Privacy Act Issuances for the Department of the Labor, 2001

[Privacy Act Issuances (2001)]
[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-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--Onvestigative Files of Labor-Management Standards.
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.

Office of the Chief Financial Officer

DOL/OCFO-1--Atendance, Leave, and Payroll Leave.
DOL/OCFO-2--Department of Labor Accounting and Related Systems.

Office of Small Business Programs

DOL/OSBP-1--Office of Small Business Programs, Small Entity
Inquiry and Complaint Tracking System.

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 1979 (NLSY79)
Database
DOL/BLS-14--Behavioral Science Research Laboratory Project
Files
DOL/BLS-15--Management Research Files
DOL/BLS-16--Annual Survey of Occupational Injuries and
Illnesses
DOL/BLS-17--National Longitudinal Survey of Youth 1997 (NLSY97)
Database.d
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.
DOL/ESA-45--Investigative Files of the Office of Labor-
Managment Standards.

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 any system of records to the parent locator service of the
Department of HHS or to other authorized persons defined by Pub. L.
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 legislation and the legislative
coordination and clearance process.
11. Disclosure 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:
Not Applicable.

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

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.

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;
l. 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.
B. Regional and Area Offices of the above.
Categories of individuals covered by the system:
Department of Labor employees.
Categories of records in the system:
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.
Authority for maintenance of the system:
5 U.S.C. Chapter 301.
Purpose(s):
To prepare the Departmental budget and employment reports.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Reports relate actual employment to monthly ceiling data and must
be submitted by the 15th of each month to the Office of Personnel
Management (OPM) and to the Office of Management and Budget (OMB).
Employment data is shared with 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 files and computer records.
Retrievability:
By budget position number, grade and name.
Safeguards:
Automated data has been password protected. Written employment
data is in locked file cabinets.
Retention and disposal:
Destroy 1 year after the close of the FY.
System manager(s) and address:
Heads of agencies or component units within their organizations
who have custody of the records (see the appropriate agency official
in the attached listing in Appendix 1, 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,
the Office's regional office servicing the state where they are
employed (see list of the Office's regional addresses in the
Appendix), or their employing agency's personnel office. 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.
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. Social security 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 amendment of their records should
contact the appropriate office listed in the Notification Procedures
section. 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.
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:
Form DL-50, Notification of Personnel Action.
Systems exempted from certain provisions of the act:
None.

DOL/OASAM-15

System name: Travel and Transportation System.

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;
l. 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.
B. Regional and Area Offices of the above.
Categories of individuals covered by the system:
All individuals who travel in an official capacity for the
Department of Labor.
Categories of records in the system:
Various records are created and maintained in support of official
travel. The forms or succeeding forms may include the following:

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.
Categories 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 of Labor-Management Standards.

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.

Office of the Chief Financial Officer

DOL/OCFO-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 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;
l. National Commission for Employment Policy;
m. Veteran's Employment and Training Service.
2. Bureau of Labor Statistics;
3. Employment Standards Administration, including the Office of
Labor-Management Standards and the Office of Labor-Management
Programs;
4. Employment and Training Administration;
5. Occupational Safety and Health Administration;
6. Mine Safety and Health Administration;
7. Office of the Inspector General;
8. Pension and Welfare Benefits Administration; and
9. 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, ``Notification of Personnel
Action'', and 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, this system manages the Department of Labor's
compensation and benefits processing, accounting, and reporting. The
system provides 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 or electronic fund transfers (EFT) to employees and
distribution of pay according to employee directions for savings
bonds, allotments to financial institutions, 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 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. Transmittal of employee's name, social security number,
salary history to state unemployment insurance agencies in order to
facilitate the processing of state unemployment insurance claims for
DOL employees.
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 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.
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.
(2) Information may be disclosed to the Internal Revenue Service
concerning the discharge of an indebtedness owed by an individual.
F. The names, social security numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed to the
Office of Child Support Enforcement, Administration for Children and
Families, Department of Health and Human Services for the purpose of
locating individuals to establish paternity, establishing and
modifying orders of child support, identifying sources of income, and
for other child support enforcement actions as required by the
Personal Responsibility and Work Opportunity Reconciliation Act
(Welfare Reform law, Pub. L. 104-193).
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/OCFO-2

System name:

Department of Labor Accounting and Related Systems.
Security classification:
None.
System location:
A. Offices in Washington, DC:
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. President's Committee on the Employment of People with
Disabilities;
j. National Occupational Information Coordinating Committee;
k. Veteran's Employment and Training Service.
2. Bureau of Labor Statistics;
3. Employment Standards Administration;
4. Employment and Training Administration;
5. Occupational Safety and Health Administration;
6. Mine Safety and Health Administration;
7. Office of the Inspector General;
8. Pension and Welfare Benefits Administration;
9. Office of the Chief Financial Officer for the Department.
B. Regional and Area Offices of the above.
Categories of individuals covered by the system:
All persons who receive a payment from agency/regional financial
offices. Persons receiving payments include, but are not limited to:
Employees, vendors, travelers on official business, grantees,
contractors, consultants, and recipients of loans and scholarships.
Persons owing monies include, but are not limited to persons who have
been overpaid and who owe DOL a refund and persons who have received
from DOL goods or services for which there is a charge or fee (e.g.
Freedom of Information Act requesters).
Categories of records in the system:
Name, identification number (Taxpayer Identification Number or
other identifying number), address, purpose of payment, accounting
classification, amount to be paid, and amount paid.
Purpose(s):
These records are an integral part of the accounting systems at
principal operating components, agency regional offices and specific
area locations. The records are used to keep track of all payments to
individuals, exclusive of salaries and wages, based upon prior entry
into the systems of the official commitment and obligation of
government funds. When an individual is to repay funds advanced as a
loan or scholarship, etc., the records will be used to establish a
receivable record and to track repayment status. In event of an
overpayment to an individual, the record is used to establish a
receivable record for recovery of the amount claimed. The records are
also used internally to develop reports to the Internal Revenue
Service and applicable state and local taxing officials of taxable
income. This is a Department-wide notice of payment and collection
activities at all locations listed under system locations.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. Transmittal of the records to the U.S. Treasury to effect
issuance of payments 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 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) for the purpose of determining 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.
E. 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.
F. Information may be disclosed to the Internal Revenue Service
concerning the discharge of an indebtedness owed by an individual.
H. Information will be disclosed:
1. To credit card companies for billing purposes;
2. To other Federal agencies for travel management purposes;
3. To airlines, hotels, car rental 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.
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, its attached equipment or some magnetic form.
Retrievability:
This varies according to the particular operating accounting
system within the Operating Division, Agency and Regional Office.
Usually the hard copy document is filed by name within accounting
classification. Computer records may be indexed by social security
number and voucher number or on any field in the record.
Safeguards:
Records stored in lockable file cabinets or secured rooms.
Computerized records protected by password system.
Retention and disposal:
Records are purged from automated files once the accounting
purpose has been served; printed copy and manual documents are
retained and disposed of in accord with General Accounting Office
principles and standards as authorized by the National Archives and
Records Administration. Generally, on the accounting side,
information is kept until at least the employee has left the
Department, and perhaps longer, until all existing activity for the
employee is closed out. Generally, on the payroll side, the
information stays on the Master Employee Record until the retirement
has been reconciled for the year in which the employee has left.
System manager(s) and address:
Chief Financial Officer, Office of the Chief Financial Officer,
U.S. Department of Labor, 200 Constitution Avenue, NW., Washington,
DC 20210.
Notification procedure:
Inquiries should be addressed to the appropriate agency's
administrative office.
Record access procedures:
Same as notification procedures. Requesters should also clearly
specify the record contents being sought, and may request an
accounting of disclosures that have been made of their record, if
any.
Contesting record procedures:
Individuals wishing to request amendment of their records should
contact the appropriate Department of Labor administrative office.
Individuals must furnish their full name and the name of the
authorizing agency, including duty station where they were employed,
if applicable.
Record source categories:
Individuals, other DOL systems, 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.

Office of Small Business Programs

DOL/OSBP-1

System name:

