sources whom the agency believes have information pertinent
to an agency decision on a Freedom of Information or Privacy Act
appeal.
Systems exempted from certain provisions of the act:
The Department of Labor has claimed exemptions for several of its
other systems of records under 5 U.S.C. 552a(k)(1), (2),(3),(5), and
(6). During the course of processing a Freedom of Information or
Privacy Act appeal, exempt materials from those other systems may
become part of the case record in this system. To the extent that
copies of exempt records from those other systems are entered into
these Freedom of Information and Privacy appeals files, the Department
has claimed the same exemptions for the records as they have in the
original primary system or records of which they are a part.

DOL/SOL-10

System name: Privacy Act Litigation Files.

Security classification:
None.
System location:
Office of the Solicitor, Division of Legislation and Legal Counsel,
Department of Labor Building, 200 Constitution Avenue, NW, Washington,
DC 20210.
Categories of individuals covered by the system:
Individuals who have commenced actions against the Department of Labor
under the Privacy Act.
Categories of records in the system:
Pleadings compiled in the course of litigation and relevant supporting
documentation.
Authority for maintenance of the system:
5 U.S.C. 552a; 29 CFR part 70a.
Purpose(s):
These records are maintained to defend the Department of Labor against
lawsuits.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Disclosure to the Department of Justice and attorneys of other federal
agencies as required in the defense of such actions.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Litigation files maintained in manual files.
Retrievability:
Requester's (plaintiff's) name.
Safeguards:
Files are kept in office suite that is locked after working hours.
Retention and disposal:
Upon completion of a case, third-party recovery files are maintained
in the Office of the Solicitor for two years, retired to the
appropriate Federal Records Center for three years and then destroyed.
System manager(s) and address:
Associate Solicitor, Division of Legislation and Legal Counsel, U.S.
Department of Labor, 200 Constitution Avenue, NW, Room N-2428,
Washington, DC 20210.
Notification procedure:
As in systems manager and address.
Record access procedure:
As in systems manager and address.
Contesting record procedure:
As in systems manager and address.
Record source categories:
Pleadings generated in course of litigation.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-11

System name: Division of Civil Rights Defensive Litigation
Files.

Security classification:
None.
System location:
United States Department of Labor, Room N-2464, 200 Constitution
Avenue, NW, Washington, DC 20210
Categories of individuals covered by the system:
Individuals filing Federal court actions involving civil rights
enforcement activities of the Office of Federal Contract Compliance
Programs (OFCCP), Employment Standards Administration or the
Directorate of Civil Rights (DCR), Office of the Assistant Secretary
for Administration and Management, and other department agencies.
Categories of records in the system:
Correspondence, reports, legal analyses, and employment and related
information provided by plaintiffs, gathered in the course of
investigations conducted by OFCCP or DCR, and/or derived from
materials filed with the Department of Labor or other Federal
agencies, or in connection with administrative and court proceedings.
Authority for maintenance of the system:
Executive Order 11246, as amended; the Vietnam Era Veterans'
Readjustment Assistance Act of 1974 (38 U.S.C. 2012), as amended: 29
U.S.C. 79J, as amended; 42 U.S.C. 2000d et seq.,as amended; 29 U.S.C
794, as amended; 29 U.S.C. 801; 42 U.S.C. 6102, as amended; 29 U.S.C.
1577; 20 U.S.C. 1681; and Secretary's Order Nos. 2-81 and 1-89
Purpose(s):
To defend the Department in legal actions involving the civil rights
enforcement activities of OFCCP, DCR or other department agencies.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Primarily in manual files, some information may be maintained on
magnetic media for use in a micro-computer.
Retrievability:
Full name of plaintiff.
Safeguards:
Files located in restricted area of Federal building under guard by
security officers; access limited to persons with official business
within the agency.
Retention and disposal:
Upon final court determination, files are maintained by the Department
for two years, then transferred to the Federal Records Center where
they are kept an additional three years and then destroyed.
System manager(s) and address:
Associate Solicitor, Division of Civil Rights/Office of the Solicitor,
Room N-2464, 200 Constitution Avenue, NW, Washington, DC 20210
Notification procedure:
Contact system manager.
Record access procedures:
Contact system manager; requests must comply with the regulations
contained at 29 CFR part 70a.
Contesting record procedures:
Contact system manager; petitions for amendment must meet the
requirements of 29 CFR part 70a.
Record source categories:
Plaintiffs, witnesses, employers, contractors, recipients of Federal
financial assistance from the Department of Labor, and Federal, state,
and local agency files, and departmental agency files.
Systems exempted from certain provisions of the act:
Under the specific exemption authority provided by 5 U.S.C.
552a(k)(2), this system is exempt from the following provisions of the
Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and
(I), and (f). In addition, as this system may contain files or copies
of files from other systems of records compiled in the course of the
administrative and enforcement activities of other department agencies
for which the Department, in accordance with section (k)(2) of the
Privacy Act, has claimed exemptions from any of the above mentioned
provisions of the Act, the Department claims the same exemptions for
the records as they have in the primary system of records of which
they are apart.

DOL/SOL-12

System name: Third-Party Recovery Files.

Security classification:
None.
System location:
Office of the Solicitor, National Office.
Categories of individuals covered by the system:
Individuals potentially or actually entitled to wages and other forms
of compensation and relief sought on their behalf by Labor Department.
Categories of records in the system:
Records include identities of potential claimants and claimants, and
information related to their claims including employment information
and the amount sought or owed to each of them.
Authority for maintenance of the system:
Executive Order 11246, as amended; Vietnam Era Veterans' Readjustment
Assistance Act of 1974, as amended (38 U.S.C. 2012); Rehabilitation
Act of 1973, as amended (29 U.S.C. 793, 794); 42 U.S.C. 2000d et seq.,
as amended; 42 U.S.C. 6102, as amended; 29 U.S.C. 1577; 20 U.S.C.
1681; and Secretary's Order Nos. 2-81 and 1-89.
Purpose(s):
These records are maintained in order to make determinations about
compensation and other forms of relief sought or recovered by the
Department of Labor.
Routine uses of records maintained in the systems including categories
of users and the purposes of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
Disclosures pursuant to 5 U.S.C. 552a(b)(12): Disclosures may be made
to consumer reporting agencies as defined in the Fair Credit Reporting
Act (15 U.S.C. 1681a(f)) or the Federal Claims Collection Act of 1966
(31 U.S.C. 3701(a)(3)).
Policies and practices for storing retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Files are maintained in storage cabinets and on discs.
Retrievability:
By name of claimant.
Safeguards:
Records are maintained in manned rooms during working hours. During
non-working hours, the file room is locked and the building is
protected by guards.
Retention and disposal:
Upon completion of a case, third-party recovery files are maintained
in the Office of the Solicitor for two years, retired to the
appropriate Federal Records Center for three years and then destroyed.
System manager(s) and address:
Deputy Solicitor for National Operations at headquarters.
Notification procedure:
Inquiries regarding the existence of records should be addressed to
the System Manager. A written, signed request stating that the
requester seeks information concerning records pertaining to him/her
is required.
Record access procedures:
To see your records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Signature.
Contesting record procedures:
Individuals requesting amendment to the record should contact the
system manager and furnish the following information:
a. Full name.
b. Date of birth.
c. Social Security number.
d. Signature.
Record source categories:
Agency litigation files.
Systems exempted from certain provisions of the act:
When litigation occurs, information from other systems of records may
be incorporated into the case file. In certain instances, the
incorporated information may be material which the Privacy Act, at 5
U.S.C. 552a(k) (1), (2), (3) (5) and (6), permits an agency to exempt
from certain provisions of the Act. To the extent that such exempt
material is incorporated into litigation files, the appropriate
exemption ((k) (1), (2), (3), (5), and (6)) has also been claimed for
the material as it appears in this system. The Office of the
Solicitor, pursuant to 5 U.S.C. 552a(d)(5), reserves the right to
refuse access to information compiled in reasonable anticipation of a
civil action or proceeding.

DOL/SOL-13

System name: Employee Conduct Investigations.

Security classification:
None.
System location:
Offices in the Office of the Solicitor at the National Office and in
each of the Regional Offices.
Categories of individuals covered by the system:
Employee(s) against whom any allegations of misconduct have been
made.
Categories of records in the system:
Investigative report(s), sworn affidavits, written statements, time
and attendance records, earnings and leave statements, applications
for leave, notifications of personnel actions, travel vouchers, 171's,
certificates of eligible, performance appraisals, interviews and other
data gathered from involved parties and organizations which are
associated with the case.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To investigate allegations of misconduct.
Routine uses of records maintained in the system,including categories of
users and the purpose of such users:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing in the system:
Storage:
Records are stored in file folders in metal cabinets.
Retrievability:
By name or case file number.
Safeguards:
Files are maintained in locked file cabinets with access only to those
with a need to know the information to perform their duties.
Retention and disposal:
Records are retained for four years following the date either: (a)
They are referred to the OIG; (b) they are transferred to OPM/GOVT-3
Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Office of Management, Office of the Solicitor, 200 Constitution
Avenue, NW., Washington, DC 20210, and appropriate Regional Offices.
Notification procedure:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified: Name;
approximate date of the investigation; and individuals requesting
access must also comply with the Privacy Act regulations regarding
verification of identity to records at 29 CFR 70a.4.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70.(a)(7).
Record source categories:
Hotline complaints through the Office of the Inspector General's
hotline or through the General Accounting Office; incident reports
submitted by employees or members of the general public; statements by
subject and fellow employees; and other investigative reports.
System exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/SOL-14

System name: Subpoena Tracking System.

Security classification:
None.
Categories of individuals covered by the system:
DOL employee(s), former employees, contractors and consultants who
have been subpoenaed or whose testimony has been requested in actions
in which DOL is not a party.
Categories of records in the system:
Information relating to the request for testimony or production of
records.
Authority for maintenance of the system:
5 U.S.C. 301 and 29 CFR 2.20-2.25.
Purpose(s):
These records are maintained in order to keep track of when DOL
employees, former employees, contractors and consultants have been
subpoenaed or whose testimony has been requested.
Routine use of records maintained in the systems, including categories
of users and the purposes of such uses:
Disclosure to attorneys who issued the subpoena, U.S. attorneys and
attorneys of other federal agencies as appropriate in order to
properly respond to such subpoenas.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
These records are maintained in manual form in metal file cabinets
using the name of the individual who has been subpoenaed. Information
about the status of the subpoena is also maintained on magnetic media
for use in a micro-computer.
Retrievability:
Records are retrieved by the name of the individual making the appeal.
Safeguards:
These records are located in metal filing cabinets in a lockable
computer room with access limited to personnel whose duties require
access.
Retention and disposal:
These records are maintained as long as a case is open. Upon
conclusion of the matter, files are retained for five years and then
destroyed.
System manager(s) and address:
Associate Solicitor, Division of Legislation and Legal Counsel, U.S.
Department of Labor, 200 Constitution Avenue, NW, Room N-2428,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records contains
information about them should contact the system manager at the
address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of subpoena or request for testimony.
Contesting record procedures:
A request to amend a record shall be addressed to the system manager.
Record source categories:
Information in this system of records comes from:
a. The individual who is requesting the testimony or who has issued
the subpoena.
b. The individual who has been subpoenaed or whose testimony has been
requested.
c. DOL attorneys, Assistant U.S. Attorneys, judges, clerks of courts
involved in handling responses to subpoenas.
Systems exempted from certain provisions of the act:
None.

DOL/SOL-15

System name: Solicitor's Office Litigation Files.

Security classification:
None.
System location:
Offices of the Associate Solicitors, Office of the Solicitor,
Washington, DC; Offices of the Regional Solicitor and Associate
Regional Solicitors at various field locations.
Categories of individuals covered by the system:
Plaintiffs, defendants, respondents, witnesses and other individuals
who may have provided information relating to, or who may have been
involved in matters that are part of Labor Department litigation,
where the Department is either the plaintiff or the defendant.
Categories of records in the system:
The system contains records gathered by the various Offices of the
Associate Solicitors, Regional Solicitors and Associate Regional
Solicitors. The records may be derived from materials filed with the
Department of Labor, court records, pleadings, statements of
witnesses, information received from federal, state, local and foreign
regulatory organizations and from other sources. The system also
contains records that incorporate the work product of the various
offices and other privileged documents.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are maintained for the purpose of prosecuting violations
of labor laws, as well as for defending suits brought against the
Secretary of Labor.
Routine uses of records maintained in the system, including categories
of users and the purposes of such use:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Policies and practices for storing, retrieving, accessing, retaining and
disposing of records in the system:
Storage:
Litigation files maintained in manual files.
Retrievability:
By name.
Safeguards:
Files are kept in office suites which are locked after working hours.
Retention and disposal:
Upon final court determination, files are maintained by the Department
for two years, then transferred to the Federal Records Center where
they are kept an additional three years and then destroyed.
System manager(s) and address:
The appropriate Deputy Solicitor, Office of the Solicitor, U.S.
Department of Labor, Room S-2002, 200 Constitution Avenue, NW.,
Washington, DC 20210
Notification procedures:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date for the investigation.
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity to records at 29 CFR
70a.4.
Contesting record procedures:
A petition for amendments shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Component agency investigative files; investigators; other law
enforcement personnel; attorneys; witnesses, informants; other
individuals; federal, states and local agencies; investigative files,
case files; opinion files; miscellaneous files.
System exempted from certain provision of the act:
Under the specific exemption authority provided by 5 U.S.C.
552a(k)(2), this system is exempt from the following provisions of the
Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H),(I), and
(f) of the Act. Disclosure of information could enable the subject of
the record to take action to escape prosecution and could avail the
subject greater access to information than that already provided under
rules of discovery. In addition, disclosure of information might lead
to intimidation of witnesses, informants, or their families, and
impair future investigations by making it more difficult to collect
similar information.

DOL/SOL-16

System name: Solicitor's Office, Directory of Senior Management.

Security classification:
None.
System location:
Office of the Solicitor, Office of Administration, Management &
Litigation Support (OAMLS), Department of Labor, Frances Perkins
Building, Room N-2414, 200 Constitution Avenue, NW., Washington, DC
20210.
Categories of individual covered by the system:
Senior management employees from the Office of the Solicitor including
both those from the National Office and the Regional Offices of the
Solicitor.
Categories of records in the system:
This system contains the names the office location, the home address,
the home telephone number and the office telephone number of all the
senior management employees from the Office of the Solicitor including
both the National and Regional Offices.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The directory enables senior management to communicate amongst
themselves by telephone in a fast and efficient manner.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
None, except for those routine uses listed in the General Prefatory
Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in the form of a spiral-bound directory.
Retrievability:
Record are retrieved by the name of the senior management employee.
Safeguards:
These records are kept in office suites which are locked after working
hours.
Retention and disposal:
The directory is updated every two years and the old directory is
destroyed.
System manager(s) and address:
Director, Office of Administration, Management & Litigation Support,
Room N-2414, U.S. Department of Labor, 200 Constitution Avenue, NW.,
Washington, DC 20210.
Notification procedures:
Inquiries should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date for investigation.
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity to records at 29 CFR
70a.4.
Contesting record procedures:
A petition for amendments shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Agency personnel files, and information submitted by the employee.
System exempted from certain provision of the act:
None.

DOL/SOL-17

System name: Solicitor's Office Ergonomic Furniture File.

