[Privacy Act Issuances (2003)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF THE LABOR
Table of Contents
General Prefatory Statement
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.
DOL/GOVT-2--Job Corps Student Records.
Office of the Secretary (OSEC)
DOL/OSEC-1--Supervisor's/Team Leader's Records of Employees.
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-12--Administrative Grievance Records.
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--Civil Rights Center Citizen Discrimination
Complaint Files.
DOL/OASAM-23--Travel Management Center.
DOL/OASAM-24--Privacy Act/Freedom of Information Act Requests
File System.
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-31--DOL Flexible Workplace (Flexiplace) Programs
Evaluation and Files.
DOL/OASAM-32--Transit Subsidy Management System.
DOL/OASAM-33--Entity Database.
DOL/OASAM-34--DOL Fitness Association (DOLFA) Membership Files.
DOL/OASAM-35--DOL Child Care Subsidy Programs Records.
DOL/OASAM-36--PeoplePower.
Office of Administrative Law Judges (OALJs)
DOL/OALJ-1--Office of Administrative Law Judges Case Tracking
System.
DOL/OALJ-2--Office of Administrative Law Judges Case Files.
DOL/OALJ-3--Contract List.
DOL/OALJ-4--Notification List.
Office of the Administrative Review Board
DOL/ARB-1--Administrative Review Board Appeals Files.
ffice of the Assistant Secretary for Policy (ASP)
DOL/ASP-1--National Agricultural Workers Survey (NAWS) Research
File, Case Tracking Files, Name Index.
Benefits Review Board (BRB)
DOL/BRB-1--Appeals Files-Benefits Review Board (BRB).
Bureau of Labor Statistics (BLS)
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--Mainframe 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--Collection Procedures Research Lab Project Files.
DOL/BLS-17--National Longitudinal Survey of Youth 1996 (NLYS96).
DOL/BLS-18--Postal Square Building Parking Management Records.
DOL/BLS-19--Customer Information Files.
DOL/BLS-20--Fellowship Applicants and Recipients Files.
Office of the Chief Financial Officer (CFO)
DOL/CFO-1--Attendance, Leave and Payroll File.
DOL/CFO-2--Department of Labor Accounting and Related Systems.
DOL/CFO-3--Travel and Transportation System.
Office of Disability Employment Policy, formerly known as the
President's Committee on Employment of People with Disabilities
(PCEPD)
DOL/ODEP-1--Job Accommodation Network (JAN) Files.
DOL/ODEP-2--Workforce Recruitment Program (WRP) Database.
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 Case 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-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-32--Employee Conduct Investigations.
DOL/ESA-33--Time Report Component of the Wage and Hour
Investigative Support and Reporting Database (WHISARD).
DOL/ESA-34--Farm Labor Contractor Registration File.
DOL/ESA-35--Farm Labor Contractor Employee Registration File.
DOL/ESA-36--MSPA Civil Money Penalties in the Wage and Hour
Investigative Support and Reporting Database (WHISARD).
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 Tracer List.
DOL/ESA-41--MSPA Certificate Action Record Files.
DOL/ESA-42--Case Registration/Investigator form; in the Wage and
Hour Investigative Support and Report Database (WHISARD).
DOL/ESA-43--Office of Workers' Compensation Programs, Federal
Employees Compensation Act and Longshore and Harbor 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 Files.
DOL/ESA-45--Investigative Files of the Office of Labor-Management
Standards (Formerly DOL/OAW-1)
DOL/ESA-46--Migrant and Seasonal Agricultural Worker Protection
Act (MSPA) Ineligible Farm Labor Contractors.
DOL/ESA-47--Youth Peddler Bulletin Board.
DOL/ESA-48--``Customer Service'' component of the Wage Hour
Investigative Support and Reporting Database (WHISARD).
DOL/ESA-49--Office of Workers' Compensation Programs, Energy
Employees' Occupational Illness Compensation Program Act File.
DOL/ESA-50--Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded under the Energy Employees'
Occupational Illness Compensation Program Act.
DOL/ESA-51--OLMS Public Disclosure Request Tracking System.