Office of Small Business Programs, Small Entity Inquiry and
Complaint Tracking System.
Security classification:
None.
System location:
U.S. Department of Labor, Office of Small Business Programs,
Frances Perkins Building, 200 Constitution Ave., NW, Room C-2318,
Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who make oral or written complaints about, or
requests or inquiries concerning, enforcement activities under the
Small Business Regulatory Enforcement Fairness Act of 1996 (SBREFA)
of the U.S. Department of Labor (Department).
Categories of records in the system:
Records include the name and address of the individuals making
complaints, requests, or inquiries concerning enforcement activities
of the Department of Labor, and any other information under SBREFA
necessary to respond to the complaint or request.
Authority for maintenance of the system:
Subtitles A and B of The Small Business Regulatory Enforcement
Fairness Act of 1996 (SBREFA), Pub. L. 104-121, Title II, sec. 213,
110 Stat. 858-859.
Purpose(s):
Section 213 of Title II of Pub. L. 104-121 requires each agency
to establish a program for providing informal guidance to small
entities regulated by that agency. Section 213(c) requires the agency
to report to Congress on ``the scope of the agency's program, the
number of small entities using the program, and the achievements of
the program to assist small entity compliance with agency
regulations.'' The records in this system are maintained for the
purpose of complying with the above statutory requirements.
Routine uses of records maintained in the system, including
categories of users and the purpose of such uses:
In addition to those Universal Routine Uses included in the
Department's General Prefatory Statement, last republished in the
Federal Register on April 7, 1997, at 62 FR 16611-16612, relevant
records may be disclosed to the Small Business Administration (SBA).
The records may be disclosed to the SBA in response to a referral
from the SBA of a complaint filed against this Department by a small
entity. The above described referrals are authorized by Subtitles A
and B of The Small Business Regulatory Enforcement Fairness Act of
1996.
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 electronically.
Retrievability:
Name or Control Number.
Safeguards:
Accessed by authorized personnel only. Passwords are used for the
data, which is electronically stored.
Retention and disposal:
Five years.
System manager(s) and address:
Director, Office of Small Business Programs, U.S, Department of
Labor, 200 Constitution Ave., NW, Room C-2318, Washington, DC 20210.
Notification procedure:
Mail all inquiries or present in writing to System Manager at
above address.
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 creation of the file.
c. Individuals requesting access must also comply with the
Privacy Act regulations regarding the verification of identity at 29
CFR 70a.70.
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:
Individuals who make complaints, requests, other inquiries
concerning enforcement activities of the Department of Labor.
Systems exempted from certain provisions 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 1979 (NLSY79) Database.
Security classification:
None.
System location:
National Opinion Research Center (NORC), University of Chicago,
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, Armed Services
Vocational Aptitude Battery scores, job history, unemployment
history, training history, fertility/family planning, child health
history, alcohol use, drug use, reported police contacts, assets and
income, school records, Government assistance program participation,
childhood residence, child development outcomes, history of mother/
child relationship, time use, time spent on childcare and household
chores, and immigration history.
Authority for maintenance of the system:
29 U.S.C. 2.
Purpose(s):
To serve a variety of policy-related research interests
concerning the labor market problems of youth. Data are used for
studies such as: Diffusion of useful information on labor,
examination of employment and training programs, understanding labor
markets, guiding military manpower and measuring the effect of
military service, 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 purposes of such uses:
The Bureau of Labor Statistics may release records to the
National Opinion Research Center (NORC) and/or Ohio State University
to compile data which are not individually identifiable for use by
the general public and other federal agencies who are conducting
labor force research. Under written agreements to protect the
confidentiality and security of identifying information, BLS provides
potentially-identifying geographic information to researchers to
conduct specific research projects which further the mission and
functions of BLS. The records also may be disclosed where required by
law. Items 3, 4, 7, 8, 9, 10, and 11 listed in the General Prefatory
Statement to this document are not applicable to this system of
records.
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. Computer security safeguards
are used for electronically stored data and locked locations for
paper files.
Retention and disposal:
Indefinite.
System manager(s) and address:
Program Manager, NLS Youth 1979 Cohort Study, Office of
Employment and Unemployment Statistics, Room 4945, Postal Square
Building, 2 Massachusetts Ave., NE, Washington, DC 20212.
Notification procedure:
Mail, or present in writing, all inquiries to the System Manager
at the 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:

BLS Behavioral Science Research Laboratory Project Files.
Security classification:
None.
System location:
Offices in the Bureau of Labor Statistics National Office.
Categories of individuals covered by the system:
Individual respondents who participate in studies.
Categories of records in the system:
Records include respondent's name, name of study, biographic/
personal information on the respondent, and test results and
observations.
Authority for maintenance of the system:
29 U.S.C. sec. 2.
Purpose(s):
Biographic/personal information is used by BLS to select
participants for studies. Test results and observations are used by
BLS to better understand the behavioral and psychological processes
of individuals, as they reflect on the accuracy of BLS information
collections.
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 with the following limitations:
The Routine Uses listed at paragraphs 3, 4, 7, 8, 9, and 11 in the
General Prefatory Statement to this document are not applicable to
this system of records. The records also may be disclosed where
required by law.
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
and/or video tapes.
Retrievability:
Respondent name and study title.
Safeguards:
Available to authorized personnel only. Files are kept in locked
offices.
Retention and disposal:
One to three 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:
From individual respondents.
Systems exempted from certain provisions of the act:
None.

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.

DOL/BLS-17

System name:

National Longitudinal Survey of Youth 1997 (NLSY97) Database.
Security classification:
None.
System location:
National Opinion Research Center (NORC), University of Chicago,
1155 E. 60th Street, Chicago, IL 60637.
Categories of individuals covered by the system:
A random sample of the general population who were ages 12-16 on
December 31, 1995 with over representation of disabled students.
Categories of records in the system:
Records include name, Social Security Number, control number,
marital history, education, job history, unemployment history,
military service, training history, fertility/family planning, child
health history, alcohol use, drug use, reported police contacts,
anti-social behavior, assets and income, school records, Government
assistance program participation, childhood residence, child
development outcomes, expectations, history of mother/child
relationship, time use, time spent on child care, immigration
history, and Armed Services Vocational Aptitude Battery scores.
Authority for maintenance of the system:
29 U.S.C. 2.
Purpose(s):
To serve a variety of policy-related research interests
concerning the school-to-work transition and the labor market
problems of youth. Data are used for studies such as: Diffusion of
useful information on labor, examination of employment and training
programs, understanding labor markets, analysis of social indicators,
measuring maternal and child inputs and outcomes, norming the
Department of Defense Armed Services Vocational Aptitude Battery in
its computerized adaptive form, and creation of norms for the
Department of Defense Interest Measure.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The Bureau of Labor Statistics may release records to the
National Research Center (NORC) and/or Ohio State University to
compile data which are not individually identifiable for use by the
general public and federal agencies who are conducting labor force
research. Under written agreements to protect the confidentiality and
security of identifying information, BLS provides potentially-
identifying geographic information to researchers to conduct specific
research projects which further the mission and functions of BLS. The
records also may be disclosed where required by law. Items 3, 4, 7,
8, 9, 10, and 11 listed in the General Prefatory Statement to this
document are not applicable to this system of records.
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. Computer security safeguards
are used for electronically stored data, and locked locations for
paper files.
Retention and disposal:
Indefinite.
System manager(s) and address:
Program Manager, NLS Youth 1996 Cohort Study, Office of
Employment and Unemployment Statistics, Room 4945, Postal Square
Building, 2 Massachusetts Ave., NE., Washington, DC 20212.
Notification procedure:
Mail, or present in writing, all inquiries to the System Manager
at the 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.

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(s) 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 appicable.
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:
None.

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:
None.

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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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:
Not applicable.
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 reporting 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:
Not applicable.
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:
Not applicable.
System location:
Office of Inspector General, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210 and in the OIG regional
and field offices.
Categories of individuals covered by the system:
Individuals 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 r
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:
Not applicable.
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(s) 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(s) 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(s) 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(s) 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(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:
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 (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(s) 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 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:
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

LABOR DEPARTMENT

DEPARTMENT OF LABOR

29 CFR PART 71--PROTECTION OF INDIVIDUAL PRIVACY AND ACCESS TO RECORDS
UNDER THE PRIVACY ACT OF 1974

Subpart A--General

Sec.
71.1 General provisions.
71.2 Request for access to records.
71.3 Responses by components to requests for access to records.
71.4 Form and content of component responses.
71.5 Access to records.
71.6 Fees for access to records.
71.7 Appeals from denials of access.
71.8 Preservation of records.
71.9 Requests for correction or amendment of records.
71.10 Certain records not subject to correction.
71.11 Emergency disclosures.
71.12 Use and collection of social security numbers.
71.13 Employee standards of conduct.
71.14 Use of nonpublic information.
71.15 Training.

Subpart B--Exemption of Records Systems Under the Privacy Act

71.50 General exemptions pursuant to subsection (j) of the Privacy Act.
71.51 Specific exemptions pursuant to subsection (k)(2) of the Privacy
Act.
71.52 Specific exemptions pursuant to subsection (k)(5) of the Privacy
Act.

Appendix A to Part 71--Responsible Officials
Authority: 5 U.S.C. 301; 5 U.S.C. 552a as amended; Reorganization Plan
No. 6 of 1950, 5 U.S.C. Appendix.
Source:63 FR 56741, Oct. 22, 1998.

Subpart A--General

Sec. 71.1 General provisions.