Security classification:
None.
System location:
Office of the Solicitor, Office of Administration, Management &
Litigation Support (OAMLS), Frances Perkins Department of Labor
Building, Room N-2414, 200 Constitution Avenue, NW., Washington, DC
20210.
Categories of individuals covered by the system:
All employees from the Office of the Solicitor both those from the
National and the Regional Offices of the Solicitor.
Categories of records in the system:
The system contains detailed records pertaining to the chairs, desks,
and other furniture, and equipment assigned to each employee from the
Office of the Solicitor, both in the National and Regional Offices of
the Solicitor. The main record consists of an ergonomic checklist.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The information is used for statistical data and to prepare purchase
orders for furniture, equipment and accessories.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
The records are maintained in file folders and in computers.
Retrievability:
Records are retrieved by the name of the employee.
Safeguards:
These records are kept in office suites which are locked after working
hours.
Retention and disposal:
The system is updated at least annually and earlier records are
discarded.
System manager(s) and address:
Director, Office of Administration, Management & Litigation Support,
Room N-2414, U.S. Department of Labor, 200 Constitution Avenue, NW.,
Washington, DC 20210.
Notification procedures:
Inquiries should be mailed or presented to the system manage noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date for investigation.
c. Individuals requesting access must also comply with the Privacy Act
regulations regarding verification of identity to records at 29 CFR
70a.4.
Contesting record procedures:
A petition for amendments shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Agency personnel files, and information submitted by the employee.
System exempted from certain provision of the act:
None.

Veterans' Employment and Training (VETS)

DOL/VETS-1

System name: Veterans' Reemployment Complaint File--VETS-1.

Security classification:
None.
System location:
Veterans' Reemployment Rights (VCR) Area Offices, Veterans' Employment
and Training Service (VETS) Regional Offices, VETS National Office,
Regional Solicitors' Offices, National Solicitor's Office.
Categories of individuals covered by the system:
Veterans, enlistees, examinees, reservists or members of the National
Guard of the U.S. Armed Forces on active or reserve service or
training duty.
Categories of records in the system:
Investigatory files which pertain to Veterans' Reemployment
Complaints. These records contain investigative information regarding
rights of veterans, reservists, and members of the national guard to
return to pre-military civilian employment; reports of interviews with
individuals; and other information relevant to a determination of
veteran's reemployment rights.
Authority for maintenance of the system:
38 U.S.C., 2021 et seq.
Purpose(s):
Records are maintained for enforcement of federal laws pertaining to
rights of veterans, reservists and members of the national guard upon
their return to pre-military civilian employment following periods of
active and inactive military duty and related to non-discrimination
based on such service or periods of duty.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
None, except for those routine uses in the General Prefatory Statement
to this document.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data processing storage and manual records.
Retrievability:
By name of complainant or name of employer.
Safeguards:
Secured room, or locked cabinets, and passwords for ADP system.
Retention and disposal:
Records will be maintained by the VETS for 5 years at which time they
will be destroyed in accordance with National Archives and Record
Administration retention retirement and disposal schedule.
System manager(s) and address:
United States Department of Labor, Veterans' Employment and Training
Service, Room 1315, 200 Constitution Avenue, NW, Washington, DC 20210,
and Regional Offices.
Notification procedures:
See System Managers and Address.
Contesting record procedures:
See System Managers and Address.
Record source categories:
Veterans, Reserve and National Guard members, employees, employers,
Departments of Defense or Veterans Affairs, physicians, fellow
employees, union officers.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/VETS-2

System name: Veterans' Preference Complaint File--VETS-2.

Security classification:
None.
System location:
State Directors for Veterans' Employment and Training Offices,
Veterans' Employment and Training Service (VETS) Regional Offices,
VETS National Office, Regional and area Offices of the U.S. Office of
Personnel Management, National Office of the U.S. Office of Personnel
Management.
Categories of individuals covered by the system:
Veterans of the U.S. Armed Forces who believe that they have been
denied veterans preference or other special considerations provided by
law(s).
Categories of records in the system:
Investigatory files for enforcement of federal laws pertaining to
veterans' preference and other special consideration related to
employment with Federal agencies; reports of interviews with
individuals; personnel records; service records; another information
relevant to a determination of veterans' preference.
Authority for maintenance of the system:
38 U.S.C. 2003(c)(13) and (14).
Purpose(s):
Records are maintained for enforcement of federal laws pertaining to
veterans' preference and other special consideration related to
employment with Federal agencies.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Information that is relevant and necessary may be disclosed to the
federal labor unions if queries arise with regard to the veteran's
preference versus the collective bargaining agreement.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data processing storage and manual records.
Retrievability:
By name of complainant or name of Federal agency.
Safeguards:
Secured room, or locked cabinets, and passwords for ADP system.
Retention and disposal:
Records will be maintained by the VETS for 5 years at which time they
will be destroyed in accordance with National Archives and Record
Administration retention retirement and disposal schedule.
System manager(s) and address:
United States Department of Labor, Veterans' Employment and Training
Service, Room S-1315, 200 Constitution Avenue, NW, Washington, DC
20210, and Regional Offices.
Notification procedures:
See System Managers and Address.
Record access procedures:
See System Managers and Address.
Contesting record procedures:
See System Managers and Address.
Record source categories:
Veterans, federal employment applicants or employing federal agencies,
Department of Defense, Department of Veterans Affairs, Office of
Personnel Management, fellow employees, union officers.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in this
system of records compiled for law enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I); and (f) of 5
U.S.C. 552a, provided however, that if any individual is denied any
right, privilege, or benefit that he or she would otherwise be
entitled to by Federal law, or for which he or she would otherwise be
eligible, as a result of the maintenance of these records, such
material shall be provided to the individual, except to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence,
or prior to January 1, 1975, under an implied promise that the
identity of the source would be held in confidence.

DOL/VETS-3

System name: Veterans' Transition Assistance Program (TAP)
Tracking System-VETS-3.

System location:
Veterans' Employment and Training Service (VETS) State Directors'
Offices, VET Regional Offices, VETS National Office, National and
Regional Solicitors' Offices.
Categories of individuals covered by the system:
Servicemembers, and their spouses, for 180 days after separation of
the servicemember from the U.S. Armed Forces.
Categories of records in the system:
Registration data on participants in the TAP workshops including the
name, address, social security number, and duty station.
Authority for maintenance of system:
10 U.S.C. 1144.
Purpose(s):
Records are maintained to monitor achievement levels in TAP workshops,
develop demographic data, and research programs effectiveness.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Social security numbers are disclosed to the Defense manpower Data
Center at the Department of Defense in order to ascertain the duty
status of veterans.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Data processing storage and manual records.
Retrievability:
Attendance numbers by name, state, base, or VETS region.
Safeguards:
Secured room.
Retention and disposal:
Records may be maintained by the VETS for 5 years in accordance with
NARA retention retirement and disposal schedule.
System manager(s) and address:
United States Department of Labor, Veterans' Employment and Training
Service, Room S-1315, 200 Constitution Avenue, NW, Washington, DC
20210, and Regional Offices.
Notification procedures:
Inquires should be mailed or presented to the system manager noted at
the address listed above.
Record access procedures:
A request for access shall be addressed to the systems manager at the
address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name.
b. Approximate date of separation.
c. Individuals requesting access must also comply with Privacy Act
regulations regarding verification of identity of records at 29 CFR
70a.4.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager and
must meet the requirements of 29 CFR 70a.7.
Record source categories:
Participants in TAP workshops.
System exempted from certain provisions of the act:
None.

Appendix 1-Responsible Officials

National Office

The titles of the responsible officials of the various independent
agencies in the Department of Labor are listed below. This list is
provided for information only, to assist requesters in locating the
office most likely to have responsive records. The officials may be
changed by appropriate designation. Unless otherwise specified, the
mailing addresses of the officials shall be:

U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210.
Secretary of Labor, ATTENTION: Assistant Secretary for Administration
and Management (OASAM)
Deputy Solicitor, Office of the Solicitor
Chief Administrative Law Judge, Office of the Administrative Law
Judges (OALJs)
Assistant Secretary for Administration and Management (OASAM)
Deputy Assistant Secretary for Administration and Management (OASAM)
Director, National Capital Service Center (NCSC)
Deputy Director, National Capital Service Center (NCSC) Director,
Office of Personnel Management Services (NCSC)
Director, Office of Procurement Services (NCSC)
Director, Directorate of Personnel Management (OASAM)
Deputy Director, Directorate of Personnel Management (OASAM)
Comptroller, Office of the Comptroller (OASAM)
Deputy Comptroller, Office of the Comptroller (OASAM)
Director, Office of Budget (Comptroller-OASAM)
Director, Office of Accounting (Comptroller-OASAM)
Director, Office of Financial Policy and Systems (Comptroller-OASAM)
Director, Directorate of Administrative and Procurement Programs
(OASAM)
Director, Office of Facilities Management (OASAM)
Chief, Division of Security and Emergency Preparedness (OASAM)
Director, Office of Acquisition Integrity (OASAM)
Director, Office of Safety and Health (OASAM)
Director, Directorate of Civil Rights (OASAM)
Director, Directorate of Information Resources Management (DIRM-OASAM)
Director, Office of IRM Policy (DIRM-OASAM)
Director, DOL Academy
Director, Office of Small Business and Minority Affairs
Comptroller, Office of the Comptroller (OASAM)
Director, Office of Safety and Health (OASAM)
Director, Directorate of Civil Rights (OASAM)
Director, Office of Employee and Labor-Management Relations (OASAM)
Director, Office of Employment and Evaluation (OASAM)
Chief, Division of Security and Emergency Preparedness (OASAM)
Director, Office of Acquisition Integrity (OASAM)
Chairperson, Employees' Compensation Appeals Board
Deputy Assistant Secretary for Policy
Director, Office of Information and Public Affairs
Director, Office of Administrative Appeals
Assistant Inspector General, Office of Resource Management and
Legislative Assessment, Offfice of the Inspector General (OIG)
Director, Office of Management, Administration and Planning, Bureau of
International Labor Affairs (ILAB)
Assistant Secretary for Employment Standards, Employment Standards
Administration (ESA)
Assistant Secretary for the Office of the American Workplace (OAW)
Commissioner, Bureau of Labor Statistics
Assistant Secretary for Employment Standards, Employment Standards
Administration (ESA)
Director, Office of Workers' Compensation Programs (OWCP),
Assistant to the Director, OWCP, ESA
Director for Federal Employees' Compensation, OWCP, ESA
Director for Longshore and Harbor Workers' Compensation, OWCP, ESA
Director for Coal Mine Workers' Compensation, OWCP, ESA
Administrator, Wage and Hour Division, ESA
Deputy Administrator, Wage and Hour Division, ESA
Assistant Administrator, Office of Program Operations, Wage and Hour
Division, ESA
Assistant Administrator, Office of Policy, Planning and Review, Wage
and Hour Division, ESA
Deputy Assistant Administrator, Wage and Hour Division, ESA
Director, Office of Federal Contract Compliance Programs (OFCCP), ESA
Director, Division of Policy, Planning and Program Development, OFCCP,
ESA
Director, Division of Program Operations, OFCCP, ESA
Director, Office of Management, Administration and Planning, ESA
Director, Division of Personnel and Organization Management, ESA
Director, Division of Internal Management Control, ESA
Director, Equal Employment Opportunity Unit, ESA
Director, Office of Public Affairs, ESA
Director, Division of Policy and Research Analysis, ESA
Assistant Secretary of Labor, Employment and Training Administration
(ETA)
Deputy Assistant Secretary of Labor, Employment and Training
Administration (ETA)
Administrator, Office of Financial and Administrative Management, ETA
Director, Office of Management Support, ETA
Director, Office of Personnel Management, ETA
Administrator, Office of Regional Management, ETA
Administrator, Office of Strategic Planning and Policy Development,
ETA
Director, Unemployment Insurance Service, ETA
Director, United States Employment Service, ETA
Administrator, Office of Job Training Programs, ETA
Administrator, Office of Work Based Learning, ETA
Director, Office of Equal Employment Opportunity Occupational Safety
and Health Administration (OSHA)
Director, Office of Management Accountability and Performance, OSHA
Director, Office of Information and Consumer Affairs, OSHA
Director, Office of Field Operations, OSHA
Director, Office of Construction and Engineering, OSHA
Director, Directorate of Federal-State Operations, OSHA
Director, Directorate of Policy, OSHA
Director, Directorate of Administrative Programs, OSHA
Director, Office of Personnel Management, OSHA
Director, Office of Administrative Services, OSHA
Director, Office of Management Data Systems, OSHA
Director, Office of Management Systems and Organization, OSHA
Director, Office of Program Budgeting, Planning and Financial
Management, OSHA
Director, Directorate of Technical Support, OSHA
Director, Directorate of Safety Standards Programs, OSHA
Director, Directorate of Health Standards Programs, OSHA
Director, Office of Statistics, OSHA
Deputy Assistant Secretary for Labor-Management Standards
Director of Program Services, Pension and Welfare Benefits
Administration
Assistant Secretary for Veterans' Employment and Training Service
(VETS)
Deputy Assistant Secretary for Veterans' Employment and Training
Service (VETS)
Director, Office of Information, Management and Budget, Veterans'
Employment and Training Service (VETS)
The mailing address for responsible officials in the Mine Safety and
Health Administration is:
4015 Wilson Boulevard, Arlington, Virginia 22203
Deputy Assistant Secretary
Chief, Office of Congressional and Legislative Affairs
Director, Office of Information and Public Affairs
Administrator for Coal Mine Safety and Health
Chief, Office of Technical Compliance and Investigation
Administrator for Metal and Nonmetal Mine Safety and Health
Director, Office of Assessments
Director, Office of Standards, Regulations and Variances
Director of Program Planning and Evaluation
Director of Administration and Management
Director of Educational Policy and Development
The mailing address for the Office of Administrative Law Judges and
the Benefits Review Board is, respectively,:
800 K Street, NW, Washington, DC 20001-8002 and 20001-8001
Chief, Office of Administrative Law Judges, Suite 400
Chair, Benefits Review Board, Suite 500
(1) The titles of the responsible officials in the field offices of
the various independent agencies are listed below: Unless otherwise
specified, the mailing address for these officials by region, shall
be:
Region I:
One Congress Street, 11th Floor, Boston, Massachusetts 02114

In Region I, only, the mailing address for OSHA is:
133 Portland Street, 1st Floor, Boston, Massachusetts 02114
Region II:
201 Varick Street, New York, New York 10014
Region III:
Gateway Building, 3535 Market Street, Philadelphia, Pennsylvania 19104
Region IV:
1375 Peachtree Street, NE, Atlanta, Georgia 30367
214 N. Hogan Street, Suite 1006, Jacksonville, Florida 32202 (OWCP
Only)
Region V:
Kluczynski Federal Building, 230 South Dearborn Street, Chicago,
Illinois 60604
1240 East Ninth Street, Room 851, Cleveland, Ohio 44199 (FEC only)
Region VI:
525 Griffin Square Building, Griffin & Young Streets, Dallas, Texas
75202
Region VII:
Federal Office Building, 911 Walnut Street, Kansas City, Missouri
64106
Region VIII:
Federal Office Building, 1961 Stout Street, Denver, Colorado 80294
and
1801 California Street, Denver, Colorado 80202
The mailing address for the Director of the Regional Bureau of
Apprentice and Training, ETA, in Region VIII is:
Room 465, U.S. Custom House, 721 19th Street, Denver, CO. 80202
Region IX:
71 Stevenson Street, San Francisco, California 94105
Region X:
111 Third Avenue, Seattle, Washington 98101-3212

Regional Administrator for Administration and Management, (OASAM)
Regional Personnel Officer, OASAM
Regional Director for Information and Public Affairs
Regional Administrator for Employment and Training Administration
(ETA)
Regional Director, Job Corps, ETA
Director, Regional Bureau of Apprenticeship and Training, ETA
Regional Management Analyst, ETA-ATLANTA, GEORGIA
Regional Administrator for Wage and Hour, ESA
Regional Director for Federal Contract Compliance Programs, ESA
Regional Director for the Office of Workers' Compensation Programs,
ESA

Wage and Hour Division, ESA Responsible Officials, District Offices

135 High Street, Room 310, Hartford, Connecticut 06103
66 Pearl Street, Room 211, Portland, Maine 04101
One Bowdoin Square, 8th Floor, Boston, Massachusetts 02114
200 Sheffield St. Room 102, Mountainside, New Jersey 07092
3131 Princeton Pike, Building 5, Room 216, Lawrenceville, New Jersey
08648
Leo W. O' Brien Federal Bldg. Rm. 822, Albany, New York 12207
1967 Turnbull Avenue, Bronx, New York 10473
111 West Huron Street, Room 617, Buffalo, New York 14202
825 East Gate Boulevard, Room 202, Garden City, New York 11530
26 Federal Plaza, Room 3838, New York, New York 10278
159 Carlos Chardon Street, Room 102, Hato Rey, Puerto Rico 00918
Federal Office Building, Room 913, 31 Hopkins Plaza, Charles Center,
Baltimore, Maryland 21201
U.S. Custom House, Room 238, Second and Chestnut Streets,
Philadelphia, Pennsylvania 19106
Federal Building, Room 313, 1000 Liberty Avenue, Pittsburgh,
Pennsylvania 15222
3329 Penn Place, 20 North Pennsylvania Ave., Wilkes-Barre,
Pennsylvania 18701
Federal Building, Room 7000, 400 North Eighth Street, Richmond,
Virginia 23240
2 Hale Street, Suite 301, Charleston, West Virginia 25301-2834
1375 Peachtree St, NE Room 668, Atlanta, Georgia 30367
Berry Building, Suite 301, 2015 North Second Avenue, Birmingham,
Alabama 35203
Federal Building, Room 407, 299 East Broward Boulevard, Fort
Lauderdale, Florida 33301
3728 Philllips Hwy., Suite 219, Jacksonville, Florida 32207
1150 Southwest First Street, Room 202, Miami, Florida 33130
Austin Laurel Bldg. Suite 300, 4905 W. Laurel Street, Tampa, Florida
33607
Federal Building, Room 167, 600 Martin Luther King Jr. Place,
Louisville, Kentucky 40202
800 Briar Creek Road, Suite CC-412, Charlotte, North Carolina 28205
Somerset Park Building, 4407 Bland Rd. Suite 260, Raleigh, North
Carolina 27609
Federal Building, Room 1072, 1835 Assembly Street, Columbia, South
Carolina 29201
1 Jackson Place, 1020, 188 East Capitol Street, Jackson,
Mississippi 39210
1321 Murfreesboro Road, Suite 511, Nashville, Tennessee 37217
230 South Dearborn Street, Room 412, Chicago, Illinois 60604-1595
509 West Capitol Avenue, Suite 205, Springfield, Illinois 62704
46 East Ohio Street, Room 148, Indianapolis, Indiana 46204-1919
River Glen Plaza, Suite 160, 501 East Monroe, South Bend, Indiana
46601-1615
2920 Fuller Avenue, NE, Suite 100, Grand Rapids, Michigan 49505-3409
Bridge Place, Room 106, 220 South Second Street, Minneapolis,
Minnesota 55401-2104
Federal Office Building, Room 817, 1240 East Ninth Street, Cleveland,
Ohio 44199-2054
525 Vine Street, Room 880, Cincinnati, Ohio 45202-3268
646 Federal Office Building, 200 North High Street, Columbus, Ohio
43215-2475
Federal Center Building, Room 309, 212 East Washington Avenue,
Madison, Wisconsin 53703-2878
Savers Building, Suite 611, 320 West Capitol, Little Rock, Arkansas
72201
701 Loyola Avenue, Room 13028, New Orleans, Louisiana 70113
Western Bank Bldg., Suite 840, 505 Marquette, NW, Albuquerque, New
Mexico 87102-2160
Government Plaza Building, Room 307, 400 Mann Street, Corpus Christi,
Texas 78401
Federal Building, Room 507, 525 South Griffin Street, Dallas, Texas
75202
2320 LaBranch, Room 2100, Houston, Texas 77004
Northchase I Office Building, Suite 140, 10127 Morocco, Suite 104, San
Antonio, Texas 78216
Fifty-One Yale Building, Suite 303, 5110 South Square, Tulsa, Oklahoma
74135-7438
Federal Building, Room 643, 210 Walnut Street, Des Moines, Iowa 50309
Federal Office Building, Room 2900, 911 Walnut Street, Kansas City,
Missouri 64106
1222 Spruce Street, Rm. 9102B, St. Louis, Missouri 63103
Federal Building, Room 715, 106 South 15th Street, Omaha, Nebraska
68102
Room 615, Federal Office Building, 1961 Stout Street, PO Drawer 3505,
Denver, Colorado 80294
10 West Broadway, Suite 307, Salt Lake City, Utah 84101
3221 North 16th Street, Suite 301, Phoenix, Arizona 85016
300 South Glendale Avenue, Room 250, Glendale, California 91205-1752
2981 Fulton Avenue, Sacramento, California 95821
211 Main Street, Room 341, San Francisco, California 94105
5675 Ruffin Road, Suite 320, San Diego, California 92123-5378
111 SW Columbia, Suite 1010, Portland, Oregon 97201-5842
1111 Third Avenue, Suite 755, Seattle, Washington 98101-3212

Office of Federal Contract Compliance Programs, ESA, Responsible
Officials, Regional Offices

One Congress Street, 11th Floor, Boston, Massachusetts 02114
201 Varick Street, Room 750, New York, New York 10014
Gateway Building, Room 15340, 3535 Market Street, Philadelphia,
Pennsylvania 19104
1375 Peachtree Street, NE, Suite 678, Atlanta, Georgia 30367
Kluczynski Federal Building, Room 570, 230 South Dearborn Street,
Chicago, Illinois 60604
Federal Building, Room 840, 525 South Griffin Street, Dallas, Texas
75202
Federal Office Building, 911 Walnut Street, Room 2011, Kansas City,
Missouri 64106
1801 California Street, Suite 935, Denver, Colorado 80202
71 Stevenson Street, Suite 1700, San Francisco, California 94105
1111 Third Avenue, Suite 610, Seattle, Washington 98101-3212

Office of Workers' Compensation Programs, ESA, Responsible Officials,
District Directors

One Congress Street, 11th Floor, Boston, Massachusetts 02203 (FECA and
LHWCA only)
201 Varick Street, Seventh Floor, New York, New York 10014 (FECA and
LHWCA only)
3535 Market Street, Philadelphia, Pennsylvania 19104 (FECA and LHWCA
only)
Penn Traffic Building, 319 Washington Street, Johnstown, Pennsylvania
15901 (BLBA only)
South Main Towers, 116 South Main Street, Room 208, Wilkes-Barre,
Pennsylvania 18701 (BLBA only)
Wellington Square, 1225 South Main Street, Greensburg, Pennsylvania
15601 (BLBA only)
31 Hopkins Plaza, Room 1026, Baltimore, Maryland 22201 (LHWCA only)
Federal Building, 200 Granby Mall, Room 212, Norfolk, Virginia 23510
(LHWCA only)
2 Hale Street, Suite 304, Charleston, West Virginia 25301 (BLBA only)
609 Market Street, Parkersburg, West Virginia 26101 (BLBA only)
800 North Capitol Street, NW, Washington, DC 20211 (FECA only)
1200 Upshur Street, NW, Washington, DC 20210 (DCCA only)
334 Main Street, Fifth Floor, Pikeville, Kentucky 41501 (BLBA only)
500 Springdale Plaza, Spring Street, Mt. Sterling, Kentucky 40353
(BLBA only)
214 N. Hogan Street, 10th Floor, Jacksonville, Florida 32201 (FECA and
LHWCA only)
230 South Dearborn Street, 8th floor, Chicago, Illinois 60604 (FECA
and LHWCA)
1240 East 9th Street, Cleveland, Ohio 44199 (FECA only)
274 Marconi Boulevard, 3rd Floor, Columbus, Ohio 43215 (BLBA only)
525 Griffin Street, Federal Building, Dallas, Texas 75202 (FECA only)
701 Loyola Avenue, Room 13032, New Orleans, Louisiana 70113 (LHWCA
only)
12600 North Featherwood, Drive, Houston, Texas 77034 (LHWCA only)
911 Walnut Street, Kansas City, Missouri 64106 (FECA only)
1801 California Street, Denver, Colorado 80202 (FECA and BLBA only)
71 Stevenson Street, 2nd Floor, San Francisco, California 94105 (FECA
and LHWCA only)
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802 (LHWCA
only)
300 Ala Moana Boulevard, Room 5108, Honolulu, Hawaii 96850 (LHWCA
only)
1111 3rd Avenue, Seattle, Washington 98101-3212 (LHWCA and FECA only)
Room 1800
J.F.K. Building Government Center, Boston, Massachusetts 02203
201 Varick Street, Room 750, New York, New York 10014
3535 Market Street, Philadelphia, Pennsylvania 19104
Penn Traffic Building, 319 Washington Street, Johnstown, Pennsylvania
15901 (BLBA only)
South Main Towers, 116 South Main Street, Wilkes-Barre, Pennsylvania
18701 (BLB only)
Wellington Square, 1225 South Main Street, Greensburg, Pennsylvania
15601 (BLBA only)
31 Hopkins Plaza, Baltimore, Maryland 21201 (LHWCA only)
200 Granby Mall, Norfolk, Virginia 23502 (LHWCA only)
1026 Quarrier Street, First Floor, Charleston, West Virginia 25301
(BLBA only)
609 Market Street, Parkersburg, West Virginia 26101 (BLBA only)
800 North Captiol Street, NW, Washington, DC 20210 (FECA only)
200 Constitution Ave., NW, Room C-4315, Washington, DC 20210 (DCCA)
334 Main Street, Fifth Floor, Pikeville, Kentucky 41501 (BLBA only)
500 Springdale Plaza, Spring Street, Mt. Sterling, Kentucky 40353
(BLBA only)
311 West Monroe, Jacksonville, Florida 32202 (LHWCA only)
400 West Bay Street, Jacksonville, Florida 32202 (FECA only)
230 South Dearborn Street, Chicago, Illinois 60604
1240 East 9th Street, Cleveland, Ohio 44199 (FECA only)
274 Marconi Boulevard, Third Floor, Columbus, Ohio 43215 (BLBA only)
525 Griffin Street, Federal Building, Dallas, Texas 75202
500 Camp Street, New Orleans, Louisiana 70130
12600 North Featherwood Drive, Houston, Texas 77034 (LHWCA only)
601 Rosenberg Avenue, Galveston, Texas 77553 (LHWCA only)
911 Walnut Street, Kansas City, Missouri 64106 (FECA only)
1961 Stout Street, Drawer 3558, Denver, Colorado 80294 (FECA only)
PO Box 25346, Denver, Colorado 80225 (BLBA only)
Federal Building, PO Box 3769, San Francisco, California 94119
PO Box 3327, Terminal Island, California 90731 (LHWCA only)
300 Ala Moana Boulevard, Honolulu, Hawaii 96850
909 lst Avenue, Seattle, Washington 98174

Mine Safety & Health Administration Field Offices

Chief, Division of Mining Information System, MSHA
PO Box 25367, DFC, Denver, CO 80225-0367
Superintendent, National Mine Health and Safety Academy
PO Box 1166, Beckley, WV 25802-1166
Chief, Approval and Certification Center
MSHA
R.R. Box 251, Industrial Park Road, Triadelphia, WV 26059
District Manager for Coal Mine Safety and Health
Penn Place, Room 3128, 20 N. Pennsylvania Avenue, Wilkes-Barre, PA
18701
RR1, Box 736, Hunker, PA 15639
5012 Mountaineer Mall, Morgantown, WV 26505
100 Bluestone Road, Mt. Hope, WV 25880
PO Box 560, Norton, VA 24273
219 Ratliff Creek Road, Pikeville, KY 41501
HC 66, Box 1762, Barbourville, KY 40906
PO Box 418, Vincennes, IN 47591
PO Box 25367, Denver, CO 80225-0367
100 YMCA Drive, Madisonville, KY 42431-9019
District Manager for Metal and NonMetal Mine Safety and Health
230 Executive Drive, Mars, PA 16046-9812
135 Gemini Circle, Suite 212, Birmingham, AL 35209
515 W. 1st Street, No. 228, Duluth, MN 55802-1302
1100 Commerce Street, Room 4C50, Dallas, TX 75242-0499
PO Box 25367, Denver, CO 80225-0367
3333 Vaca Valley Parkway, Suite 600, Vacaville, CA 95688

Office of Labor-Management Standards, Regional Directors--District
Directors:

OLMS Regional Directors:
Suite 600, 1365 Peachtree Street, NE, Atlanta, GA 30367
Suite 302, 121 High Street Boston, MA 02110
Suite 774, Federal Office Building, 230 S. Dearborn Street, Chicago,
IL 60604
Suite 831, Federal Office Building, 1240 E. Ninth Street, Cleveland,
OH 44199
Suite 300, 525 Griffin Sq. Bldg., Griffin & Young Streets, Dallas, TX
75202
Suite 2200, Federal Office Bldg., 911 Walnut Street, Kansas City, MO
64106
Suite 878, 201 Varick Street, New York, NY 10014
Suite 9452, William Green Federal Bldg., 600 Arch Street,
Philadelphia, PA 19106
Suite 725, 71 Stevenson Place, San Francisco, CA 94105
Suite 558, Riddell Bldg., 1730 K Street, NW, Washington, DC 20006