(a) Purpose and scope. This part contains the regulations of the U.S.
Department of Labor implementing the Privacy Act of 1974, 5 U.S.C. 552a.
The regulations apply to all records which are contained in systems of
records maintained by, or under the control of, the Department of Labor
and which are retrieved by an individual's name or personal identifier.
These regulations set forth the procedures by which an individual may
seek access under the Privacy Act to records pertaining to him, may
request correction or amendment of such records, or may seek an
accounting of disclosures of such records by the Department. These
regulations are applicable to each component of the Department.
(b) Government-wide systems of records. (1) DOL/GOVT-1 (Office of
Workers' Compensation Programs, Federal Employees' Compensation Act
File):
(i) All records, including claim forms, medical, investigative and
other reports, statements of witnesses, and other papers relating to
claims for compensation filed under the Federal Employees' Compensation
Act (as amended and extended), are covered by the government-wide system
of records entitled DOL/GOVT-1. This system is maintained by and under
the control of the Employment Standards Administration's Office of
Workers' Compensation Programs (OWCP), and, as such, all records
contained in the OWCP claims file, as well as all copies of such
documents retained and/or maintained by the injured worker's employing
agency, are official records of the OWCP.
(ii) The protection, release, inspection and copying of records
covered by DOL/GOVT-1 shall be accomplished in accordance with the
rules, guidelines and provisions of this part, as well as with part 70
of this subtitle, and with the notice of the systems of records and
routine uses published in the Federal Register. All questions relating
to access/disclosure, and/or the amendment of FECA records maintained by
the OWCP or an employing agency, are to be resolved in accordance with
this part.
(iii)(A) While an employing agency may establish procedures that an
injured employee or beneficiary should follow in requesting access to
documents it maintains, any decision issued in response to such a
request must comply with the rules and regulations of the Department of
Labor.
(B) Any administrative appeal taken from a denial issued by the
employing agency shall be filed with the Solicitor of Labor in
accordance with Secs. 71.7 and 71.9 of this part.
(iv) No agency other than the OWCP has authority to issue
determinations in response to requests for the correction or amendment
of records contained in or covered by DOL/GOVT-1. Any request for
correction or amendment received by an employing agency must be referred
to the OWCP for review and decision.
(2) For the government-wide system of records entitled DOL/GOVT-2 (Job
Corps Student Records), a system maintained by and under the control of
the Employment and Training Administration, the regulations of this
Department shall govern, including the procedure for requesting access
to, or amendment of the records, as well as appeals therefrom, shall
govern.
(c) Definitions. As used in this subpart, the following terms shall
have the following meanings:
(1) Agency has the meaning set forth in 5 U.S.C. 552(f).
(2) Component means each separate agency, bureau, office, board,
division, commission, service, or administration of the Department of
Labor, as well as each agency which possesses records covered by a DOL
government-wide system of records.
(3) Individual Data Subject means the individual by whose name or
identifier the subject record is retrieved.
(4) Record means any item, collection, or grouping of information
about an individual which is maintained by any component within a system
of records and which contains the individual's name, identifying number,
symbol, or other identifying particular assigned to the individual, such
as a fingerprint, voiceprint, or photograph.
(5) Requester means an individual who makes either a request for
access, a request for correction or amendment, or a request for an
accounting.
(6) Routine use has the meaning set forth in 5 U.S.C. 552a(7).
(7) Statistical record has the meaning set forth in 5 U.S.C. 552a(6).
(8) System of records means a group of any records under the control
of the Department or any component from which information is retrieved
by the name of an individual or by some identifying number, symbol, or
other identifying particular assigned to that individual.
(9) 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 list) are not agency
records for purposes of this part.
(10) He, his, and him include ``she'', ``hers'' and ``her''.

Sec. 71.2 Requests for access to records.

(a) Procedure for making requests for access to records. An
individual, or legal representative acting on his behalf, may request
access to a record about himself by appearing in person or by writing to
the component that maintains the record. (See appendix A to this part
which lists the components of the Department of Labor and their
addresses.) A requester in need of guidance in defining his request may
write to the Assistant Secretary for Administration and Management, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210-
0002. A request should be addressed to the component that maintains the
requested record. Both the envelope and the request itself should be
marked: ``Privacy Act Request.''
(b) Description of records sought. A request for access to records
must describe the records sought in sufficient detail to enable
Department personnel to locate the system of records containing the
record with a reasonable amount of effort. Whenever possible, a request
for access should describe the nature of the record sought, the date of
the record or the period in which the record was compiled, and the name
or identifying number of the system of records in which the requester
believes the record is kept.
(c) Agreement to pay fees. The filing of a request for access to a
record under this subpart shall be deemed to constitute an agreement to
pay all applicable fees charged under Sec. 71.6 up to $25.00. The
component responsible for responding to the request shall confirm this
agreement in its letter of acknowledgment to the requester. When filing
a request, a requester may specify a willingness to pay a greater
amount, if applicable.
(d) Verification of identity. Any individual who submits a request for
access to records must verify his identity in one of the following ways:
(1) Any requester making a request in writing must state in his
request his full name, and current address. In addition, a requester
must provide with his request an example of his signature, which shall
be notarized, or signed as an unsworn declaration under penalty of
perjury, pursuant to 28 U.S.C. 1746. In order to facilitate the
identification of the requested records, a requester may also include in
his request his Social Security number.
(2) Any requester submitting a request in person may provide to the
component a form of official photographic identification, such as a
passport, an identification badge or a driver's license which contains
the photograph of the requester. If a requester is unable to produce a
form of photographic identification, he may provide to the component two
or more acceptable forms of identification bearing his name and address.
In all cases, sufficient identification must be presented to confirm
that the requester is the individual data subject.
(e) Verification of guardianship. The parent, guardian, or
representative of a minor or the guardian or representative of a person
judicially determined to be incompetent who submits a request for access
to the records of the minor or incompetent must establish:
(1) His identity, as required in paragraph (d) of this section,
(2) That the requester is the parent, guardian, or representative of
the subject of the record, which may be proved by providing a copy of
the subject's birth certificate showing parentage or by providing a
court order establishing the guardianship, and
(3) That he seeks to act on behalf of the subject of the record.
(f) The disclosure officer may waive the requirements set forth in
paragraphs (d) and (e) of this section when he deems such action to be
appropriate, and may substitute in lieu thereof, other reasonable means
of identification.

Sec. 71.3 Responses by components to requests for access to records.

(a) In general. Except as otherwise provided in this section, the
component that:
(1) First receives a request for access to a record, and
(2) Has possession of the requested record is the component ordinarily
responsible for responding to the request.
(b) Authority to grant or deny requests. The head of a component, or
his designee (i.e. disclosure officer), is authorized to make an initial
grant or denial of any request for access to a record in the possession
of that component.
(c) Processing of requests for access not properly addressed. A
request for access that is not properly addressed as specified in
Sec. 71.2 shall be forwarded to the Assistant Secretary for
Administration and Management, who shall forward the request to the
appropriate component or components for processing. A request not
addressed to the appropriate component will be deemed not to have been
received by the Department until the Assistant Secretary for
Administration and Management has forwarded the request to the
appropriate component which has the record and that component has
received the request. When the component receives an improperly
addressed request, it shall notify the requester of the date on which it
received the request. Accordingly, a request for access shall be deemed
received on the date that it is received in the appropriate component.
(d) Date for determining responsive records. In determining the extent
to which records are responsive to a request for access, a component
ordinarily will include only those records within the component's
possession and control as of the date of its receipt of the request.
(e) First party requests. A request for access by the individual data
subject for his or her own records shall be processed both under the
Freedom of Information Act (FOIA) and the Privacy Act (PA).

Sec. 71.4 Form and content of component responses.

(a) Form of notice granting request for access. A request by the
individual data subject for access to his or her own records shall not
be denied unless both a Privacy Act exemption and a Freedom of
Information Act exemption apply to the requested records. A component
shall make a determination within 30 days to grant or deny a request for
access in whole or in part. If the request is granted in whole, the
component shall so notify the requester in writing. The notice shall
describe the manner in which access to the record will be granted and
shall inform the requester of any fees to be charged in accordance with
Sec. 71.6.
(b) Form of notice denying request for access. A component denying a
request for access in whole or in part shall so notify the requester in
writing. The notice, signed by the responsible agency official, shall
include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reason or reasons for the denial,
including the Privacy Act and FOIA exemption or exemptions which the
component has relied upon in denying the request; and
(3) A statement that the denial may be appealed under Sec. 71.7(a),
and a description of the requirements of that paragraph.
(c) Record cannot be located. If no records are found which are
responsive to the request, the component shall so notify the requester
in writing. Such notification by the component shall inform the
requester that, if the requester considers this response to be a denial
of their request, the requester has a right to appeal to the Solicitor
of Labor, within ninety days, as set forth in Sec. 71.7.
(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 the Department of Labor
believes that the records should be provided to a physician designated
in writing by the individual. In addition, the Department shall request
the individual to designate such a physician. 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.

Sec. 71.5 Access to records.

(a) Manner of access. A component that has made a determination to
grant a request for access shall grant the requester access to the
requested record either by providing the requester with a copy of the
record, or making the record available for inspection by the requester
at a reasonable time and place. The component shall charge the requester
only duplication costs in accordance with the provisions of Sec. 71.6.
If a component provides access to a record by making the record
available for inspection by the requester, the manner of such inspection
shall not unreasonably disrupt the operations of the component.
(b) Accompanying person. A requester appearing in person to review his
own records may be accompanied by another individual of his own
choosing. The requester shall provide the Department with his or her
written consent to disclose the record to the accompanying person.

Sec. 71.6 Fees for access to records.

(a) When charged. A component shall charge fees pursuant to 31 U.S.C.
9701 and 5 U.S.C. 552a(f)(5) for the copying of records unless the
component, in its discretion, waives or reduces the fees for good cause
shown. A component shall charge fees at the rate of $0.15 per page. In
accordance with the provisions of the Freedom of Information Act, the
first 100 pages of copying shall be furnished without charge. For
materials other than paper copies, the component may charge the direct
costs of reproduction, but only if the requester has been notified of
such costs before they are incurred. Fees shall not be charged where
they would amount, in the aggregate, for one request or for a series of
related requests, to less than $15.00. Notwithstanding any other
provision of this paragraph, the first copy of an individual's Privacy
Act record shall be provided to the individual at no cost.
(b) Notice of estimated fees amounting to between $25 to $250. When a
component determines or estimates that the fees to be charged under this
section may amount to between $25 to $250, the component shall notify
the requester as soon as practicable of the actual or estimated amount
of the fee, unless the requester has indicated in advance his
willingness to pay a fee as high as that anticipated.
(c) Notice of estimated fees in excess of $250. When a component
determines or estimates that the fees to be charged under this section
may amount to more than $250, the component shall notify the requester
as soon as practicable of the actual or estimated amount of the fee,
unless the requester has indicated in advance his willingness to pay a
fee as high as that estimated. If the fee is estimated to be in excess
of $250, then the agency may require payment in advance. (If only a
portion of the fee can be estimated readily, the component shall advise
the requester that the estimated fee may be only a portion of the total
fee.) Where the estimated fee exceeds $250 and a component has so
notified the requester, the component will be deemed not to have
received the request for access to records until the requester has paid
the anticipated fee, in full or in part. A notice to a requester
pursuant to this paragraph shall offer him the opportunity to confer
with Department personnel with the object of reformulating his request
to meet his needs at a lower cost.
(d) Form of payment. Requesters must pay fees by cash, check or money
order payable to either the Treasury of the United States, or the U.S.
Department of Labor. However, the Department shall not require advance
payment in any case where the fee is under $250, except that where a
requester has previously failed to pay a fee charged under this part,
the requester must pay the component or the Department the full amount
owed and make an advance deposit of the full amount of any estimated fee
before a component shall be required to process a new or pending request
for access from that requester.