OLMS District Directors:
Suite 1310, Federal Bldg., 111 W. Huron Street, Buffalo, NY 14202
Suite 950, 525 Vine Street, Cincinnati, OH 45202
Suite 940, 1801 California Street, Denver, CO 80202-2614
Suite 630, Federal Bldg. & Courthouse, 231 W. Lafayette Street,
Detroit, MI 48226
Suite 350, Federal Office Bldg., Carlos Chardon Street, Hato Rey, PR
00918
Suite 165, 401 Louisiana Street, Houston, TX 77002
Suite 708, 3660 Wilshire Boulevard, Los Angeles, CA 90010
Suite 503, Washington Square Bldg., 111 NW 183rd Street, Miami, FL
33169
Suite 118, 517 East Wisconsin Avenue, Milwaukee, WI 53202-4504
Suite 100, Bridgeplace, 220 South Second Street, Minneapolis, MN 55401
Suite 238, 233 Cumberland Bend Drive, Nashville, TN 37228
Metro Star Plaza, 190 Middlesex/Essex Turnpike, Iselin, NJ 08830
Suite 804, 234 Church Street, New Haven, CT 06510
Suite 13009, 701 Loyola Avenue, New Orleans, LA 70113
Suite 801, Federal Office Bldg., 1000 Liberty Avenue, Pittsburgh, PA
15222
Suite 9109 E, 1222 Spruce Street, St. Louis, MO 63103
Suite 880 111 3rd Avenue, Seattle, WA 98101-3212
Suite 301, 4905 W. Laurel Street, Tampa, FL 33607
Regional Administrator, Occupational Safety and Health Administration
(OSHA)
Area Director, OSHA:
Valley Office Park, 13 Branch Street, Methuen, Massachusetts 01844
639 Granite Street, 4th Floor, Braintree, Massachusetts 02184
279 Pleasant Street, Suite 201, Concord, New Hampshire 03301
380 Westminster Mall, Room 243, Providence, Rhode Island 02903
1145 Main Street, Room 108, Springfield, Massachusetts 01103-1493
40 Western Avenue, Room 121, Augusta, Maine 04330
Federal Office Building, 450 Main Street, Room 508, Hartford,
Connecticut 06103
One LaFayette Square, Suite 202, Bridgeport, Connecticut 06604
90 Church Street, Room 1407, New York, New York 10007
990 Westbury Road, Westbury, New York 11590
42-40 Bell Boulevard, Bayside, New York 11361
3300 Vikery Road, North New, Syracuse, New York 13212
5360 Genesee Street, Bowmansville, New York 14026
U.S. Courthouse & Federal Office Building, Carlos Chardon Avenue, Room
559, Hato Key, Puerto Rico 00918
401 New Karner Road, Suite 300, Albany, New York 12205-3809
Marlton Executive Park, Building 2, Suite 120, 701 Route 73 South,
Marlton, New Jersey 08053
299 Cherry Hill Road, Suite 304, Parsippany, New Jersey 07054
500 Route 17 South, 2nd Floor, Hasbrouck Heights, New Jersey 07604
Plaza 35, Suite 205, 1030 St. Georges Avenue, Avenel, New Jersey 07001
660 White Plains Road, 4th Floor, Tarrytown, New York 10591-5107
US Custom House, Room 242, Second & Chestnut Street, Philadelphia,
Pennsylvania 19106
One Rodney Square, Suite 402, 920 King Street, Wilmington, Delaware
19801
Federal Building, Room 1428, 1000 Liberty Avenue, Pittsburgh,
Pennsylvania 15222
20 North Pennsylvania Avenue, Penn Place, Room 2005, Wilkes-Barre,
Pennsylvania 18701-3590
850 North 5th Street, Allentown, Pennsylvania 18102
550 Eagan Street, Room 206, Charleston, West Virginia 25301
3939 West Ridge Road, Suite B12, Erie, Pennsylvania 16506-1857
Progress Plaza, 49 North Progress Street, Harrisburg, Pennsylvania
17109
Federal Building, Room 1110, Charles Center, 31 Hopkins Plaza,
Baltimore, Maryland 21201
Federal Office Building, 200 Granby Street, Room 835, Norfolk,
Virginia 23510-1811
La Vista Perimeter Office Park, Building 7, Suite 110, Tucker, Georgia
30084
2400 Herodian Way, Suite 250, Smyrna, Georgia 30080
450 Mall Boulevard, Suite J, Savannah, Georgia 31406
Todd Mall, 2047 Canyon Road, Birmingham, Alabama 35216
3737 Government Boulevard, Suite 100, Mobile, Alabama 36693
1835 Assembly Street, Room 1468, Columbia, South Carolina 29201
Jacaradna Executive Court, 8040 Peters Road, Building H-100, Fort
Lauderdale, Florida 33324
3780 I-55 North, Suite 210, Jackson, Mississippi 39211-6323
3100 University Boulevard South, Room 303, Jacksonville, Florida 32216
John C. Watts Federal Building, 330 West Broadway, Room 108,
Frankfort, Kentucky 40601
2002 Richard Jones Road, Suite C-205, Nashville, Tennessee 37215
Century Station, 300 Fayetteville Mall, Room 438, Raleigh, North
Carolina 27601
5807 Breckenridge Parkway Suite A, Tampa, Florida 33610
1600 167th Street, Suite 12, Calumet City, Illinois 604009
O'Hara Lake Plaza, 2360 East Devon Avenue, Suite 1010, Des Plaines,
Illinois 60018
344 Smoke Tree Business Park, North Aurora, Illinois 60542
Federal Office Building, 1240 East 9th Street, Room 899, Cleveland,
Ohio 44199
Federal Office Building, 200 N. High Street, Room 620, Columbus, Ohio
43215
US PO & Courthouse Building, 46 East Ohio Street, Room 423,
Indianapolis, Indiana 46204
36 Triangle Park Drive, Cincinnati, Ohio 45246
2618 North Ballard Road, Appleton, Wisconsin 54915
Henry S. Reuss Building Room 1180, 310 West Wisconsin Avenue,
Milwaukee, Wisconsin 53203
110 South 4th Street, Room 116, Minneapolis, Minnesota 55401
234 North Summit Street, Room 734, Toledo, Ohio 43604
801 South Waverly Road, Suite 306, Lansing, Michigan 48917-4200
4802 East Broadway, Madison, Wisconsin 53716
2918 W. Willow Knolls Road, Peoria, Illinois 61614
8344 East R.L. Thornton Freeway, Suite 420, Dallas, Texas 75228
611 East 6th Street, Grant Building, Room 303, Austin, Texas 78701
Westbank Building, Suite 820, 505 Marquette Avenue, NW, Albuquerque,
New Mexico 87102
2156 Wooddale Boulevard, Hoover Annex, Suite 200, Baton Rouge,
Louisiana 70806
Government Plaza, 400 Mann Street, Room 300, Corpus Christi, Texas
78401
Federal Office Building, 1205 Texas Avenue, Room 422, Lubbock, Texas
79401
350 North Sam Houston Parkway East, Room 120, Houston, Texas 77060
17625 El Camino Real, Suite 400, Houston, Texas 77058
420 West Main Place, Suite 300, Oklahoma City, Oklahoma 73102
North Starr II, Suite 430, 8713 Airport Freeway, Fort Worth, Texas
76180-7604
Savers Building, Suite 828, 320 West Capitol Avenue, Little Rock,
Arkansas 72201
4171 North Mesa Street, Room C119, El Paso, Texas 79902
6200 Connecticut Avenue, Suite 100, Kansas City, Missouri 64120
911 Washington Avenue, Room 420, St. Louis, Missouri 63101
210 Walnut Street, Room 815, Des Moines, Iowa 50309
300 Epic Center, 301 North Main, Wichita, Kansas 67202
Overland--Wolf Building, Room 100, 6910 Pacific Street, Omaha,
Nebraska 68106
5799 Broadmoor, Suite 338, Mission, Kansas 66202,
19 North 25th Street, Billings, Montana 59101
220 E. Rosser, Room 348, PO Box 2439, Bismarck, North Dakota 58501
7935 East Prentice Avenue, Suite 209, Englewood, Colorado 80011-2714
1391 Speer Boulevard, Suite 210, Denver, Colorado 80204
1781 South 300 West, PO Box 65200, Salt Lake City, Utah 84165-0200
71 Stevenson Street, Room 415, San Francisco, California 94105
300 Ala Moana Boulevard, Suite 5122, PO Box 50072, Honolulu, Hawaii
96850
3221 North 16th Street, Suite 100, Phoenix, Arizona 85016
1050 East William, Suite 435, Carson City, Nevada 89701
301 West Northern Lights Boulevard, Suite 407, Anchorage, Alaska 99503
3050 North Lakeharbor Lane, Suite 134, Boise, Idaho 83703
121 107th Avenue, Northeast, Room 110, Bellevue, Washington 98004
1220 Southwest Third Avenue, Room 640, Portland, Oregon 97204
Pension and Welfare Benefits Administration Area Director or District
Supervisor

Area Director, One Bowdoin Square, 7th Floor, Boston, Massachusetts
02114
Area Director, 1633 Broadway, Rm. 226, New York, NY 10019
Area Director, 3535 Market Street,, Room M300, Gateway Building,
Philadelphia, Pennsylvania 19104
District Supervisor, 1730 K Street NW, Suite 556, Washington, DC 20006
Area Director, 1371 Peachtree Street NE, Room 205, Atlanta, Georgia
30367
District Supervisor, 111 N.W. 183rd Street, Suite 504, Miami, Florida
33169
Area Director, 1885 Dixie Highway, Suite 210, Ft. Wright, Kentucky
41011
District Supervisor, 231 W. Lafayette Street, Room 619, Detroit,
Michigan 48226
Area Director, 401 South State St., Suite 840, Chicago, Illinois 60605
Area Director, Room 1700, 911 Walnut Street, Kansas City, Missouri
64106
District Supervisor, 815 Olive Street, Room 338, St. Louis, Missouri
63101
Area Director, 525 Griffin Street, Room 707, Dallas, Texas 75202
Area Director, 71 Stevenson Street, Suite 915, PO Box 190250, San
Francisco, California 94119-0250
District Director, 1111 Third Avenue, Room 860, Seattle, Washington
98101-3212
Area Director, 3660 Wilshire Boulevard, Room 718,, Los Angeles,
California 90010
Regional Administrators, Veterans' Employment and Training Service
(VETS)
Region I:
One Congress Street, 11th Floor, Boston, Massachusetts 02114
Region II:
201 Varick Street, Room 766, New York, New York 10014
Region III:
U.S. Customs House, Room 305, Second and Chestnut Streets,
Philadelphia, Pennsylvania 19106
Region IV:
1371 Peachtree Street, NE, Room 326, Atlanta, Georgia 30367
Region V:
230 South Dearborn, Room 1064, Chicago, Illinois 60604
Region VI:
525 Griffin Street, Room 205, Dallas, Texas 75202
Region VII:
Federal Building, Room 803, 911 Walnut Street, Kansas City, Missouri
64106
Region VIII:
1801 California Street, Suite 910, Denver, Colorado 80202-2614
Region IX:
71 Stevenson Street, Suite 705, San Francisco, California 94105
Region X:
1111 Third Avenue, Suite 800, Seattle, Washington 98101-3212

APPENDIX 2-- PRIVACY ACT COORDINATORS
For general assistance, you may wish to contract the following agency coordinators for the Privacy Act.
----------------------------------------------------------------------------------------------------------------
Agency Person Address Telephone \1\
----------------------------------------------------------------------------------------------------------------
Office of the Secretary (O/SECY)........ Tena Lumpkins............. Rm. N-1301, F.P. Bldg..... 219-5095
Office, of the Asst. Secretary for Tena Lumpkins............. Rm. N-1301, F.P. Bldg..... 219-5095
Admin. and Management (OASAM).
Office of the Admin. Law Judges (O/ALJ). Mary Grace Dorsey......... Suite 400-N, Tech World... 633-0355
Benefits Review Board (BRB)............. Sharon Ratliff............ Suite 500-N, Tech World... 633-7503
Office of the American Workplace, Office Kelly Andrews............. Rm. N-5411, F.P. Bldg..... 219-4473
of Statutory Programs (OAW/OSP).
Bureau of Labor Statistics (BLS)........ Ausie Grigg............... Rm. 3255, P.S. Bldg....... 606-7628
Employees Compensation Appeals Board Mary Ellen McKenna........ Rm. 300, Reporters 401-8600
(ECAB). Building.
Employment Standards Admin. (ESA)....... Dorothy Chester........... Rm. S-3013C, F.P. Bldg.... 219-8447
Employment and Training Admin. (ETA).... Patsy Files............... Rm. N-4671, F.P. Bldg..... 219-6695
Office of the Inspector General (OIG)... Pamela Davis.............. Rm. S-5506, F.P. Bldg..... 219-6747
Deputy Under Secretary for International Patricia Clark............ Rm. S-5303, F.P. Bldg..... 219-6136
Affairs or Bureau of International
Labor Affairs (ILAB).
Office of Labor-Management Standards James Santelli............ Rm. N-5613, F.P. Bldg..... 219-7373
(OLMS).
Mine Safety and Health Admin. (MSHA).... Franklin Derenge.......... Rm. 727, Ballston Towers (703) 235-1470
3, Arlington, VA..
Occupational Safety and Health Admin. James Foster.............. Rm. N-3647, F.P. Bldg..... 219-8148
(OSHA).
Pension and Welfare Benefits Admin. June Patron............... Rm. N-5625, F.P. Bldg..... 219-6999
(PWBA).
President's Committee on the Employment Gregory Best.............. Suite 300, 1331 F. St. NW, 376-6200
of Persons with Disabilities(PCEPD). Wash., DC.
Office of the Solicitor (O/SOL)......... Elizabeth Newton.......... Rm. N-2414, F.P. Bldg..... 219-6884
Veterans' Employment and Training Carlon Johnson............ Rm. S-1310, F.P. Bldg..... 219-6350
Service (VETS).
----------------------------------------------------------------------------------------------------------------
\1\All numbers are within area code (202) except MSHA .

Building Addresses
a. Frances Perkins Building, 200 Constitution Avenue, NW, Washington,
DC 20210.
b. Postal Square Building, 2 Massachusetts Ave., NE, Washington, DC
20212-0001.
c. Ballston Towers No. 3, 4015 Wilson Boulevard, Arlington, Va. 22203.
d. Reporters' Building, 300 7th Street, SW, Washington, DC 20024.
e. Tech World, 800 K Street NW, Washington, DC, 20001-8002

PRIVACY ACT RULES

LABOR DEPARTMENT

Title 29-Labor

Subtitle A-Office of the Secretary of Labor

PART 70a--PROTECTION OF INDIVIDUAL PRIVACY IN RECORDS

Sec.

70a.1 Purpose and scope.
70a.2 Definitions.
70a.3 Conditions of disclosure of information.
70a.4 Required procedure with regard to a request by an individual for
a record contained within a system of records.
70a.5 Requirements for identification of individuals making requests.
70a.6 Disclosure of requested information to individuals.
70a.7 Request for correction or amendment to a record.
70a.8 Agency review of request for correction or amendment to a record.
70a.9 Procedures for appeal from initial adverse determination.
70a.10 Solicitation of social security numbers.
70a.11 Fees.
70a.12 Penalties.
70a.13 Exemptions.

Authority: Sec. 3(f), Privacy Act of 1974 (5 U.S.C. 552a(f), 88 Stat.
1896, 1900); 5 U.S.C. 553.

Source: 42 FR 6106, Feb. 1, 1977, unless otherwise noted.

Sec. 70a.1 Purpose and scope.

(a) Purpose. This part sets forth the basic criteria which are to be
used for implementing the provisions of the Privacy Act of 1974 (Pub. L.
93-579) as it applies to the Department of Labor.
(b) Scope. (1) Except as noted in paragraphs (b)(2) and (b)(3) of this
section, the regulations set forth in this part apply whenever a record
containing personal information is maintained within a system of records
which is under the control of the Department and such records are
retrieved by reference to a personal identifier.
(2) Requests for notification, access or amendment to personnel
records maintained by the Department are governed by parts 293 and 297
of the Civil Service Commission's regulations, title 5, Code of Federal
Regulations, and internal Department directives established pursuant to
the Commission's regulations.
(3) For systems of records contained within government-wide systems of
records under the control of the Department of Labor, the regulations of
the agency in possession of such records shall govern the procedure for
requesting access to, or amendment of the records, including initial
determinations on such requests, while the Department of Labor
regulations shall govern all other aspects of safeguarding these records
established by the Privacy Act.

Sec. 70a.2 Definitions.

For purposes of this part: (a) ``Agency'' means an agency as that term
is defined in 5 U.S.C. 552(e). It means ``each authority of the
Government of the United States, whether or not it is within or subject
to review by another agency * * *'' (5 U.S.C. 551(1)), but it does not
include an advisory committee.
(b) The term ``individual'' means a citizen of the United States (as
defined in 8 U.S.C. 1401) or an alien lawfully admitted for permanent
residence. This definition distinguishes between the rights which are
given to a citizen as an individual under this Act and the rights of
proprietorships, including sole proprietors, businesses, and
corporations, which are not covered by the Act. Records relating solely
to nonresident aliens are excluded from the requirements of this part.
However, where a system of records relates to both citizens and
nonresident aliens, those portions of the system which relate to
citizens or resident aliens must comply with the provisions set forth in
these regulations.
(c) The term ``maintain'' includes the maintenance, collection, use,
or dissemination of records, or any combination of these recordkeeping
functions. The term ``maintain'' also connotes control over and
responsibility and accountability for a system of records. Effective
control of a system of records does not necessarily require physical
control of the system (e.g., the Civil Service Commission has control
over personnel records not physically within its possession).
Furthermore, records on loan from one agency to another may not
necessarily be under the control of the latter depending upon the
circumstances attendant to, and the conditions of the transfer. Systems
of records operated under contract, or in some instances, operated by
State or local governments under Federal mandates ``by or on behalf of
the agency * * * to accomplish an agency function'' are, for purposes of
this part, under the control of the agency for which the services are
being performed, and consequently subject to the requirements set forth
in this part. The qualifying phrase ``to accomplish an agency function''
limits the applicability of the Act to those systems directly related to
the performance of Federal agency functions by excluding from its
coverage systems which are financed, in whole or in part, with Federal
funds, but which are managed by State or local governments for the
benefit of State or local governments.
(d) The term ``record'' means a tangible or documentary record, as
opposed to an intangible record, such as information contained in a
person's memory. It is any item of information, or any grouping of such
items of information, about an individual that includes an identifying
particular (i.e., an individual identifier). An ``identifying
particular'' is any element of data (name, number, etc.) or other
descriptor (finger print, voice print, photograph) which can be used to
identify an individual.
(e) The term ``system of records'' means a group of any records under
the control of an agency from which information is retrieved by
reference to the name of an individual or by some identifying particular
assigned to an individual. A ``system of records'' for purposes of this
part is a group of records which:
(1) Consists of records as that term is defined in this section,
(2) Are ``under the control of'' an agency, and
(3) Are retrieved by reference to an individual name or some other
personal individual identifier.

``Under the control of'' means those official records for which the
agency is officially responsible and either has in its possession or
exercises dominion over. This excludes those records which, although in
the physical possession of agency employees and used by them in
performing official functions, are not, in fact, agency records.
Uncirculated personal notes, papers and records which are retained or
discarded at the author's discretion and over which the agency exercises
no dominion or control (e.g., personal telephone lists) are not ``agency
records'' for purposes of this part.

The criteria ``are retrieved by'' covers those records under the control
of an agency which are, in fact, accessed by use of a personal
identifier, not merely that a capability or potential capability exists
for retrieving personal information in some manner. For example, files
on firms which contain personal information about officers of the firms
are not records for purposes of this part unless the agency actually
retrieves this information by reference to a personal identifier.
(f) The term ``statistical record'' means a record contained within a
system of records which is maintained for statistical research or
reporting purposes only, and not used, in whole or in part, in making
any determination about an identifiable individual. For a record to
qualify as a ``statistical record,'' it must be maintained as a system
of records separately from other systems of records where such other
systems contain records that are used to make determinations about the
rights, benefits, or entitlements of an identifiable individual. The
term ``identifiable individual'' distinguishes determinations about
specific individuals from determinations about aggregates of
individuals. An example of the latter is the use of census data for the
apportionment of funds based upon population.
Records frequently referred to as ``research records'' which are only
used for analytic purposes, qualify as ``statistical records'' for
purposes of this part, provided such records are not used in making any
determination about the rights, benefits or entitlement of an
identifiable individual.
(g) The term ``routine use'' means, with respect to the disclosure of
a record, the use of such record for a purpose which is compatible with
the purpose for which it was collected. The Privacy Act restricts the
use of information to such purposes, but also recognizes that there are
corollary purposes ``compatible with the purpose for which the
information was collected'' that are appropriate and necessary for the
efficient conduct of government, and are in the best interest of both
the individual and the public. Thus, the term ``routine use'' includes
the common and ordinary applications for which such records are
generally collected and all proper and necessary applications of records
without regard to the frequency of such applications.
(h) ``Disclosure officer,'' ``responsible official'' and ``officer
authorized to disclose information from Department records'' are those
officials in this Department, whose titles and addresses are listed in
Sec. 70a.4(a)(1)(ii) of this part, who must pass on requests to inspect
or copy record information in their custody. The solicitor of Labor, in
the case of appeals and with respect to withdrawal of originals is the
disclosure officer for such purposes, as is the Secretary of Labor with
respect to the withdrawal of originals. As the head of the Department,
the Secretary may invest any officer or employee of the Department with
the authority to disclose information from particular records.

Sec. 70a.3 Conditions of disclosure of information.

(a) Nothing in this part shall allow an individual access to any
information compiled in reasonable anticipation of a civil action or
proceeding.
(b) Exempt as provided in paragraphs (d) through (f) of this section,
neither the Department, nor its component units, shall disclose any
record which is contained within a system of records subject to the
requirements of this part, to any person or agency other than to the
individual who is the subject of the record, unless the disclosure is to
such person's parent or guardian as provided in Sec. 70a.5 (c) of this
part, or to the representative designated by such individual in
accordance with the requirments contained in Sec. 70a.5(b) of this part.
(c) If a requester satisfied the requirements set forth in
Sec. Sec. 70a.4 and 70a.5 of this part, and the record described in
paragraph (b) of this section does in fact exist, and is not otherwise
exempt from disclosure by any other provision contained in this part,
the record shall be made available to the requester in accordance with
Sec. 70a.6 of this part.
(d) Upon the notarized written consent of an individual to whom a
record described in paragraph (b) of this section pertains, the
Department, or any of its component units, may disclose the record to an
agency or a person other than the individual to the extent that the
individual to whom the record pertains has so consented.
(e)(1) In the absence of written consent from the individual to whom a
record described in paragraph (b) of this section pertains, the
Department may disclose any such record provided such disclosure is:
(i) To those officers and employees of the Department of Labor who
have a need for the information in the performance of their duties;
(ii) Required under the Freedom of Information Act (5 U.S.C. 552);
(iii) For a ``routine use'' as published in the annual notice in the
Federal Register:
(iv) To the Bureau of Census for purposes of planning or carrying out
a census or survey or related activity under the provisions of Title 13
of the united States Code;
(v) To a recipient who has provided the Department with adequate
advance written assurance that the record will be used solely as a
statistical research or reporting record, and that the record is to be
transferred in a form that is not individually identifiable;
(vi) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(vii) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity authorized by law, provided
the head of the agency or instrumentality has made a prior written
request to the Department, or a unit component thereof, specifying the
particular record and the law enforcement activity for which it is
sought;
(viii) To either House of Congress, or, to the extent that a matter is
within its jurisdiction, any committee or subcommittee thereof; or to
any joint committee of Congress or a subcommittee of any such joint
committee;
(ix) To the Comptroller General, or any of his authorized
representatives in the course of the performance of the duties of the
General Accounting Office;
(x) Under an order of a court of competent jurisdiction, in which case
the Department shall make reasonable efforts to notify the subject
individual of the subpoenaed record when the subpoena of such material
becomes a matter of public record; or
(xi) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual (not necessarily the
individual to whom the record pertains), if upon such disclosure
notification is transmitted to the last known address of the individual
to whom the record pertains.
(2) The authority to disclose information without the written consent
of the individual does not imply mandatory disclosure. The Department
shall continue to consider all relevant factors before authorizing the
disclosure of information, including the effect that disclosure would
have upon the individual who is the subject of the record.
(f) When a record has been amended or a requested amendment thereto
has been denied, and the requester has submitted a memorandum of
disagreement, the amended information, or the memorandum of
disagreement, must be transmitted to prior recipients as provided in 5
U.S.C. 552a(d)(4) and Sec. 70a.9(f) of this part.
(g) Except as prescribed in paragraphs (d) and (f) of this section,
and other provisions of this part related thereto, the regulations
contained in this part do not require the disclosure of a record to
anyone other than the individual to whom the record pertains.

Sec. 70a.4 Required procedure with regard to a request by an
individual for a record contained within a system of records.

(a)(1)(i) Any individual, regardless of age, desiring to examine or
copy records of the Department of Labor which are retrieved in the name
of that individual or other identifier personal to that individual shall
direct a request to the appropriate official as prescribed in paragraph
(d) of this section. Any individual desiring to ascertain whether, and
to whom the Department has disclosed his or her record or part thereof,
or deserving to request an amendment to such record, shall direct a
request to the same official.
(ii) When a person is uncertain as to whom the request should be
directed, it should be sent to: Deputy Assistant Secretary, Office of
the Assistant Secretary for Administration and Management, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
(2) Requests made in person shall be presented during the Department's
normal working hours. When the request is made by mail, a notation
should be made on the envelope and conspicuously on the letter
indicating that the communication involves a request under the Privacy
Act (i.e., ``Privacy Act Request'').
(b) Each request shall be in writing. It shall state the nature of the
action desired and shall be reasonably detailed to permit identification
and location of the record in question. so far as practicable, the
request should specify the subject matter of the record, the date or
approximate date when made, the place where made, the person or office
that made it, and any other pertinent identifying details. The requester
should also indicate whether he or she wishes to review the record in
person or obtain a copy by mail.
(c)(1) The disclosure officer who is responsible for acting upon a
request shall, upon receipt thereof, have the date and time the request
was received immediately inscribed thereon, and within 10 working days
thereafter, acknowledge such receipt to the requester. In addition, the
acknowledgement shall indicate the time within which it is anticipated
that a determination of the request will be made. Such an
acknowledgement, however, is not required when a determination can be
made within the 10-day period.
(2) If the description contained in the request is insufficient so
that a professional employee who is familiar with the subject area of
the request cannot locate the record with a reasonable amount of effort,
the officer processing the request shall notify the applicant and, to
the extent possible, indicate the additional information required. Every
reasonable effort shall be made to assist an applicant in the
identification and location of the record or records sought.
(d)(1) The titles of the responsible officials of the various
independent agencies in the Department of Labor are listed below. Unless
otherwise specified, the mailing address of these officials shall be:

U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC.
20210

Chief, Administrative Law Judge.
Chairperson, Employees Compensation Appeals Board.
Benefits Review Board, Julius Miller, Member.
Executive Assistant to the Secretary.
Executive Assistant to the Under Secretary.
Deputy Under Secretary for International Labor Affairs.
Associate Deputy Under Secretary for International Labor Affairs.
Associate Deputy Under Secretary for Trade and Adjustment Policy.
Director, Office of Information, Publication and Reports.
Executive assistant to the Assistant Secretary for Policy, Evaluation
and Research.
Deputy Solicitor, Office of the Solicitor.
Assistant Secretary for Administration and Management.
Administrative Information Chief, Division of Management Systems, Bureau
of Labor Statistics.
Staff Utilization Chief, Division of Operation, Bureau of Labor
Statistics.
Executive Assistant to Deputy Commissioner for Statistical Operations
and Processing, Office of Statistical Operations and Processing,
Bureau of Labor Statistics.
Assistant Secretary for Labor-Management Relations.
Assistant Administrator for Field Operations, LMSA.
Director, Office of Labor-Management Relations Services.
Director, Office of Labor-Management Policy Development.
Director, Office of Labor-Management Standards Enforcement.
Director, Office of Veterans' Reemployment Rights.
Director, Office of Federal Labor-Management Relations.
Deputy Administrator of Pension and Welfare Benefit Program, Office of
Employee Benefits Security.
Director, Office of Administration and Management, LMSA.
Director, Office of Planning, Evaluation and Systems, LSMA.
Director, Office of Personnel Management.
Assistant Director, Office of Personnel Management.
Assistant Regional Director for Labor-Management Services.
Assistant Secretary for Employment Standards, Employment Standards
Administration.
Director, Office of Workers' Compensation Programs.
Associate Director for Federal Employees' Compensation.
Associate Director for Longshore and Harbor Workers' Compensation.
Administrator, Wage and Hour Division.
Director, Office of Federal Contract Compliance Programs.
Associate Director, OFCCP, Agency Compliance Divisions I-IV.
Associate Director, OFCCP, Policies, Plans and Programs.
Associate Director, OFCCP, Construction Compliance Division.
Associate Director, OFCCP, Management Support Staff.
Associate Director, OFCCP, Veterans and Handicapped Workers Program
Operations Division.
Director, Women's Bureau.
Director, Office of Administrative Management, ESA.
Director, Office of Program Development and Accountability, ESA.
Director, Office of Information for ESA.
Executive Assistant to the Assistant Secretary, Occupational Safety and
Health Administration.
Special Assistant for Public Affairs, OSHA.
Director, Office of Federal Agency Safety Programs, OSHA.
Director, Office of Training and Education, OSHA.
Director, Office of Standards Development, OSHA.
Director, Office of Compliance Programming, OSHA.
Director, Office of State Programs, OSHA.
Director, Office of Field Performance Analysis, OSHA.
Director, Office of Employee Self-Inspection and Consultation Programs,
OSHA.
Director, Office of Management Data systems, OSHA.
Director, Office of Planning, Evaluation, and Research, OSHA.
Equal Employment Opportunity Officer, OSHA.
Director, Office of Personnel Management, OSHA.
Director, Office of Administrative Management, OSHA.
Director, Office of Financial Management, OSHA.
Director, Office of Publications and Visual Aids, OSHA.
Committee Management Officer, OSHA.
Associate Assistant Secretary for Regional Programs, OSHA.
Associate Assistant Secretary for National Programs, OSHA.
Associate Assistant Secretary for Administrative Programs, OSHA.

(2) The mailing address for the responsible officials in the
Employment and Training Administration is the Patrick Henry Building,
601 D Street, NW, Washington, DC 20213.

Director, Office of Program and Management Service, USES, Room 8430.
Administrative Officer, USES, Room 8001.
Director, Program and Management Services Staff, Office of Comprehensive
Employment Development, Room 6000.
Executive Assistant to the Administrator, Office of Comprehensive
Employment Development, Room 6000.
Deputy Director, Office of Community Employment Programs, Room 5402.
Special Assistant to the Director, Office of Community Employment
Programs, Room 5402.
Program Analyst, Office of Work Incentive Programs, Room 5200.
Manpower Development Specialist, Office of Work Incentive Programs, Room
5118.
Chief, Corpsmember Support, Job Corps, Room 6122.
Manpower Development Specialist, Job Corps, Room 6022.
Deputy Director, Office of National Programs, Room 6402.
Chief, Migrant Workers Service, Office of National Programs, Room 7122.
Chief, Division of Indian and Native American Programs, Office of
National Programs, Room 6102.
Chief, Division of National Training Programs, Office of National
Programs, Room 6308.
Chief, Division of Contracting Service, Office of National Programs,
Room 6406.
Administrator, Office of Policy, Evaluation and Research, Room 9000.
Manpower Analyst, Office of Policy, Evaluation and Research, Room 9424.
Administrator, Bureau of Apprenticeship and Training, Room 5000.
Management Officer, Bureau of Apprenticeship and Training, Room 5434.
Chief, Division of Directives Control, Office of Field Operation, Room
10020.
Program Analyst, Office of Field Operation, Room 10014.
Director, Office of Management Information Systems, Office of
Administration and Management, Room 4400.
Supervisory Program Analyst, Office of Administration and Management,
Room 4000.
Program Specialist, Unemployment Insurance Service, Room 7326.
Special Assistant to the Director, Unemployment Insurance Service, Room
7000.

(3) The titles of the responsible officials in the field offices of
the various independent agencies are listed below. Unless otherwise
specified, the mailing addresses for these officials, by regions, shall
be:

Region I: J.F.K. Building, Government Center, Boston, Massachusetts
02203.
Region II: 1515 Broadway, New York, New York 10036.
Region III: 3535 Market Street, Philadelphia, Pennsylvania 19104.
Region IV: 1371 Peachtree Street, NE, Atlanta, Georgia 30309.
Region V: 230 South Dearborn Street, Chicago, Illinois 60604.
Region VI: 555 Griffin Square Building, Griffin and Young Streets,
Dallas, Texas 75202.
Region VII: Federal Office Building, 911 Walnut Street, Kansas City,
Missouri 64106.
Region VIII: Federal Office Building, 1961 Stout Street, Denver,
Colorado 80202.
Regional IX: Federal Building, 450 Golden Gate Avenue, San Francisco,
California 94102.
Region X: 909 First Avenue, Seattle, Washington 98174.

OFFICE OF THE UNDER SECRETARY, REGIONAL DIRECTORS

OFFICE OF THE ASSISTANT SECRETARY FOR ADMINISTRATION AND MANAGEMENT,
ASSISTANT REGIONAL DIRECTORS

Assistant Regional Director for Audit. (All Regions.)