Sec. 71.7 Appeals from denials of access.

(a) Appeals to the Solicitor of Labor. When a component denies in
whole or in part a request for access to records, the requester may
appeal the denial to the Solicitor of Labor within 90 days of his
receipt of the notice denying his request. An appeal to the Solicitor of
Labor shall be made in writing, addressed to the Solicitor of Labor,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC.
20210-0002. Both the envelope and the letter of appeal itself must be
clearly marked: ``Privacy Act Appeal.'' An appeal not so addressed and
marked shall be forwarded to the Office of the Solicitor as soon as it
is identified as an appeal under the Privacy Act. An appeal that is
improperly addressed shall be deemed not to have been received by the
Department until the Office of the Solicitor receives the appeal.
(b) Form of action on appeal. The disposition of an appeal shall be in
writing. A written decision affirming in whole or in part the denial of
a request for access shall include a brief statement of the reason or
reasons for the affirmation, including each Privacy Act and FOIA
exemption relied upon and its relation to each record withheld, and a
statement that judicial review of the denial is available in the U.S.
District Court for the judicial district in which the requester resides
or has his principal place of business, the judicial district in which
the requested records are located, or the District of Columbia. If the
denial of a request for access is reversed on appeal, the requester
shall be so notified and the request shall be processed promptly in
accordance with the decision on appeal.
(c) Delegation of Authority by the Solicitor of Labor. The Solicitor
of Labor is authorized to delegate his authority to decide appeals from
any and all denials of access to other senior attorneys within the
Office of the Solicitor.

Sec. 71.8 Preservation of records.

Each component shall preserve all correspondence relating to the
requests it receives under this subpart, and all records processed
pursuant to such requests, until such time as the destruction of such
correspondence and records is authorized pursuant to title 44 of the
U.S. Code and record schedules approved by the National Archives and
Records Administration, and otherwise in accordance with retention
requirements as published in the agency's system of records. Under no
circumstances shall records be destroyed while they are the subject of a
pending request for access, appeal, or lawsuit under the Act. 0

Sec. 71.9 Request for correction or amendment of records.

(a) How made. An individual may submit a request for correction or
amendment of a record pertaining to him. The request must be in writing
and must be addressed to the component that maintains the record.
(Appendix A of this part lists the components of the Department and
their addresses.) The request must identify the particular record in
question, state the correction or amendment sought, and set forth the
justification for the change. Both the envelope and the request itself
must be clearly marked: ``Privacy Act Amendment Request.''
(b) Initial determination. Within 30 working days of receiving a
request for correction or amendment, a component shall notify the
requester whether his request will be granted or denied, in whole or in
part. If the component grants the request in whole or in part, it shall
send the requester a copy of the amended record, in releasable form, as
proof of the change. If the component denies the request in whole or in
part, it shall notify the requester in writing of the denial. The notice
of denial shall state the reason or reasons for the denial and advise
the requester of his right to appeal.
(c) Appeals. When a request for correction or amendment is denied in
whole or in part, the requester may appeal the denial to the Solicitor
of Labor within 90 days of his receipt of the notice denying his
request. An appeal to the Solicitor of Labor shall be made in writing,
shall set forth the specific item of information sought to be corrected
or amended, and shall include any documentation said to justify the
change. An appeal shall be addressed to the Solicitor of Labor, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210-
0002. Both the envelope and the letter of appeal itself must be clearly
marked: ``Privacy Act Amendment Appeal.''
(d) Determination on appeal. The Solicitor of Labor shall decide all
appeals from denials of requests to correct or amend records. All such
appeals shall be decided within 30 working days of receipt of the
appeal, unless there is good cause shown to extend this period. The
appellant shall be notified if the period for decision has been
extended.
(1) If the denial of a request is affirmed on appeal, the requester
shall be so notified in writing and advised of:
(i) The reason or reasons the denial has been affirmed,
(ii) The requester's right to file a Statement of Disagreement, as
provided in paragraph (f) of this section, and
(iii) The requester's right to obtain judicial review of the denial in
the U.S. District Court for the judicial district in which the requester
resides or has its principal place of business, the judicial district in
which the record is located, or the District of Columbia.
(2) If the denial is reversed on appeal, the requester shall be so
notified and the request for correction or amendment shall be promptly
remanded to the component that denied the request for processing in
accordance with the decision on appeal.
(e) Delegation of Authority by the Solicitor of Labor. The Solicitor
of Labor is authorized to delegate his or her authority to decide any
and all appeals from denials of requests to correct or amend records to
other senior attorneys within the Office of the Solicitor.
(f) Statements of disagreement. A requester whose request or appeal
under this section has been denied shall have the right to file a
Statement of Disagreement with the Solicitor of Labor, U.S. Department
of Labor, 200 Constitution Avenue, NW, Washington, DC 20210-0002, within
30 days of receiving notice of denial. Statements of Disagreement may
not exceed one typed page per fact disputed. Statements exceeding this
limit shall be returned to the requester for condensation. Upon receipt
of a Statement of Disagreement under this section, the agency shall
promptly have the statement included in the record and shall have the
disputed record marked so as to indicate that a Statement of
Disagreement has been filed.
(g) Notices of correction or amendment or disagreement. Within 30
working days of the correction or amendment of a record, the component
that maintains the record shall advise all components or agencies to
which it previously disclosed the record that the record has been
amended. Whenever an individual has filed a Statement of Disagreement, a
component shall append a copy of the Statement to the disputed record
whenever the record is disclosed. The component may also append to the
disputed record a written statement giving the component's reasons for
denying the request to correct or amend the record.

Sec. 71.10 Certain records not subject to correction.

Certain records are not subject to correction or amendment. These
include, but are not limited to:
(a) Transcripts of testimony given under oath or written statements
made under oath;
(b) Transcripts or decisions of grand jury, administrative, judicial,
or quasi-judicial proceedings which constitute the official record of
such proceedings;
(c) Records duly exempted from correction pursuant to 5 U.S.C. 552a(j)
or 552a(k) by rulemaking promulgated under the Administrative Procedure
Act (5 U.S.C. 551 et seq.)

Sec. 71.11 Emergency disclosures.

If the record of an individual has been disclosed to any person under
compelling circumstances affecting the health or safety of any person,
as described in 5 U.S.C. 552a(b)(8), the individual to whom the record
pertains shall be notified of the disclosure at his last known address
within 10 working days. The notice of such disclosure shall be in
writing and shall state the nature of the information disclosed, the
person or agency to whom it was disclosed, the date of disclosure, and
the compelling circumstances justifying the disclosure. The officer who
made or authorized the disclosure shall be responsible for providing
such notification.

Sec. 71.12 Use and collection of social security numbers.

(a) Each component unit that requests an individual to disclose his
social security account number shall provide the individual, in writing,
with the following information:
(1) The statute, regulation, Executive Order or other authority under
which the number is solicited;
(2) Whether the disclosure is mandatory or voluntary; and
(3) The consequences, if any, to the individual should he or she
refuse or fail to disclose the number.
(b) Neither the Department nor any of its component units shall, in
the absence of specific federal statutory authority, deny to an
individual any right, benefit or privilege provided by law solely
because of such individual's refusal to disclose his social security
account number.
(c) The head of each component unit shall ensure that employees
authorized to collect social security account numbers or tax identifying
numbers, are aware of the statutory or other basis for collecting such
information, of the uses to which such numbers may be put, and of the
consequences, if any, that might follow if a person refuses to disclose
the requested number.

Sec. 71.13 Employee standards of conduct.

(a) Each component shall inform its employees of the provisions of the
Privacy Act, including the Act's civil liability and criminal penalty
provisions. Each component also shall notify its employees that they
have a duty to:
(1) Protect the security of records,
(2) Ensure the accuracy, relevance, timeliness, and completeness of
records,
(3) Avoid the unauthorized disclosure, either verbal or written, of
records, and
(4) Ensure that the component maintains no system of records without
public notice.
(b) Except to the extent that the Privacy Act permits such activities,
an employee of the Department of Labor shall:
(1) Not collect information of a personal nature from individuals
unless the employee is authorized to collect such information to perform
a function or discharge a responsibility of the Department;
(2) Collect from individuals only that information which is necessary
to the performance of the functions or to the discharge of the
responsibilities of the Department;
(3) Collect information about an individual directly from that
individual, whenever practicable;
(4) Inform each individual from whom information is collected of:
(i) The legal authority that authorizes the Department to collect such
information,
(ii) The principal purposes for which the Department intends to use
the information,
(iii) The routine uses the Department may make of the information, and
(iv) The practical and legal effects upon the individual of not
furnishing the information;
(5) Maintain all records which are used by the agency in making any
determination about any individual with such accuracy, relevance,
timeliness, and completeness as to ensure fairness to the individual in
the determination;
(6) Maintain no record describing how any individual exercises rights
guaranteed by the First Amendment to the United States Constitution,
unless:
(i) The individual has volunteered such information for his own
benefit,
(ii) A statute expressly authorizes the Department to collect,
maintain, use, or disseminate the information, or
(iii) The individual's beliefs, activities, or membership are
pertinent to and within the scope of an authorized law enforcement
activity;
(7) Notify the head of the component of the existence or development
of any system of records that has not been disclosed to the public;
(8) Disclose no record to anyone, for any use, unless authorized by
the Act;
(9) Maintain and use records with care to prevent the inadvertent
disclosure of a record to anyone; and
(10) Notify the head of the component of any record that contains
information that the Act or the foregoing provisions of this paragraph
do not permit the Department to maintain.