OFFICE OF INFORMATION, PUBLICATIONS AND REPORTS

Assistant Regional Director for Regions I-IX.
Region X: Assistant Regional Director for Information, 1321 Second
Avenue, Arcade Plaza, Seattle, Washington.
Associate Assistant Regional Director, Federal Building, 300 North Los
Angeles Street, Los Angeles, California.

EMPLOYMENT AND TRAINING ADMINISTRATION

Region I: Acting Regional Administrator for Employment and Training,
Room 1707.
Region I: Deputy Regional Administrator for Employment and Training,
Room 1707.
Region I: Associate Regional Administrator for Administration and
Management Services, Room 1712.
Region I. Program Analyst, Room 3724.
Region III: Chief, Division of Administrative Support, Room 13464,
Gateway Building, PO Box 8796, Philadelphia, Pennsylvania 19101.
Region III: Alien Employment Certifying Officer, Room 13180, Gateway
Building.
Region IV: Chief, Manpower Data Systems and Analysis, Room 405.
Region IV: Regional Economist, Room 405.
Region V: Chief, Contract Specialist, 6th Floor.
Region VI: Supervisory Contract Specialist, Room 316.
Region VII: Supervisory Contract Specialist, Room 800.
Region VII: Contract Specialist, Room 800.
Region VIII: Executive Assistant to the Regional Administrator for
Employment and Training, Room 16018.
Region IX: Executive Assistant to the Regional Administrator for
Administration and Management Services, Room 9062.
Region IX: Contract Specialist, Room 9057A.
Region X: Executive Assistant to the Regional Administrator for
Administration and Management Services, Room 1136.
Region X: Associate Regional Administrator for Program and Technical
Services, Room 1094.

LABOR-MANAGEMENT SERVICES

Assistant Regional Directors for Labor-Management Services.
Regions II, III, IV, V, VII and IX.

AREA DIRECTORS FOR LABOR-MANAGEMENT SERVICES

1371 Peachtree Street, NE, Room 303, Atlanta, Georgia 30309.
111 North Calvert Street, Room 203, Baltimore, Maryland 21202.
100 Tremont Street, Room 211, New Studio Building, Boston, Massachusetts
02108.
111 West Huron Street, Room 616, Federal Building, Buffalo, New York
14202.
230 South Dearborn Street, Room 700, Federal Office Building, Chicago,
Illinois 60604.
1240 East 9th Stret, Room 821, Federal Office Building, Cleveland, Ohio
44199.
PO Box 239, Bryan and Ervay Streets, Room 301, Post Office Building,
Dallas, Texas 75221.
1961 Stout Street, 2320 Federal Office Building, Denver, Colorado 80202.
234 State Street, Room 1906, Washington Boulevard Building, Detroit,
Michigan 43226.
1833 Kalakaua Avenue, Room 601, Honolulu Hawaii 96315.
911 Walnut Street, Room 2200, Federal Office Building, Kansas City,
Missouri 64106.
300 North Los Angeles Street, Room 7731, Federal Building, Los Angeles,
California.
18350 Northwest Second Avenue, PO Box 3750, Norland Branch, Miami,
Florida 33169.
110 South Fourth Street, Room 110 Federal Courts Building, Minneapolis,
Minnesota 55401.
1808 West End Building, Room 825, Nashville, Tennessee 37203.
9 Clinton Street, Room 305, Newark, New Jersey 07102.
600 South Street, Room 940, Federal Office Building, New Orleans,
Louisiana 70130.
26 Federal Plaza, Room 1751, New York, New York, 10007.
600 Arch Street, Room 4256, Federal Office Building, Philadelphia,
Pennsylvania 19106.
1000 Liberty Avenue, Room 1436, Federal Office Building, Pittsburgh,
Pennsylvania 15222.
210 North Twelfth Boulevard, Room 570, St. Louis, Missouri 63101.
100 McAllister Street, Room 1604, San Francisco, California 94102.
605 Condado Avenue, Room 704, Condominio San Alberto, Santurce, Puerto
Rico 00907.
506 Second Avenue, Room 3391. Smith Tower Building, Seattle, Washington
98104.
1111 20th Street. NW, PO Box 19257, Room 509 Vanguard Building,
Washington, DC 20036.

THE EMPLOYMENT STANDARDS ADMINISTRATION

Assistant Regional Administrator for Wage and Hour Division: All
Regions.
Assistant Regional Administrator for Office of Federal Contract
Compliance Programs: All Regions.
Assistant Regional Administrator for Women's Bureau: All Regions.
Assistant Regional Administrator for Program Development and
Accountability: All Regions.

OFFICE OF WORKERS' COMPENSATION PROGRAMS-DEPUTY COMMISSIONER

147 Milk Street, Boston, Massachusetts 02109.
1515 Broadway, New York, New York 10036.
3535 Market Street, Philadelphia, Pennsylvania 19104.
Charles Center South, 31 Hopkins Plaza, Baltimore, Maryland 21201.
Stanwick Building, 3661 Virginia Beach, Boulevard, East Norfolk,
Virginia 23502.
400 West Bay Street, Box 35049, Jacksonville, Florida 32202.
Federal Office Building, 600 South Street, New Orleans, Louisiana 70130.
2320 LaBranch Street, Houston, Texas 77004.
1240 East Ninth Street, Room 879, Cleveland, Ohio 44199.
230 South Dearborn Street, Chicago, Illinois 60604.
1910 Federal Office Building, 911 Walnut Street, Kansas City, Missouri
64106.
1531 Stout Street, Room 303, Denver, Colorado 80202.
450 Golden Gate Avenue, Box 36022, San Francisco, California 94102.
Federal Office Building, 909 First Street, Seattle, Washington 98174.
1833 Kalakaua Avenue, Room 610, Honolulu, Hawaii 96315.
McLachlen Building, Room 405, 616 11th Street, NW, Washington, DC 20211
(FECA).
812 Connecticut Avenue, NW, Washington, DC 20211 (DCCA).
Director, Condominio San Alberto Building, 7th Floor, 120 Ponce de Leon
Avenue, Santurce, Puerto Rico 00907.

OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION

Director, OSHA Training Institute, 10600 West Higgins Road, Rosemont,
Illinois 60018.

ASSISTANT REGIONAL DIRECTORS

Region I, 18 Oliver Street, Boston, Massachusetts 02110.
Regions II, III, IV, V, VI, VII, VIII and IX.
Region X, 1803 Smith Tower Building, 506 Second Avenue, Seattle,
Washington 98104.

AREA DIRECTORS

Custom House Building, Room 703, State Street, Boston, Massachusetts
02109.
Federal Building, Room 426, 55 Pleasant Street, Concord, New Hampshire
03301.
Federal Building, Room 617B, 450 Main Street, Hartford, Connecticut
06103.
U.S. Post Office and Courthouse Building, 436 Dwight Street, Room 501,
Springfield, Massachusetts 01103.
370 Old Country Road, Garden City, L.I., New York 11530.
90 Church Street, Room 1405, New York, New York 10007.
970 Broad Street, Room 1435C, Newark, New Jersey 07102.
605 Condado Avenue, Room 328, Santurce, Puerto Rico 00907.
Midtown Plaza, Room 203, 700 East Water Street, Syracuse, New York
13210.
Railway Labor Building, Room 411, 400 1st Street, NW, Washington, DC
20210.
Federal Building, Room 1110A, Charles Center, 31 Hopkins Plaza,
Baltimore, Maryland 21201.
Charleston National Plaza, 700 Virginia Avenue, Room 1726, Charleston,
West Virginia 25301.
Jonnet Building, Room 802, 4099 William Penn Highway, Monroeville,
Pennsylvania 15146.
William J. Green, Jr., Federal Building, Room 4456, 600 Arch Street,
Philadelphia, Pennsylvania 19106.
Federal Building, Room 8015, PO Box 10186, 400 North 8th Street,
Richmond, Virginia 23240.
Todd Mall, 2047 Canyon Road, Birmingham, Alabama 35216.
1710 Gervais Street, Room 205, Columbia, South Carolina 29201.
Bridge Building, Room 204, 3200 East Oakland Park Boulevard, Ford
Lauderdale, Florida 33308.
57601-55 North Frontage Road East, Jackson, Mississippi 39211.
Art Museum Plaza, Suite 4, 2809 Art Museum Drive, Jacksonville, Florida
32207.
600 Federal Place, Suite 554-E, Louisville, Kentucky 40202.
Riverside Plaza Shopping Center, 2720 Riverside Drive, Macon, Georgia
31204.
Commerce Building, Room 600, 118 North Royal Street, Mobile, Alabama
36602.
1600 Hayes Street, Suite, 302, Nashville, Tennessee 37203.
Federal Office Building, Room 406, 310 New Bern Avenue, Raleigh, North
Carolina 27601.
Enterprise Building, Suite 204, 6605 Abercon Street, Savannah, Georgia
31405.
650 Cleveland Street, Room 44, Clearwater, Florida, 33515.
Building 10, Suite 33, La Vista Perimter Office Park, Tucker, Georgia
30084.
230 South Dearborn Street, 10th Floor, Chicago, Illinois 60604.
Federal Office Building, Room 4028, 550 Main Street, Cincinnati, Ohio
45202.
Federal Office Building, Room 847, 1240 East 9th Street, Cleveland, Ohio
44199.
360 South 3rd Street, Room 109, Columbus, Ohio 43215.
Michigan Theatre Building, Room 626, 220 Bagley Avenue, Detroit,
Michigan 48226.
U.S. Post Office and Courthouse, 46 East Ohio Street, Room 423,
Indianapolis, Indiana 46202.
Clark Building, Room 400, 633 West Wisconsin Avenue, Milwaukee,
Wisconsin 53203.
110 South 4th Street, Room 437, Minneapolis, Minnesota 55401.
Federal Building, Room 302, 421 Gold Avenue SW, PO Box 1428,
Albuquerque, New Mexico 37103.
Adolphus Tower, Suite 1820, 1412 Main Street, Dallas, Texas 75202.
2320 LaBranch Street, Room 2118, Houston, Texas 77004.
Federal Building, Room 421, 1205 Texas Avenue, Lubbock, Texas 79401.
Donaghey Building, Room 526, 103 East 7th Street, Little Rock, Arkansas
72201.
546 Carodelet Street, Room 202, New Orleans, Louisiana 70130.
Petroleum Building, Room 512, 420 South Boulder, Tulsa, Oklahoma 74103.
1015 Jackson Keller Road, Room 122, San Antonio, Texas 78213.
210 Walnut Street, Room 643, Des Moines, Iowa 50309.
1627 Main Street, Room 1100, Kansas City, Missouri 64108.
113 West Sixth Street, North Platte, Nebraska 69101.
Harney & 16th Street, Room 803, City National Bank Building, Omaha,
Nebraska 63102.
210 North 12th Boulevard, Room 554, St. Louis, Missouri 63101.
Petroleum Building, Suite 312, 221 south Broadway Street, Wichita,
Kansas 67202.
Petroleum Building, Suite 525, 2812 First Avenue North, Billings,
Montana 59101.
Squire Plaza Building, 8527 West Colfax Avenue, Lakewood, Colorado
80215.
U.S. Post Office Building, Room 452, 3501 South Main Street, Salt Lake
City, Utah 84101.
Courthouse Plaza Building, Room 408, 300 North Dakota Avenue, Sioux
Falls, South Dakota 57102.
1100 East William Street, Carson City, Nevada 89701.
333 Queen Street, Suite 505, Honolulu, Hawaii 96813.
Hartwell Building, Room 401, 19 Pine Avenue, Long Beach, California
90802.
Amerco Towers, Suite 318, 2721 North Central Avenue, Phoenix, Arizona
85004.
100 McAllister Street, Room 1706, San Francisco, California 94102.
Federal Building, Room 227, 605 West Fourth Avenue, Anchorage, Alaska
99051.
121 107th Street, NE, Bellevue, Washington 98004.
228 Idaho Building, 216 North Eighth Street, Boise, Idaho 83702.
Pittock Block, Room 526, 921S West Washington Street, Portland, Oregon
97205.

DISTRICT SUPERVISORS

Federal Building, Room 503A, U.S. Courthouse, Providence, Rhode Island
02903.
Stanwick Building, Room 111, 3661 Virginia Beach Boulevard, Norfolk,
Virginia 23502.
600 Leopard Street, Suite 1322, Corpus Christi, Texas 78401.

Sec. 70a.5 Requirements for identification of individuals making
requests.

(a) To avoid disclosure of information to unauthorized individuals,
where an individual requests personal information about himself or
herself, and such information is retrieved from a system of records by
means of a personal identifier, and the record(s) requested are excluded
from mandatory disclosure under the Freedom of Information Act, the
following requirements must be met before the disclosure officer
releases the relevant information:
(1) When a request is submitted by mail, the signature of the
requester shall be notarized;
(2) When a request is made in person, an official photograph
accurately depicting the requester, and indicating the requester's name
(e.g., government ID, driver's license, college ID, etc., shall be
presented to the disclosure officer or his authorized representative, or
if an official photograph is not available, a photograph accompanied by
a notarization certifying the name of the individual in the photograph.
(b) When a person, other than an officer or employee of the Department
with a need to know, requests access to a record about an individual
other than himself or herself, then in addition to meeting the
requirements set forth in paragraphs (a)(1) and (a)(2) of this section,
as applicable, the requester must also provide a notarized letter of
consent signed by the individual to whom the record pertains which
explicitly authorizes the requester to receive the record. A notarized
letter of consent is not required where the requester is a parent or
legal guardian, and such person satisfies the requirements set forth in
paragraph (c) of this section.
(c) An individual acting as the parent of a minor or the legal
guardian of the individual to whom a record pertains shall establish his
or her personal identity in the same manner prescribed in either
paragraph (a) (1) or (2) of this section. In addition, such other
individual shall establish his or her identity in the representative
capacity of parent or legal guardian. In the case of the parent of a
minor, the proof of identity shall be a certified or authenticated copy
of the minor's birth certificate. In the case of a legal guardian of an
individual who has been declared incompetent due to physical or mental
incapacity or age by a court of competent jurisdiction, the proof of
identity shall be a certified or authenticated copy of the court's
order. A parent or legal guardian may act only for a living individual,
not for a decedent.
(d) The disclosure officer may waive the requirements set forth in
paragraphs (a), (b) and (c) of this section when he deems such action to
be appropriate, and may substitute in lieu thereof, other reasonable
means of identification.

Sec. 70a.6 Disclosure of requested information to individuals.

(a) Period within which action on request shall be taken. (1)(i) As
soon as possible, and within a period not to exceed 30 working days
after receipt of a request made in accordance with Sec. Sec. 70a.4 and
70a.5 of this part, the officer responsible for acting on the request
shall determine that such request is to be granted or denied in whole or
in part, and shall thereupon immediately notify the requester of his or
her determination and, in the case of a denial, the reasons therefor.
The provisions of paragraphs (a) (2) and (3) of this section are
applicable when a final determination to grant or deny the request
cannot be made within the 30-day period.
(2)(i) When, because of unusual circumstances it appears that a
determination may not be feasible within the 30-day period, the
disclosure officer shall submit in writing to the Solicitor a request
for an extension of time. The request for extension shall set forth the
reasons why the disclosure officer believes it is not possible to make a
determination within the 30-day period. The Solicitor shall determine
within 5 working days after receipt of such request whether to grant the
extension. ``Unusual circumstances'' shall include circumstances where a
search for a collection of requested records from inactive storage,
field facilities or other establishments are required, cases where a
voluminous amount of data is involved, instances where information on
other individuals must be separated or expunged from the particular
record, and cases where consultation with other agencies having a
substantial interest in the determination of the request is necessary.
(ii) When the Solicitor agrees that an extension is necessary because
of unusual circumstances and grants an extension of time, the officer
responsible for acting on the request shall notify the requester in
writing within the 30-day period of the extension, the reasons therefor,
and the date on which the determination to grant or deny the request is
expected to be dispatched. No extension is to exceed 10 working days.
(iii) If the disclosure officer is unable to make a determination with
respect to all or part of a request within the 30-day period specified
in paragraph (a)(1)(i) of this section, or such extended period as may
be permitted, because some or all of the records have not been located
or made available for examination and consideration in time to make an
informed determination, the officer may, within such period, respond to
the request by denying the request as to those records which are not
available, with notification to the requester of the reasons therefor,
and of the right to appeal the denial pursuant to Sec. 70a.9 of this
part. However, the disclosure officer shall make a determination at that
time as to those records or portions of records which are available. In
such an event, the officer shall advise the requester that the search or
examination will be continued and that the denial will be subject to
withdrawal, modification, or confirmation by a supplementary
determination to be made as soon as processing of the request can be
completed. if an appeal is filed from the initial denial, the Solicitor
shall act thereon as provided in Sec. 70a.9 of this part.
(b) Procedure for disclosure of information. (1) When a determination
has been made to grant a request, the requested information shall be
made available to the individual within the time period prescribed in
paragraph (a) of this section. The record shall be made available to the
individual in the manner requested, that is, either by forwarding a copy
of the information to him or her, or by making it available for review,
unless: (i) It is impracticable to provide the requester with a copy of
a record, in which case the requester shall be so notified, and, in
addition, be informed of the procedures set forth in paragraph (b)(2) of
this section, or (ii) the responsible official has reason to believe
that the cost of a copy of a record is considerably more expensive than
anticipated by the requester, in which case he or she shall notify the
requester of the estimated cost, and ascertain whether the requester
still wishes to be provided with a copy of the information.
(2) Where a record is to be reviewed by the requester in person, the
disclosure officer shall inform the requester in writing of: (i) The
date on which the record will become available for review, the location
at which it may be reviewed, and the hours for inspection; (ii) the type
of identification that will be required in order for him or her to
review the record; (iii) such person's right to have a person of his or
her own choosing accompany him or her to review the record; and (iv)
such person's right to have a person other than himself or herself
review the record.
(3) The record shall be made available for review for as long as the
disclosure officer deems appropriate, but in no event for less than 30
days.
(4) Inspection of original records shall be made in the presence of
the disclosure officer or such officer's designee.
(c) Denial of request. Where it has been determined to deny a request
in whole or in part, the individual shall be notified in writing of such
a determination. Such notification shall specify the reasons therefor,
the name and title or position of the person(s) responsible for the
denial, and shall advise the requester of the procedure for appealing
such an adverse determination to the Solicitor of Labor.
(d) Medical records. When an individual requests medical records
concerning himself, which are not otherwise exempt from disclosure, the
disclosure officer shall, if deemed necessary, because of possible harm
to the individual, advise the individual that records will be provided
only to a physician designated in writing by the individual. Upon
receipt of the designation, the disclosure officer will permit the
physician to review the records or to receive copies of the records by
mail, upon proper verification of identity. The determination of which
records should be made available directly to the individual and which
records should not be disclosed because of possible harm to the
individual shall be made by the physician.
(e) Computerized records. Where information is stored within one of
the Department's computer systems, and it can only be retrieved by
creating a new computer program, or modifying an existing program in a
manner in which it would not otherwise be modified, thus producing a
record not currently in existence, the record is not required to be
furnished under the Act.
(f) Alternative Method for transmitting information. Whenever a record
containing personal information about an individual is to be mailed in
response to a request under this part, and the information is of such a
nature that the disclosure officer has reasonable grounds for believing
that the unauthorized dissemination of such information may be of
significant harm to the subject of the record, then such a record shall
be sent ``Certified Mail, Return Receipt Requested.''

Sec. 70a.7 Request for correction or amendment to a record.

An individual, without regard to his or her age, may request the
correction or amendment of any record pertaining to him or her, which is
contained within a system of records subject to the requirements set
forth in this part, by mailing or delivering a written request in
conformity with the requirements set forth in Sec. Sec. 70a.4 and 70a.5
of this part. In addition, the request must state the information in the
record which the requester believes to be unnecessary, inaccurate,
irrelevant, untimely, or incomplete, the nature of the amendment
desired, and a concise statement of the reasons therefor. All available
supporting documents and materials which substantiate the requester's
position should be included with the request.

Sec. 70a.8 Agency review of request for correction or amendment to a
record.

(a) Upon receipt of a request to correct or amend a record, which is
contained within a system of records subject to the requirements set
forth in this part, a determination whether to grant the request shall
be made by the proper authority charged with the responsibility of
acting upon such requests within the time limits prescribed in
Sec. 70a.6 of this part.
(b) Where it is determined that the request shall be granted in whole
or in part, (1) the record shall be amended within the time limits
prescribed in Sec. 70a.6 of this part, and, in no event, is the record
to be disclosed to any party until the amendments are so incorporated;
(2) the requester shall be informed that the record has been so amended,
and the record shall be made available for his or her review within the
time limits prescribed in Sec. 70a.6 of this part, and (3) all prior
recipients of the record, of which an accounting is required to be kept,
shall be notified as soon as possible of the amendments made to the
record.
(c) Where it is determined that the request is to be denied, in whole
or in part, the requester shall be so notified in accordance with
Sec. 70a.6(c) of this part.

Sec. 70a.9 Procedures for appeal from initial adverse determination.

(a) Time within which appeal must be filed. An applicant whose request
for access, copying, amendment or correction of a record has been denied
pursuant to this part may file an appeal within 90 days from the date of
the denial to the Solicitor of Labor. The appeal shall state, in
writing, the grounds for appeal and shall include any supporting
statements or arguments. The appeal shall be addressed to the Solicitor
of Labor, Department of Labor, 200 Constitution Avenue, NW, Washington,
DC 20210. To expedite the processing of the appeal, each such appeal
should clearly indicate on the envelope and on the appeal the following:
``Privacy Act: Appeal.''
(b) Receipt by Solicitor of appeal; acknowledgment. Each appeal when
received by the Solicitor, shall have the date and time of such receipt
inscribed thereon. The Solicitor shall acknowledge the receipt of such
appeal in writing.
(c) Action on appeal. (1) Action on an appeal shall be taken promptly
subsequent to receipt by the Solicitor, and a determination shall be
made within 30 working days from receipt thereof. Where the Solicitor
determines that a decision cannot be made with the 30-day period, the
appellant shall be so notified, however, a decision shall be rendered
within 40 days of the initial receipt of the appeal.
(2) On appeal, the Solicitor is authorized to determine de novo,
whether the denial of appellant's initial request was proper and in
accord with the applicable provisions of the statute and the pertinent
regulations. In the event that the denial appealed from is one made by
reason of the inability of the responsible official to make an informed
determination within the specified time limits, the Solicitor's decision
shall take into consideration any supplementary determination made by
that official.
(3) In the event that a requester seeks review by a court of the
denial of a request without first filing an appeal to the Solicitor as
provided in this part, the Solicitor may, unless otherwise ordered by
the court, consider such action as the filing of an appeal and issue a
decision thereon in accordance with the provisions of this paragraph.
(4) If a decision on an appeal is not made by the Solicitor within the
normal or extended period, as applicable under paragraph (c) of this
section, the requester shall be deemed to have exhausted his or her
administrative remedies and may seek relief as provided in 5 U.S.C.
552a(g). Processing of the appeal shall continue however, until a
decision is made thereon, irrespective of whether the requester has
invoked such judicial relief.
(d) Procedure upon determination on appeal. The Solicitor shall issue
a decision in writing granting or denying the appeal, in whole or in
part.
(1) Decision to grant request. (i) When the Solicitor determines that
any portion of a prior request, which has been previously denied, should
be granted, he shall indicate to the requester the extent to which he
has decided to grant the previously denied request, and shall order the
responsible official(s) to take the necessary action consistent with his
decision.
(ii) If the Solicitor's decision provides for making available
information which had been previously withheld, and the Solicitor has
within his possession such information, he shall forward a copy of it to
the requester together with his decision, unless the requester has
indicated that he or she prefers to review the record in person, in
which case the Solicitor shall forward the record to the appropriate
official who shall make the record available to the requester within 10
working days.
(iii) If the action required by the Solicitor's decision must
necessarily be carried out by a responsible official other than the
Solicitor, such action shall be carried out within the following time
limits:
(A) If the Solicitor's decision requires a record to be made available
for review without amendments thereto, such record shall be made
available in the manner initially requested, except as provided in
Sec. 70a.6(b)(1) (i) and (ii), within 10 working days of the Solicitor's
decision.
(B) If the Solicitor's action requires the amendment of a record, the
requester shall be given an opportunity to review the amended record
within 15 working days of the Solicitor's decision. All previous
recipients of the record, for which an accounting is required, shall be
informed of the amendments immediately after the review by the
requestor.
(iv) Whenever a record is to be made available to an appellant at the
direction of the Solicitor, the responsible agency official shall notify
the appellant when the record is available for review.
(2) Decision to uphold denial. Where the Solicitor determines that the
denial of a request, or a portion thereof, should be upheld, the
requester shall be notified: (i) Of the extent to which the denial has
been upheld and the reasons therefor; (ii) of his right to file with the
agency in possession of the relevant record, a memorandum setting forth
the fact that such person believes the record to be erroneous and the
reasons therefor; and (iii) that the decision of the Solicitor
constitutes the final action by the Department of Labor for purposes of
judicial review, and that the Solicitor's decision may be appealed to
the District Court of the United States in the district in which the
complainant resides, or has his principal place of business, or in which
the agency records are situated, or in the U.S. District Court for the
District of Columbia.
(3) Disclosure of record where request to amend has been denied on
appeal. Where a request to amend a record has been denied by the
Solicitor, and the requester has filed a memorandum pursuant to
paragraph (d)(2)(ii) of this section taking exception to the Solicitor's
decision, upon receipt of such memorandum the responsible agency
official shall include the memorandum with the relevant record and, in
addition, may also include with such record a memorandum indicating that
a request to amend the particular record has been denied both by the
agency and by the Solicitor, and the reasons therefor.
(i) In addition, previous recipients of a record, where a request to
amend has been denied by the Solicitor, and of which an accounting is
required by 5 U.S.C. 552a(c), shall be provided with a copy of the
requester's memorandum taking exception to the Solicitor's
determination, and a copy of the agency memorandum in support of the
determination, if such a memorandum has been prepared.
(ii) Any subsequent disclosure of the subject record shall also be
accompanied by the requester's excepting memorandum, and the
Government's supportive memorandum, if one has been filed.

Sec. 70a.10 Solicitation of social security numbers.

(a) Neither the Department nor its component units shall deny to any
individual any right, benefit or privilege provided by law because of
such individual's refusal to disclose his social security number.
(b) The requirement set forth in paragraph (a) of this section shall
not apply with respect to the disclosure of a social security number to
the Department, or a component unit thereof, for inclusion in systems of
records which were in existence prior to January 1, 1975, and such
disclosure was required by statute, Executive Order or regulation
adopted prior to January 1, 1975, to verify the identity of an
individual.
(c) Each component unit of the Department that requests an individual
to disclose his social security number shall provide the individual, in
writing, with the following information:
(1) The use or uses that may be made of the social security number;
(2) The statute or authority under which the social security number is
solicited;
(3) Whether the disclosure of the social security number is mandatory
or voluntary; and
(4) The consequences, if any, to an individual should he or she refuse
to disclose the number.

Sec. 70a.11 Fees.

(a) General. (1) Pursuant to authority granted by the Privacy Act, the
payment of standard charges as set forth in paragraph (b) of this
section will, except as otherwise provided in this section, be required
of the requester to cover the direct costs of duplicating records
requested under this part. No fee shall be assessed to any requester for
any cost attributed to the search for and the review of any record.
(2) Circumstances under which copying facilities or services may be
made available to a requester without charge, or at a reduced charge,
are delineated in paragraph (e) of this section. Where a requester
desires the agency to provide such services as certification,
authentication, or other special services not required under the Privacy
Act, with respect to requested records, fees in addition to those
required for copying will be assessed as set forth in Sec. 70.68 of this
chapter, and as authorized by the general user-charge statute, section
483a of Title 31, United States Code.
(b) Copying charges-(1) Fee schedule for copying of records. The fees
payable pursuant to this section for obtaining requested copies of
records which have been made available under this part will be computed
on the following basis and subject to the following conditions:
(i) Standard copying fee. The standard copying fee is $0.10 for each
8\1/2\ by 11 inch page of record furnished. The standard fee is
applicable both where the copies are reproduced by the person desiring
them, using Government-furnished reproduction equipment, such as coin-
operated machines, or where, in the absence of availability of such
facilities, the copies are reproduced by agency personnel. This standard
fee is also applicable to the furnishing of copies of computer print-
outs as stated in paragraph (c) of this section.
(ii) Voluminous material. If the volume of page copy desired by the
requester is such that the reproduction charge at the standard page rate
would be in excess of $200, the person desiring reproduction may request
a special rate quotation from the Office of the Assistant Secretary for
Administration and Management.
(iii) Limit of service. Not more than 10 copies of any document will
be furnished, unless the requester has received the prior written
approval of the Assistant Secretary for Administration and Management.
(iv) Manual copying by requester. The Department shall provide
facilities for manual copying, without charge, during normal working
hours.
(c) Computerized records. (1) Information maintained, in whole or in
part, in computerized form which is required to be made available under
this part, shall be made available as follows:
(i) When there is an existing computer printout, the material shall be
made available at the per page rate stated in paragraph (b) of this
section for each 8\1/2\ by 11 inch page.
(ii) When there is no existing printout of information required to be
made available under this part, then the information shall be printed
out and made available to the requester in accordance with paragraph (b)
of this section.
(d) Payment of fees.-- (1) Medium of payment. Payment of the
applicable fees as set forth in paragraph (b) of this section shall be
made in cash, by U.S. postal money order, or by check payable to the
Department of Labor. Postage stamps will not be accepted. Cash should
not be sent by mail.
(2) Advance payment or assurance. Payment of the known and officially
estimated copying fees shall be made or assured to the satisfaction of
the disclosure officer prior to the performance of substantial copying
services. Where the requester does not know and has no official estimate
of the copying costs at the time the request is made, the request should
specifically state that whatever costs will be involved pursuant to
paragraph (b) of this section will be acceptable, or will be acceptable
up to an amount not exceeding a named figure. When it becomes apparent
that the duplication cost is going to exceed such named figure, the
disclosure office shall notify the requester as required by
Sec. 70a.6(b) of this part.
(3) Adjustment of fees. Where an estimated fee, paid by the requester
in advance, exceeds the fee chargeable under the applicable schedule for
the copying services actually performed, the balance will be refunded by
the Department. Where the actual fees due for the services are in excess
of the estimate, the requester will be required to remit the difference.
In cases where the estimated costs required under the fee schedule for
responding to a request are such that an advance deposit is deemed
necessary, the disclosure officer shall advise the requester of the
estimated costs and the need for an advance deposit. In addition, where
it appears that the information sought by the requester might be made
available at less cost by revision of the request, the disclosure
officer shall indicate to the requester that he or she may confer with
knowledgeable Department personnel, if he or she so desires, in order to
reformulate the request in a manner which will reduce the fees and meet
the needs of the requester.
(4) Post-copying costs. The scheduled fees for furnishing copies of
records made available pursuant to the Act cover the costs of furnishing
the copies at the place of duplication. Where the volume of page copy,
or the method of transmittal requested, is such that transmittal charges
incurred by the Department are in excess of $1, then the transmittal
costs will be added to the copying fees set forth in paragraph (b) of
this section, unless, appropriate stamps or stamped envelopes are
furnished with the request, or authorization is given for collection of
shipping charges on delivery.
(e) Waiver or reduction of fees. (1) When the disclosure officer or
the appellate officer granting a request for a record determines that
the waiver or reduction of the standard charge would be in the public
interest, he or she may make the requested record available at no charge
or at a reduced charge, whichever he or she deems to be appropriate.
(2)(i) Where a copy of a record is made available for the first time
to the subject of the record or an individual designated by the subject
person, then the disclosure officer shall assess no fee.
(ii) In addition, where it is determined that a person, because of
special circumstances, is unable to pay the fees prescribed in paragraph
(b) of this section, and it is clear that the public interest would be
served by providing the requested information free of charge, then no
fee shall be charged for such information.
(f) Authentication of copies. Requirements pertaining to the
certification or attestation under seal of copies of records required to
be made available under this part are the same as the requirements for
authentication of copies of records under the Freedom of Information Act
as set forth in Sec. 70.68 of this chapter.