Sec. 71.14 Use of nonpublic information.

(a) Prohibition. (1) An employee shall not engage in a financial
transaction using nonpublic information, nor allow the improper use of
nonpublic information to further his own private interest or that of
another, whether through advice or recommendations, or by knowing
unauthorized disclosure. See 5 CFR 2635.703.
(2) Nonpublic information is information that an employee gains by
reason of Federal employment that he knows or reasonably should know has
not been made available to the general public. Nonpublic information
includes information contained in a Privacy Act system of records which
an individual knew or should have known:
(i) Is normally exempt from disclosure under Exemptions 6 or 7(C) of
the Freedom of Information Act, or is otherwise protected from
disclosure by statute, Executive Order or regulation;
(ii) Has not actually been disseminated to the general public and is
not authorized to be made available to the public upon request.
(b) Sanctions. Any DOL employee who willfully discloses any
information or records from any file that contains individually-
identifiable information to any person or agency not entitled to receive
it, and the disclosure of which is prohibited by the Privacy Act or by
rules or regulations established thereunder, and who, knowing the
disclosure of the specific material is so prohibited, will be subject to
disciplinary action, as appropriate.
(c) Public Disclosures by Third Parties of DOL Privacy Act Records.
When Labor Department records subject to the Privacy Act are disclosed
to third parties, and as a condition of the disclosure of such records,
the person or entity to whom the records are furnished is expressly
prohibited from further disseminating the information, any further
dissemination of the information so furnished to such person or entity
may be subject to the penalties set forth in 18 U.S.C. 641.

Sec. 71.15 Training.

All DOL systems managers, disclosure officers, and employees with
responsibilities under the Privacy Act shall periodically attend
training offered by the Department on the Privacy Act.

Subpart B--Exemption of Records Systems Under the Privacy Act

Sec. 71.50 General exemptions pursuant to subsection (j) of the
Privacy Act.

(a) The following systems of records are eligible for exemption under
5 U.S.C. 552a(j)(2) because they are maintained by a component of the
agency or subcomponent which performs as its principal function the
enforcement of criminal laws, and they contain investigatory material
compiled for criminal law enforcement purposes. Accordingly, these
systems of records are exempt from the following subsections of 552a of
title 5 U.S. Code: (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G),
(H), and (I), (e)(5) and (8), (f) and (g).
(1) DOL/ESA-45 ( Investigative Files of the Office of Labor-Management
Standards), a system of records maintained by the Office of Labor-
Management Standards.
(2) DOL/OIG-1 (General Investigative Files, and Subject Title Index,
USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(3) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a system
of records maintained by the OIG.
(4) DOL/OIG-3 (Case Development Records), a system of records
maintained by the OIG.
(5) DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information
Reporting Systems, USDOL/OIG), a system of records maintained by the
OIG.
(6) DOL/MSHA-20 (Civil/Criminal Investigations), a system of records
maintained by the Mine Safety and Health Administration.
(7) DOL/PWBA-2 (Office of Enforcement Index Cards and Investigation
Files), a system of records maintained by the Pension and Welfare
Benefits Administration.
(b) This exemption applies to the extent that information in these
systems of records is subject to exemption pursuant to 5 U.S.C.
552a(j)(2).
(c) These systems are exempted for the reasons set forth in paragraphs
(c)(1) through (12) of this section, from the following subsections of 5
U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting would
present a serious impediment to law enforcement by permitting the
subject of an investigation of an actual or potential criminal violation
to determine whether he is the subject of investigation, or to obtain
valuable information concerning the nature of that investigation and the
information obtained, or to identify witnesses and informants.
(2) Subsection (c)(4). Since an exemption is being claimed for
subsection (d) of the Act (Access to Records), this subsection is
inapplicable to the extent that these systems of records are exempted
from subsection (d).
(3) Subsection (d). Access to records contained in these systems would
inform the subject of an actual or potential criminal investigation of
the existence of that investigation, of the nature and scope of the
investigation, of the information and evidence obtained as to his or her
activities, and of the identity of witnesses or informants. Such access
would, accordingly, provide information that could enable the subject to
avoid detection, apprehension, and prosecution. This result, therefore,
would constitute a serious impediment to effective law enforcement not
only because it would prevent the successful completion of the
investigation but also because it could endanger the physical safety of
witnesses or informants, lead to the improper influencing of witnesses,
the destruction of evidence, or the fabrication of testimony. Amendment
of the records would interfere with ongoing criminal law enforcement
proceedings and imposes an impossible administrative burden by requiring
criminal investigations to be continuously reinvestigated.
(4) Subsection (e)(1). In the course of criminal and related law
enforcement investigations, cases, and matters, the agency will
occasionally obtain information concerning actual or potential
violations of law that may not be technically within its statutory or
other authority, or it may compile information in the course of an
investigation which may not be relevant to a specific prosecution. In
the interests of effective law enforcement, it is necessary to retain
some or all of such information since it can aid in establishing
patterns of criminal activity and can provide valuable leads for Federal
and other law enforcement agencies. Moreover, it is difficult to know
during the course of an investigation what is relevant and necessary. In
this connection, facts or evidence may not seem relevant at first, but
later in the investigation, their relevance is borne out.
(5) Subsection (e)(2). To collect information to the greatest extent
practicable from the subject individual of a criminal investigation or
prosecution would present a serious impediment to law enforcement
because the subject of the investigation or prosecution would be placed
on notice as to the existence of the investigation and would therefore
be able to avoid detection or apprehension, improperly influence
witnesses, destroy evidence, or fabricate testimony.
(6) Subsection (e)(3). To provide individuals supplying information
with a form which includes the information required by subsection (e)(3)
would constitute a serious impediment to law enforcement, i.e., it could
compromise the existence of a confidential investigation or reveal the
identity of witnesses or confidential informants.
(7) Subsections (e)(4)(G) and (H). These subsections are inapplicable
to the extent that these systems are exempt from the access provisions
of subsection (d) and the rules provisions of subsection (f).
(8) Subsection (e)(4)(I). The categories of sources of the records in
these systems have been published in the Federal Register in broad
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires. In the event, however, that this subsection should
be interpreted to require more detail as to the identity of sources of
the records in this system, exemption from this provision is necessary
to protect the confidentiality of the sources of criminal and related
law enforcement information. Such exemption is further necessary to
protect the privacy and physical safety of witnesses and informants.
(9) Subsection (e)(5). In the collection of information for criminal
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light. Furthermore, the accuracy of such information can often only be
determined in a court of law. The restrictions of subsection (e)(5)
would inhibit the ability of government attorneys in exercising their
judgment in reporting on information and investigations and impede the
development of criminal information and related data necessary for
effective law enforcement.
(10) Subsection (e)(8). The individual notice requirements of
subsection (e)(8) could present a serious impediment to law enforcement
as this could interfere with the ability to issue warrants or subpoenas
and could reveal investigative techniques, procedures, or evidence.
(11) Subsection (f). Procedures for notice to an individual pursuant
to subsection (f)(1) as to existence of records pertaining to the
individual dealing with an actual or potential criminal, civil, or
regulatory investigation or prosecution must be exempted because such
notice to an individual would be detrimental to the successful conduct
and/or completion of an investigation or case, pending or future. In
addition, mere notice of the fact of an investigation could inform the
subject or others that their activities are under investigation or may
become the subject of an investigation and could enable the subjects to
avoid detection, to influence witnesses improperly, to destroy evidence,
or to fabricate testimony. Since an exemption is being claimed for
subsection (d) of the Act (Access to Records) the rules required
pursuant to subsections (f)(2) through (5) are inapplicable to these
systems of records to the extent that these systems of records are
exempted from subsection (d).
(12) Subsection (g). Since an exemption is being claimed for
subsections (d) (Access to Records) and (f) (Agency Rules) this section
is inapplicable, and is exempted for the reasons set forth for those
subsections, to the extent that these systems of records are exempted
from subsections (d) and (f).

Sec. 71.51 Specific exemptions pursuant to subsection (k)(2) of the
Privacy Act.