Sec. 70a.12 Penalties.

(a) General. (1) This section sets forth criminal sanctions for three
violations of the Act:
(i) Unauthorized disclosure,
(ii) Failure to publish a public notice of a system of records subject
to the requirements of this part and the Act, and
(iii) Obtaining access to information under false pretenses.
(2) Paragraphs (a)(1) (i) and (ii) of this section apply to employees
of the Department, and pursuant to 5 U.S.C. 552a(m), certain contractor
personnel for contracts agreed to on or after September 27, 1975.
(b) Unauthorized disclosure. Any officer or employee of the
Department, who by virtue of his employment or official position, has
possession of, or access to, agency records which contain individually
identifiable information, the disclosure of which is prohibited by this
part, and who knowing that disclosure of the specific material is so
prohibited, willfully discloses the material in any matter to any person
or agency not entitled to receive it, shall be guilty of a misdemeanor
and fined not more than $5,000.
(c) Failure to give public notice of a system of records. Any officer
or employee of the Department who willfully maintains a system of
records without meeting the notice requirements of section (3)(4) of the
Act shall be guilty of a misdemeanor and fined not more than $5,000.
(d) Obtaining access to information under false pretenses. Any person
who knowingly and willfully requests or obtains any record concerning an
individual from the Department of Labor under false pretenses shall be
guilty of a misdemeanor and fined not more than $5,000.

Sec. 70a.13 Exemptions.

(a) General exemption. (1) General. Section (j) of 5 U.S.C. 552a
permits certain agencies within the Department to promulgate rules in
accordance with the requirements of sections 553 (b) (1), (2), and (3)
(c) and (e) of Title 5, United States Code, to exempt certain systems of
records from all the requirements of the Privacy Act except those set
forth in paragraph (a)(3) of this section.
(2) Systems of records which may be exempt pursuant to the general
exemption. Those types of systems of records which may be exempt from
certain provisions of the Privacy Act by virtue of section (j) of 5
U.S.C. 552a are those systems which:
(i) Are maintained by an agency, or a component thereof, which
performs as its principal function any activity pertaining to the
enforcement of criminal laws, and
(ii) Contain information compiled for the purpose of: (A) A criminal
investigation, including reports of informants and investigators
associated with an identifiable individual, or (B) identifying
individual criminal offenders and alleged offenders, and consists only
of identifying data and notations of arrests, the nature and disposition
of criminal charges, sentencing, confinement, release, and parole and
probation status.
(3) Requirements from which systems are exempt under the general
exemption. Those systems of records which qualify for the general
exemption are not subject to any provisions of the Privacy Act, nor any
of the provisions set forth in this Part, except for the following:
(i) The conditions of disclosure required under paragraph (b) of 5
U.S.C. 552a and Sec. 70a.3 of this part.
(ii) The requirements to account for the disclosure of records and
maintain an accounting of such disclosures as set forth in sections
(c)(1) and (c)(2) of 5 U.S.C. 552a;
(iii) The requirements prescribed in section (e)(4) of 5 U.S.C. 552a
to publish annually in the Federal Register notice of the existence and
character of systems of records, except that the procedures for: (A)
Identifying a record, (B) gaining access to it, (C) contesting its
accuracy, and (D) identifying the source of a record, need not be
included in such notice;
(iv) The obligation set forth in section (e)(6) of 5 U.S.C. 552a to
check for the accuracy, relevance, timeliness, and completeness of
records before disclosing such records to any person other than an
agency, or to the public pursuant to the Freedom of Information Act;
(v) The requirement restricting the maintenance of records pertaining
to an individual's exercise of his First Amendment rights (See section
(e)(7) of 5 U.S.C. 552a);
(vi) The requirement to establish rules governing the development,
maintenance and safeguarding of systems of records as prescribed in
sections (e)(9) and (e)(10) of 5 U.S.C. 552a;
(vii) The requirement to give notice of any new use or intended use of
the information contained within a system of records prior to
publication pursuant to section (e)(4)(D) of 5 U.S.C. 552a (See section
(e)(11) of 5 U.S.C. 552a); and
(viii) The criminal penalties set forth in section (i) of 5 U.S.C.
552a.
(4) Procedure required to exempt system of records under general
exemption. In order to exempt a system of records described in paragraph
(a)(2) of this section from all of the provisions of the Privacy Act,
excluding those provisions set forth in paragraph (a)(3) of this
section, a notice must be published in the Federal Register in
accordance with the rulemaking provisions set forth in paragraph (a)(1)
of this section. Such notice shall include at least the following:
(i) The name of the system of records (i.e., the same name used in the
annual notice published pursuant to section (e)(4) of 5 U.S.C. 552a, and
(ii) The specific provisions of the Act, and the regulations, from
which it is proposed to exempt the system, and the reasons therefor.
(b) Special exemption-(1) General. The Department, or its component
units, may promulgate rules in accordance with sections 553 (b) (1), (2)
and (3) (c) and (e) of Title 5, United States Code, to exempt those
types of systems of records described in paragraph (b)(2) of this
section from the requirements of the Privacy Act, and the regulations of
this part, set forth in paragraph (b)(3) of this section.
(2) Systems of records which may be exempt under special exemption.
The following types of systems of records may be exempt from those
provisions of the Privacy Act, and the corresponding provisions of this
Part, set forth in paragraph (b)(3) of this section.
(i) Investigatory material compiled for law enforcement purposes.
(A) Systems of records containing solely investigatory material
compiled for law enforcement purposes, other than systems within the
scope of paragraph (a)(2) of this section, may be exempt to the extent
indicated in paragraph (b)(1). However, if any individual is denied any
right, privilege, or benefit, that he would otherwise be entitled to by
Federal law, or for which he would otherwise be eligible, as a result of
the maintenance of such material, such material shall be provided to
such individual, except to the extent that the disclosure of such
material would reveal the identity of a source who furnished information
to the Government under an express promise that the identity of the
source would be held in confidence, or, prior to September 27, 1975,
under an implied promise that the identity of the source would be held
in confidence.
(B) The phrase ``investigatory material compiled for law enforcement
purposes'' is the same as that used in exemption (b)(7) of the Freedom
of Information Act.
(C) (1) The phrase ``to the extent that the disclosure of such
material would reveal the identity of a source * * *'' means that if a
record can be disclosed in such a way as to conceal its source, a
promise of confidentiality to the source is not sufficient grounds for
withholding such a record. In certain cases the contents of records may
be such that the identity of the source would be revealed even if the
name of the source of other identifying particulars were removed (e.g.,
where a record contains information that could only have been furnished
by one individual known to the subject). In such a case the substance of
the record may be withheld to protect the identity of a source and but
only to the extent necessary to do so. When any reasonable doubt exists
as to whether the disclosure of a record, or a portion thereof, would
reveal the identity of a confidential source then such record, or the
applicable portions thereof, may be withheld.
(2) In no instance is paragraph (b) (2)(i)(C)(1) of this section to be
applied in a manner which deprives an individual from learning of the
existence of information maintained in a record about him, even though
the information may have been received from a ``confidential source''.
The fact of the record's existence and, to the maximum extent feasible,
a general characterization of that record must be made known to the
individual in every case. Furthermore, this section in no way precludes
an individual from ascertaining the substance and source of confidential
information, should that information be used to deny him a promotion in
a Government job, access to classified information, or some other right,
benefit or privilege for which he is entitled to bring legal action,
when the Government chooses to base any part of its legal case on that
information.
(ii) Records maintained to provide protective services. Systems of
records maintained in connection with providing protective services to
the Presiddent of the United States, or to other individuals pursuant to
section 3056 of Title 18, United States Code, may be exempt as indicated
in paragraph (b)(1) of this section. This exemption pertains to systems,
the compilation of which are necessary for assuring the safety of
individuals protected pursuant to 18 U.S.C. 3056, but are not within the
scope of the law enforcement records exemption set forth in paragraph
(b)(2)(i) of this section.
(iii) Statistical records. Systems of records consisting of
statistical records which are required by statute to be maintained and
used solely for statistical research or reporting purposes, and not used
in whole or in part in making any determination about an identifiable
individual, except as provided by section 8 of Title 18, United States
Code, may be exempt as indicated in paragraph (b)(1) of this section.
The language, ``required by statute to be maintined * * * solely'',
means that systems of records which qualify for this exemption are those
composed exclusively of records, that by statute, are prohibited from
being used in any manner associated with the making of a determination
about an individual to whom a particular record pertains, not merely
that the agency does not use the information for such purposes.
(iv) Investigatory material compiled for determining suitability for
Federal employment. (A) Systems of records containing only investigatory
material compiled solely for the purpose of determining suitability,
eligibility, or qualifications for Federal civilian employment. Federal
contracts, or access to classified information may be exempt as
indicated in paragraph (b)(1) of this section, but only to the extent
that the disclosure of such material would reveal the identity of a
source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence, or,
prior to September 27, 1975, under an implied promise that the identity
of the source would be held in confidence.
(B) Paragraph (b)(2)(iv)(A) of this section permits, among other
things, the exemption of systems of records from the individual access
provisions of the Act, and the corresponding provisions of this part,
Sec. Sec. 70a.4 through 70a.9, when disclosure of the records contained
therein would cause the identity of a confidential source to be
revealed, but only under the following conditions:
(1) The material must be maintained only for purposes of determining
an individual's qualifications, eligibility or suitability for
employment in the Federal civilian service, or on a Federal contract, or
for access to classified material. By implication, employment would
include appointments to Federal advisory committees or to membership
agencies, whether or not salaried;
(2) The material must be relevant and necessary for making a judicious
determination as to qualifications, eligibility or suitability of an
individual for a particular position, and the information must be of
such a nature that it can only be obtained by providing assurance to the
source that his or her identity will not be revealed to the subject of
the record (e.g., for ``critically sensitive positions''); and
(3) The contents of the record, even with the removal of individual
identifiers, would reveal the identity of the source.
(C) Regulations issued by the Civil Service Commission establishing
procedures for when a pledge of confidentiality is to be made in order
to obtain the information described in paragraph (b)(2)(iv)(A) of this
section shall be complied with before this exemption is to be employed.
(D) The compilation of investigatory material with regard to Federal
contracts pertains not only to investigatory material collected about
individuals being considered for employment on an existing Federal
contract, but also to investigatory material compiled to evaluate the
capabilities of firms competing for Federal contracts.
(c) Requirements from which systems of records may be exempt under
special exemption. A system of records which meets the requirements of
paragraph (b)(2) of this section need not comply with the following
provisions of the Privacy Act and the corresponding requirements set
forth in this part:
(1) The requirement to make an accounting of a record available to the
individual to whom it pertains at his or her request. (See section
(c)(3) of 5 U.S.C. 552a);
(2) The requirement for access to records as set forth in section (d)
of 5 U.S.C. 552a and Sec. Sec. 70a.3 through 70a.9 of this part;
(3) The provisions of section (e)(1) of 5 U.S.C. 552a which restricts
the contents of records to only such information about an individual as
is relevant and necessary to accomplish the purpose of the agency; and
(4) The provisions of section (e)(4) (G), (H) and (I) of 5 U.S.C.
552a, which require the annual notice of system of records published in
the Federal Register to set forth:
(i) The procedures whereby an individual can be notified at his
request:
(A) If a system of records contains a record pertaining to him, and
(B) How that person can gain access to any record pertaining to him
contained in a system of records, and how he can contest its contents;
and
(ii) The categories of sources of records in the system.
(d) Procedure required to exempt a system of records under special
exemption. In order to exempt a system of records described in paragraph
(b)(2) of this section from the provisions of the Privacy Act set forth
in paragraph (b)(3) of this section, and the corresponding provisions of
this part, notice of intention to exempt must be published in the
Federal Register, and such notice shall meet the requirements prescribed
in paragraph (a)(4) of this section. The Department of Labor has
published notice of intention to exempt the following record systems:
(1) ESA-18, Farm Labor Contractor Employee Records File is exempt
under paragraph 3(k)(2) from paragraphs (c)(3), (d), (e)(4), (6), (h)
and (f) of 5 U.S.C. 552a. Disclosure of information would enable
subjects of the file to take action to prevent detection of illegal
activities and could lead to the intimidation of informants, witnesses
or their families. Except for information which would reveal the
identity of a confidential source, relevant records will be made
available only after a determination has been made based upon the
information contained therein.
(2) OASA-3, General Investigation File is exempt under paragraphs
(3)(j)(2) and 3(k) (2), (3) and (5) of 5 U.S.C. 552a. Information
related to criminal investigations [3(j)(2)] is exempt from the
provisions of the Act except for the requirements of paragraphs (b), (c)
(1) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10) and (11),
and (i). Disclosure of information could enable the subject of the
record to take action to escape prosecution and, in addition, might lead
to the intimidation of witnesses, informants or their families. Other
material which is exempted under 3(k) (2), (3) and (5) of the Act
relates to civil law enforcement investigations, including shared
information, files maintained in connection with assisting the U.S.
Secret Service to provide protective services to government officials,
and investigatory material compiled to determine the suitability,
eligibility and qualification of DOL contractors. In the first two
instances, the material is exempted from the requirements of paragraphs
(c)(3), (d), (e)(4) (G), (H) and (I), and (f) of 5 U.S.C. 552a. Contract
investigations are exempt from the provision of (c)(3), (d) and (f).
Civil law enforcement material is exempted until such time as a
determination is made based upon the information except that information
which would reveal the identity of a confidential source will continue
to be exempted. Contract information is exempt to the extent that
disclosure would reveal the identity of a source when an express pledge
of confidentiality has been given or the circumstances indicate that
confidentiality has been implied. These exemptions are necessary to
preserve the integrity of the investigations and to prevent the
intimidation or harassment of informants, witnesses or their families.
(3) LMSA-1, Index Cards, Division of Enforcement relates to
investigations under the Labor-Management Reporting and Disclosure Act
and E.O. 11441. This system is exempt and paragraphs 3(5)(2) and 3(k)(2)
of 5 U.S.C. 552a. Material relating to criminal law enforcement
(3(5)(2)) is exempted under paragraphs, (b), (c)(1) and (2), (e)(4) (A)
through (F); (e) (6), (7), (9), (10) and (11), and (i) of the Act.
Disclosure of this material could enable the subject of the record to
evade prosecution and could, in addition, jeopardize the safety and
welfare of investigators, witnesses, informants and their respective
families. Material related to civil law enforcement (3(k)(2)) is exempt
from the provisions of paragraphs (c)(3), (d), (e) (4), (6), (H), and
(I), and (f) of 5 U.S.C. 552a. Disclosure would enable the subject to
take action to prevent detection of illegal activities or avoid the
consequences of violation of the law and, further, could lead to the
intimidation or harassment of witnesses, informants, or their families.
(e) Segregation of systems of records. System of records which may be
exempt under paragraphs (a) or (b) of this section shall, to the extent
practicable: (1) Be separated from systems of records which are not so
exempt, and (2) when it is practicable to exempt only a portion of a
system of records, rather than the entire system, then only such portion
shall be exempted.