(a) The following systems of records are eligible for exemption under
5 U.S.C. 552a(k)(2) because they contain investigatory material compiled
for law enforcement purposes other than material within the scope of
subsection (j)(2) of 5 U.S.C. 552a. Provided however, that if any
individual is denied any right, privilege or benefit to which he would
otherwise be entitled 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
January 1, 1975, under an implied promise that the identity of the
source would be held in confidence. Accordingly the following systems of
records are exempt from (c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1),
(e)(4)(G), (e)(4)(I) and (f) of 5 U.S.C. 552a.
(1) DOL/GOVT-1 (Office of Workers' Compensation Programs, Federal
Employees' Compensation Act File), a system of records maintained by the
Employment Standards Administration (ESA).
(2) DOL/OASAM-17 (Equal Employment Opportunity Complaint Files), a
system of records maintained by the Office of the Assistant Secretary
for Administration and Management (OASAM).
(3) DOL/OASAM-19 (Negotiated Grievance Procedure and Unfair Labor
Practice Files), a system of records maintained by OASAM.
(4) DOL/OASAM-20 (Personnel Investigation Records), a system of
records maintained by OASAM.
(5) DOL/OASAM-22 (Directorate of Civil Rights Discrimination Complaint
Case Files), a system of records maintained by OASAM.
(6) DOL/OASAM-29 (OASAM Employee Administrative Investigation File), a
system of records maintained by OASAM.
(7) DOL/BLS-7 (BLS Employee Conduct Investigation), a system of
records maintained by the Bureau of Labor Statistics (BLS).
(8) DOL/ESA-2 (Office of Federal Contract Compliance Programs,
Complaint Files), a system of records maintained by ESA.
(9) DOL/ESA-25 (Office of Federal Contract Compliance Programs,
Management Information Systems (OFCCP/MIS), a system of records
maintained by ESA.
(10) DOL/ESA-26 (Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Investigation Files), a system of
records maintained by ESA.
(11) DOL/ESA-27 (Office of Workers' Compensation Programs, Longshore
Act Claimant Representatives), a system of records maintained by ESA.
(12) DOL/ESA-28 (Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded under the Longshore Act), a system of
records maintained by ESA.
(13) DOL/ESA-29 (Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded under the Federal Employees'
Compensation Act), a system of records maintained by ESA.
(14) DOL/ESA-32 (ESA, Complaint and Employee Conduct Investigations),
a system of records maintained by ESA.
(15) DOL/ESA-36 (ESA, Wage and Hour Division, MSPA/FLCRA Civil Money
Penalty Record Files), a system of records maintained by ESA.
(16) DOL/ESA-40 (ESA, Wage and Hour Division, MSPA/FLCRA Tracer List),
a system of records maintained by ESA.
(17) DOL/ESA-41 (ESA, Wage and Hour Division, MSPA/FLCRA Certificate
Action Record Files), a system of records maintained by ESA.
(18) DOL/ESA-45 (Investigative Files of the Office of Labor-Management
Standards), a system maintained by the Office of Labor-Management
Standards.
(19) DOL/ETA-16 (Employment and Training Administration Investigatory
File), a system of records maintained by the Employment and Training
Administration (ETA).
(20) DOL/ETA-22 (ETA Employee Conduct Investigations), a system of
records maintained by ETA.
(21) DOL/OIG-1 (General Investigative Files, and Subject Title Index,
USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(22) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a system
of records maintained by the OIG.
(23) DOL/OIG-3 (Case Development Records), a system of records
maintained by OIG.
(24) DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information
Reporting Systems, USDOL/OIG), a system of records maintained by OIG.
(25) DOL/MSHA-10 (Discrimination Investigations), a system of records
maintained by the Mine Safety and Health Administration (MSHA).
(26) DOL/MSHA-19 (Employee Conduct Investigations), a system of
records maintained by MSHA.
(27) DOL/MSHA-20 (Civil/Criminal Investigations), a system of records
maintained by MSHA.
(28) DOL/OSHA-1 (Discrimination Complaint File), a system of records
maintained by the Occupational Safety and Health Administration (OSHA).
(29) DOL/OSHA-12 (Employee Conduct Investigations), a system of
records maintained by OSHA.
(30) DOL/PWBA-2 (Office of Enforcement Index Cards and Investigation
Files), a system of records maintained by the Pension and Welfare
Benefits Administration (PWBA).
(31) DOL/PWBA-7 (PWBA Employee Conduct Investigations), a system of
records maintained by PWBA.
(32) DOL/SOL-8 (Special Litigation Files), a system of records
maintained by the Office of the Solicitor (SOL).
(33) DOL/SOL-9 (Freedom of Information Act and Privacy Act Appeals
Files), a system of records maintained by SOL.
(34) DOL/SOL-11 (Division of Civil Rights Defensive Litigation Files),
a system of records maintained by SOL.
(35) DOL/SOL-12 (Third-party Recovery Files), a system of records
maintained by SOL.
(36) DOL/SOL-13 (SOL Employee Conduct Investigations), a system of
records maintained by SOL.
(37) DOL/SOL-15 (Solicitor's Office Litigation Files), a system of
records maintained by SOL.
(38) DOL/VETS-1 (Veterans' Reemployment Complaint File--VETS-1), a
system of records maintained by the Veterans' Employment and Training
Service (VETS).
(39) DOL/VETS-2 (Veterans' Preference Complaint File), a system of
records maintained by VETS.
(b) This exemption applies to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(c) The systems of records listed under paragraphs (a)(1) through
(a)(39) of this section are exempted for the reasons set forth in
paragraphs (c) (1) through (6) of this section, from the following
subsections of 5 U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting, for
disclosures made pursuant to subsection (b) of the Act, including those
permitted under the routine uses published for these systems of records,
would enable the subject of an investigation of an actual or potential
civil case to determine whether he or she is the subject of
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to law
enforcement. In addition, disclosure of the accounting would constitute
notice to the individual of the existence of a record even though such
notice requirement under subsection (f)(1) is specifically exempted for
this system of records.
(2) Subsections (d)(1), (d)(2), (d)(3), and (d)(4). Access to the
records contained in these systems would inform the subject of an actual
or potential civil investigation of the existence of that investigation,
of the nature and scope of the information and evidence obtained as to
his or her activities, and of the identity of witnesses or informants.
Such access would, accordingly, provide information that could enable
the subject to avoid detection. This result, therefore, would constitute
a serious impediment to effective law enforcement not only because it
would prevent the successful completion of the investigation but also
because it could endanger the physical safety of witnesses or
informants, lead to the improper influencing of witnesses, the
destruction of evidence, or the fabrication of testimony.
(3) Subsection (e)(1). The notices for these systems of records
published in the Federal Register set forth the basic statutory or
related authority for maintenance of these systems. However, in the
course of civil and related law enforcement investigations, cases and
matters, the agency will occasionally obtain information concerning
actual or potential violations of law that are not strictly or
technically within its statutory or other authority or may compile
information in the course of an investigation which may not be relevant
to a specific case. In the interests of effective law enforcement, it is
necessary to retain some or all of such information in this system of
records since it can aid in establishing patterns of compliance and can
provide valuable leads for Federal and other law enforcement agencies.
Moreover, it is difficult to know during the course of an investigation
what is relevant and necessary. In this connection, facts or evidence
may not seem relevant at first, but later in the investigation, their
relevance is borne out.
(4) Subsections (e)(4) (G) and (H). Since an exemption is being
claimed for subsections (f) (Agency Rules) and (d) (Access to Records)
of the Act, these subsections are inapplicable to the extent that these
systems of records are exempted from subsections (f) and (d).
(5) Subsection (e)(4)(I). The categories of sources of the records in
these systems have been published in the Federal Register in broad
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires. In the event, however, that this subsection should
be interpreted to require more detail as to the identity of sources of
the records in this system, exemption from this provision is necessary
in order to protect the confidentiality of the sources of civil law
enforcement information. Such exemption is further necessary to protect
the privacy and physical safety of witnesses and informants.
(6) Subsection (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to existence of records pertaining to the
individual dealing with an actual or potential criminal, civil, or
regulatory investigation or prosecution must be exempted because such
notice to an individual would be detrimental to the successful conduct
and/or completion of an investigation or case, pending or future. In
addition, mere notice of the fact of an investigation could inform the
subject or others that their activities are under or may become the
subject of an investigation and could enable the subjects to avoid
detection, to influence witnesses improperly, to destroy evidence, or to
fabricate testimony. Since an exemption is being claimed for subsection
(d) of the Act (Access to Records), the rules required pursuant to
subsections (f)(2) through (5) are inapplicable to these systems of
records to the extent that these systems of records are exempted from
subsection (d).

Sec. 71.53 Specific exemptions pursuant to subsection (k)(5) of the
Privacy Act.

(a) The following systems of records are eligible for exemption under
5 U.S.C. 552a(k)(5) because they contain investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, military service,
Federal contracts, 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 confidence, or,
prior to January 1, 1975 , under an implied promise that the identity of
the source would be held in confidence. Accordingly, these systems of
records are exempt from (c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1),
(e)(4)(G), (e)(4)(I) and (f) of 5 U.S.C. 552a.
(1) DOL/OASAM-20 (Personnel Investigation Records), a system of
records maintained by the Office of the Assistant Secretary for
Administration and Management (OASAM).
(2) DOL/OIG-1 (General Investigative Files, and Subject Title Index,
USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(3) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a system
of records maintained by the OIG.
(4) DOL/OIG-3 (Case Development Records), a system of records
maintained by the OIG.
(5) DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information
Reporting Systems, USDOL/OIG), a system of records maintained by the
OIG.
(b) This exemption applies to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(5).
(c) The systems of records listed under paragraphs (a)(1) through
(a)(5) of this section are exempted for the reasons set forth in
paragraphs (c)(1) through (6) of this section, from the following
subsections of 5 U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting, for
disclosures made pursuant to subsection (b) of the Act, including those
permitted under the routine uses published for this system of records,
would enable the subject of an investigation of an actual or potential
civil case to determine whether he or she is the subject of
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to the
investigation. In addition, disclosure of the accounting would
constitute notice to the individual of the existence of a record even
though such notice requirement under subsection (f)(1) is specifically
exempted for this system of records.
(2) Subsections (d)(1), (d)(2), (d)(3), and (d)(4). Access to the
records contained in these systems would inform the subject of an actual
or potential investigation of the existence of that investigation, of
the nature and scope of the information and evidence obtained as to his
or her activities, and of the identity of witnesses or informants. Such
access would, accordingly, provide information that could enable the
subject to avoid detection. This result, therefore, would constitute a
serious impediment to effective investigation not only because it would
prevent the successful completion of the investigation but also because
it could endanger the physical safety of witnesses or informants, lead
to the improper influencing of witnesses, the destruction of evidence,
or the fabrication of testimony.
(3) Subsection (e)(1). The notices for these systems of records
published in the Federal Register set forth the basic statutory or
related authority for maintenance of this system. However, in the course
of civil and related investigations, cases and matters, the agency will
occasionally obtain information concerning actual or potential
violations of law that are not strictly or technically within its
statutory or other authority or may compile information in the course of
an investigation which may not be relevant to a specific case. In the
interests of effective investigation, it is necessary to retain some or
all of such information in these systems of records since it can aid in
establishing patterns of compliance and can provide valuable leads for
Federal and other law enforcement agencies. Moreover, it is difficult to
know during the course of an investigation what is relevant and
necessary. In this connection, facts or evidence may not seem relevant
at first, but later in the investigation, their relevance is borne out.
(4) Subsections (e)(4)(G) and (H). Since an exemption is being claimed
for subsections (f) (Agency Rules) and (d) (Access to Records) of the
Act, these subsections are inapplicable to the extent that these systems
of records are exempted from subsections (f) and (d).
(5) Subsection (e)(4)(I). The categories of sources of the records in
these systems have been published in the Federal Register in broad
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires. In the event, however, that this subsection should
be interpreted to require more detail as to the identity of sources of
the records in this system, exemption from this provision is necessary
in order to protect the confidentiality of the sources of investigatory
information. Such exemption is further necessary to protect the privacy
and physical safety of witnesses and informants.
(6) Subsection (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to existence of records pertaining to the
individual dealing with an actual or potential investigation must be
exempted because such notice to an individual would be detrimental to
the successful conduct and/or completion of an investigation or case,
pending or future. In addition, mere notice of the fact of an
investigation could inform the subject or others that their activities
are under or may become the subject of an investigation and could enable
the subjects to avoid detection, to influence witnesses improperly, to
destroy evidence, or to fabricate testimony. Since an exemption is being
claimed for subsection (d) of the Act (Access to Records), the rules
required pursuant to subsections (f)(2) through (5) are inapplicable to
these systems of records to the extent that these systems of records are
exempted from subsection (d).

Appendix A to Part 71--Responsible Officials

(a)(1) 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 and 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 20210-0002.

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)
Legal Counsel (OALJs)
Assistant Secretary for Administration and Management (OASAM)
Deputy Assistant Secretary for Administration and Management (OASAM)
Director, Business Operations Center, OASAM
Director, Civil Rights Center, OASAM
Director, Human Resources Center, OASAM
Director, Information Technology Center, OASAM
Director, Worklife Center, OASAM
Director, Reinvention Center, OASAM
Director, Safety and Health Center, OASAM
Director, Conference and Services Center, OASAM
Chief Financial Officer, Office of the Chief Financial Officer
Associate Deputy Secretary for Adjudication
Chairperson, Administrative Review Board (ARB)
Chief Administrative Appeals Judge, Benefits Review Board (BRB)
Chairperson, Employees' Compensation Appeals Board (ECAB)
Executive Director, Office of Adjudicatory Services (OAS)
Director, Office of Small Business Programs
Director, Women's Bureau
Assistant Secretary Office of Congressional and Intergovernmental
Affairs (OCIA)
Deputy Assistant Secretary, OCIA
Assistant Secretary for Policy (ASP)
Deputy Assistant Secretary, ASP
Assistant Secretary, Office of Public Affairs (OPA)
Deputy Assistant Secretary, OPA
Disclosure Officer, Office of the Inspector General (OIG)
Director, Office of Management, Administration and Planning Bureau of
International Labor Affairs (ILAB)
Secretary, U.S. National Administrative Office (USNAO)
Assistant Secretary for Employment Standards, Employment Standards
Administration (ESA)
Director, Office of Management,
Administration and Planning (OMAP), ESA
Director, Equal Employment Opportunity Unit, ESA
Director, Office of Public Affairs, OMAP, ESA
Director, Division of Human Resources Management, OMAP, ESA
Director, Division of Legislative and Regulatory Analysis, OMAP, ESA
Director, Office of Workers' Compensation Programs (OWCP), ESA
Special 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
National Office Program Administrator, Wage and Hour Division, ESA
Deputy National Office Program Administrator, Wage and Hour Division,
ESA
Director, Office of Enforcement Policy, Wage and Hour Division, ESA
Deputy Director, Office of Enforcement Policy, Wage and Hour Division,
ESA
Director, Office of Planning and Analysis, Wage and Hour Division ESA
Director, Office of Wage Determinations, Wage and Hour Division ESA
Director, Office of External Affairs, Wage and Hour Division, ESA
Director, Office of Quality and Human Resources, Wage and Hour Division,
ESA
Deputy Assistant Secretary for Federal Contract Compliance Programs
(OFCCP), ESA
Deputy Director, Office of Federal Contract Compliance Programs, OFCCP,
ESA
Director, Division of Policy, Planning and Program Development, OFCCP,
ESA
Deputy Director, Division of Policy, Planning and Program Development,
OFCCP, ESA
Director, Division of Program Operations, OFCCP, ESA
Deputy Director, Division of Program Operations, OFCCP, ESA
Director, Division of Management and Administrative Programs, OFCCP, ESA
Deputy Assistant Secretary for Labor-Management Standards, 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, Information, and Support, ETA
Director, Office of Human Resources, ETA
Director, Office of the Comptroller, ETA
Director, Office of Grants and Contracts Management, ETA
Chief, Division of Resolution and Appeals, ETA
Chief, Division of Acquisition and Assistance, ETA
Chief, Division of Financial and Grant Management Policy and Review, ETA
Director, Office of Regional Management, ETA
Administrator, Office of Policy and Research, ETA
Director, Unemployment Insurance Service, ETA
Director, United States Employment Service, ETA
Chief, Division of Foreign Labor Certifications, ETA
Administrator, Office of Job Training Programs, ETA
Director, Office of Welfare-to-Work Programs, ETA
Director, Office of Employment and Training Programs, ETA
Director, National Office of School to Work Opportunities, ETA
Director, Office of Job Corps, ETA
Director, Office of National Programs, ETA
Director, Bureau of Apprenticeship and Training, ETA
Administrator, Office of Work-Based Learning, ETA
Program Manager, Division of Policy and Analysis, Office of Worker
Retraining and Adjustment Programs, ETA
Program Manager, Division of Program Implementation, Office of Worker
Retraining and Adjustment Programs, ETA
Director, Office of Trade Adjustment Assistance, ETA
Director, Office of One-Stop/LMI, ETA
Director, Office of Equal Employment Opportunity, Occupational Safety
and Health Administration (OSHA)
Director, Office of Information and Consumer Affairs, OSHA
Director, Directorate Office of Construction, OSHA
Director, Directorate of Federal-State Operations, OSHA
Director, Directorate of Policy, OSHA
Director, Directorate of Administrative Programs, OSHA
Director, Personnel Programs, 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 Compliance Programs, 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
Director, Office of Program Services, Pension and Welfare Benefits
Administration
Assistant Secretary for Veterans' Employment and Training (VETS)
Deputy Assistant Secretary for Veterans' Employment and Training, VETS
Director, Office of Operations and Programs, VETS
Chair, Benefits Review Board
Commissioner, Bureau of Labor Statistics (BLS)
Associate Commissioner, Office of Administration, BLS

The mailing address for responsible officials in the Bureau of Labor
Statistics is: Rm. 4040--Postal Square Bldg., 2 Massachusetts Ave., NE,
Washington, DC 20212-0001.

Director of Program Evaluation and Information Resources Mine Safety and
Health Administration (MSHA)

The mailing address for responsible official in the Mine Safety and
Health Administration (MSHA) is: 4015 Wilson Boulevard, Arlington,
Virginia 22203.
The mailing address for the Office of Administrative Law Judges is:
Chief, Office of Administrative Law Judges, 800 K Street, NW, Suite N-
400, Washington, DC 20001-8002.
(2) The titles of the responsible officials in the regional offices of
the various independent agencies are listed below: Unless otherwise
specified, the mailing address for these officials by region, shall be:

Region I

U.S. Department of Labor, John F. Kennedy Federal Building, Boston,
Massachusetts 02203 (For Wage and Hour only: Contact Region III)

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, (For Wage and Hour only:
Contact Region III)

Region III

Gateway Building, 3535 Market Street, Philadelphia, Pennsylvania 19104

Region IV

U.S. Department of Labor, Atlanta Federal Center, 61 Forsyth Street, SW,
Atlanta, Georgia 30303
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

City Center Square Building, 1100 Main Street, Kansas City, Missouri
64105-2112 (For Wage and Hour only: Contact Region V)
801 Walnut Street, Room 200, Kansas City, Missouri 64106 (OFCCP only)

Region VIII

1999 Broadway Street, Denver, Colorado 80202 (For Wage and Hour only:
Contact Region VI)
1801 California Street, Suite 915, Denver, Colorado 80202 (OWCP only)

The mailing address for the Director of the Regional Bureau of
Apprentice and Training 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

1111 Third Avenue, Seattle, Washington 98101-3212 (For Wage and Hour
only: Contact Region IX)

Regional Administrator for Administration and Management (OASAM)
Regional Personnel Officer, OASAM
Regional Director for Information and Public Affairs, OASAM
Regional Administrator for Occupational Safety and Health and Safety
(OSHA)
Regional Commissioner, Bureau of Labor Statistics (BLS)
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
District Director, Office of Workers' Compensation Programs, ESA

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

JFK Federal Building, Room E-235, Boston, Massachusetts 02203
201 Varick Street, Room 750, New York, New York 10014
Gateway Building, Room 15340, 3535 Market Street, Philadelphia,
Pennsylvania 19104
61 Forsyth Street, SW, Suite 7B75, Atlanta, Georgia 30303
Klucynski Federal Building, Room 570, 230 South Dearborn Street,
Chicago, Illinois 60604
Federal Building, Room 840, 525 South Griffin Street, Dallas, Texas
75202
71 Stevenson Street, Suite 1700, San Francisco, California 94105-2614
1111 Third Avenue, Suite 610, Seattle, Washington 98101-3212

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

John F. Kennedy, Federal Building, 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)
105 North Main Street, Suite 100, Wilkes-Barre, Pennsylvania 18701 (BLBA
Only)
Wellington Square, 1225 South Main Street, Greensburg, Pennsylvania
15601 (BLBA only)
300 West Pratt Street, Suite 240, Baltimore, Maryland 21201 (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)
8866 Gulf Freeway, Suite 140, Houston, Texas 77017 (LHWCA Only)
City Center Square, Suite 750, 1100 Main Street, Kansas City, Missouri
64105 (FECA Only)
1801 California Street, Denver, Colorado 80202 (FECA and BLBA Only)
71 Stevenson Street, 2nd Floor, San Francisco, California 94105 (LHWCA
and FECA Only)
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802 (LHWCA
Only)
300 Ala Moana Boulevard, Room 5119, Honolulu, Hawaii 96850 (LHWCA Only)
1111 3rd Avenue, Seattle, Washington 98101-3212 (LHWCA and FECA only)

Regional Administrator, Occupational Safety and Health Administration
(OSHA)

Area Director, OSHA

639 Granite Street, 4th Floor, Braintree, Massachusetts 02184
279 Pleasant Street, Suite 201, Concord, New Hampshire 03301
202 Harlow Street, Room 211, Bangor, Maine 04401
Federal Office Building, 450 Main Street, Room 508, Hartford,
Connecticut 06103
One LaFayette Square, Suite 202, Bridgeport, Connecticut 06604
1145 Main Street, Room 108, Springfield, Massachusetts 01103-1493
Federal Office Building, 380 Westminister Mall, Room 243, Providence,
Rhode Island 02903
Valley Office Park, 13 Branch Street, Methuen, Massachusetts 01844
6 World Trade Center, Room 881, New York, New York 10048
990 Westbury Road, Westbury, New York 11590
42-40 Bell Boulevard, Bayside, New York 11361
401 New Karner Road, Suite 300, Albany, New York 12205-3809
Plaza 35, Suite 205, 1030 St. Georges Avenue, Avenel, New Jersey 07001
299 Cherry Hill Road, Suite 304, Parsippany, New Jersey 07054
3300 Vikery Road, North Syracuse, New York 13212
5360 Genesee Street, Bowmansville, New York 14026
BBV Plaza Building, 1510 F.D. Roosevelt Avenue, Suite 5B, Guaynabo,
Puerto Rico 00968
500 Route 17 South, 2nd Floor, Hasbrouck Heights, New Jersey 07604
Marlton Executive Park, Building 2, Suite 120, 701 Route 73 South,
Marlton, New Jersey 08053
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, 1000 Liberty Avenue, Room 1428, Pittsburgh,
Pennsylvania 15222
3939 West Ridge Road, Suite B12, Erie, Pennsylvania 16506
Federal Office Building, 200 Granby Street, Room 835, Norfolk, Virginia
23510
820 First Street, NE, Suite 440, Washington, DC 20002
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
Federal Building, Room 1110, 300 W. Pratt St., Baltimore, Maryland 21201
Progress Plaza, 49 Progress Avenue, Harrisburg, Pennsylvania 17109
2400 Herodian Way, Suite 250, Smyrna, Georgia 30080
450 Mall Boulevard, Suite J, Savannah, Georgia 31406
Todd Mall, 2047 Canyon Road, Birmingham, Alabama 35216
8040 Peters Road, Building H-100, Fort Lauderdale, Florida 33324
Ribault Building, Suite 227, 1851 Executive Center Drive, Jacksonville,
Florida 32207
5807 Breckenridge Parkway, Suite A, Tampa, Florida 33610
1835 Assembly Street, Room 1468, Columbia, South Carolina 29201
3780 I-55 North, Suite 210, Jackson, Mississippi 39211-6323
3737 Government Boulevard, Suite 100, Mobile, Alabama 36693
2002 Richard Jones Road, Suite C-205, Nashville, Tennessee 37215
John C. Watts Federal Building, 330 West Broadway, Room 108, Frankfort,
Kentucky 40601
La Vista Perimeter Office Park, 2183 N. Lake Parkway, Building 7, Suite
110, Tucker, Georgia 30084
Century Station Federal Office Building, 300 Fayetteville Mall, Room
438, Raleigh, North Carolina 27601
1600 167th Street, Suite 9, Calumet City, Illinois 60409
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 P.O. & 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, Suite 1220, 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
903 San Jacinto Boulevard, Suite 319, 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
Wilson Plaza, 606 N. Carancahua, Suite 700, Corpus Christi, Texas 78401
Federal Office Building, 1205 Texas Avenue, Room 806, Lubbock, Texas
79401
350 North Sam Houston Parkway East, Suite 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
TCBY Building, Suite 450, 425 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
8600 Farley, Suite 105, Overland Park, Kansas 66212-4677
2900 Fourth Avenue, North, Suite 303, Billings, Montana 59101
220 E. Rosser, Room 348, P.O. 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, P.O. Box 65200, Salt Lake City, Utah 84165-0200
71 Stevenson Street, Room 420, San Francisco, California 94105
101 El Camino Plaza, Suite 105, Sacramento, California 95815
5675 Ruffin Road, Suite 330, San Diego, California 92123
300 Ala Moana Boulevard, Suite 5122, P.O. Box 50072, Honolulu, Hawaii
96850
3221 North 16th Street, Suite 100, Phoenix, Arizona 85016
705 North Plaza, Room 204, Carson City, Nevada 89701
301 West Northern Lights Boulevard, Suite 407, Anchorage, Alaska 99503
3050 North Lakeharbor Lane, Suite 134, Boise, Idaho 83703
505 106th Avenue, Northeast, Suite 302, Belleview, Washington 98004
1220 Southwest Third Avenue, Room 640, Portland, Oregon 97204

Pension and Welfare Benefits Administration Regional Director or
District Supervisor

Regional Director, J.F.K. Federal Bldg., Room 575, Boston, Massachusetts
22203
Regional Director, 1633 Broadway, Rm. 226, New York, N.Y. 10019
Regional Director, 3535 Market Street, Room M300, Gateway Building,
Philadelphia, Pennsylvania 19104
District Supervisor, 1730 K Street N.W., Suite 556, Washington, DC 20006
Regional Director, 61 Forsyth Street, S.W., Room 7B54, Atlanta, Georgia
30303
District Supervisor, 8040 Peters Road, Building H, Suite 104,
Plantation, Florida 33324
Regional Director, 1885 Dixie Highway, Suite 210, Ft. Wright, Kentucky
41011
District Supervisor, 211 West Fort Street, Suite 1310, Detroit, Michigan
48226-3211
Regional Director, 200 West Adams Street, Suite 1600, Chicago, Illinois
60606
Regional Director, City Center Square, 1100 Main Street, Suite 1200,
Kansas City, Missouri 64105
District Supervisor, 815 Olive Street, Room 338, St. Louis, Missouri
63101
Regional Director, 525 Griffin Street, Room 707, Dallas, Texas 75202
Regional Director, 71 Stevenson Street, Suite 915, P.O. Box 190250, San
Francisco, California 94119-0250
District Director, 1111 Third Avenue, Room 860, Seattle, Washington
98101-3212
Regional Director, Suite 514, 790 E. Colorado Blvd, Pasadena, CA 91101

Regional Administrators, Veterans' Employment and Training Service
(VETS)

Region I

J.F. Kennedy Federal Building, Government Center, Room E-315, Boston,
Massachusetts 02203

Region II

201 Varick Street, Room 766, New York, New York 10014

Region III

U.S. Customs House, Room 802, Second and Chestnut Streets, Philadelphia,
Pennsylvania 19106

Region IV

Atlanta Federal Center, 61 Forsyth Street, SW., Room 6T85, Atlanta,
Georgia 30303

Region V

230 South Dearborn, Room 1064, Chicago, Illinois 60604

Region VI

525 Griffin Street, Room 858, Dallas, Texas 75202

Region VII

Center City Square, 1100 Main Street, Suite 850, Kansas City, Missouri
64105-2112

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