Employment and Training Administration (ETA)
DOL/ETA-1--Bureau of Apprenticeship and Training, Budget and
Position Control File.
DOL/ETA-4--Apprenticeship Information Management System (AIMS).
DOL/ETA-7--Employer Application File for Permanent and Temporary
Alien Workers.
DOL/ETA-8--Job Corps Student Pay, Allotment and Management
Information System (SPAMIS).
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-22--ETA Employee Conduct Investigations.
DOL/ETA-24--Contracting and Grant Officer Files.
DOL/ETA-25--DOL/ETA Evaluation Research Projects of the
Unemployment Compensation System.
DOL/ETA-26--Standardized Program Information Report (SPIR).
DOL/ETA-27--Youth Opportunity Grant Program Information Files.
Office of Inspector General (OIG)
DOL/OIG-1--Investigative Files, Case Tracking System, Analysis,
Complaints and Evaluation Files, USDOL/OIG.
DOL/OIG-2--Freedom of Information/Privacy Acts Records.
DOL/OIG-3--Investigative Case Files, Case Development and
Intelligence Records.
DOL/OIG-5--Audit Information, Tracking and Reporting Systems.
Bureau of International Labor Affairs (ILAB)
DOL/ILAB-1--Arbitrators/Experts/Consultant Candidates'
Biographies.
Mine Safety and Health Administration (MSHA)
DOL/MSHA-1--Coal and Metal and Nonmetal Mine Accident, Injury,
and Illness.
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.
DOL/MSHA-18--Coal Mine Safety and Health Management Information
System.
DOL/MSHA-19--Employee Conduct Investigations System.
DOL/MSHA-20--Civil/Criminal Investigations.
DOL/MSHA-21--Assessments and Civil Penalty Debt Collection
Activity and Reporting System.
DOL/MSHA-22--Education Policy and Development; National Mine
Health and Safety Academy Permanent Record Cards.
DOL/MSHA-23--Educational Policy and Development; Educational
Field Services (EFS) Activity Reporting System.
DOL/MSHA-24--Radon Daughter Exposure.
Occupational Safety and Health Administration (OSHA)
DOL/OSHA-1--Discrimination Complaint File.
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.
Employee Benefits Security Administration (EBSA)
DOL/PWBA-2--PWBA Investigation Management Files.
DOL/PWBA-3--PWBA Correspondence Files.
DOL/PWBA-4--Technical Assistance and Inquiry Files.
DOL/PWBA-5--Public Disclosure Request Tracking System.
DOL/PWBA-6--PWBA Debt Collection/Management System.
DOL/PWBA-7--Employee Conduct Investigations.
DOL/PWBA-8--PWBA Consolidated Training Record.
DOL/PWBA-9--Office of Enforcement Correspondence Tracking System.
DOL/PWBA-10--PWBA Civil Litigation Case Information System.
DOL/PWBA-11--PWBA Criminal Case Information System.
DOL/PWBA-12--Publication Hotline Requests.
DOL/PWBA-13--Office of Exemption Determinations ERISA Section
502(l) Files.
DOL/PWBA-14--Investment Advisor Registration Data Base.
DOL/PWBA-15--PWBA Inventory Management Data Base.
DOL/PWBA-16--Form 5500EZ Filings.
Office of Small Business Programs (OSBP)
DOL/OSBP-1--Office of Small Business Programs, Small Entity
Inquiry and Complaint Tracking System.
DOL/OSBP-2--Department of Labor Advisory Committee Members Files.
Office of the Solicitor (OSOL)
DOL/SOL-3--Tort Claims Files.
DOL/SOL-5--Workforce Investment Act Tort Claims Files.
DOL/SOL-6--Military Personnel and Civilian Employees' Claims.
DOL/SOL-7--Solicitor's Legal Activity Recordkeeping System.
DOL/SOL-9--Freedom of Information Act and Privacy Act Appeals
Files.
DOL/SOL-13--Employee Conduct Investigations.
DOL/SOL-15--Solicitor's Office Litigation Files.
DOL/SOL-17--Solicitor's Office Equipment Files.
Office of the 21st Century Workforce
Correspondence with the Office ofthe 21st Century Wiorkforce.
Veterans Employment and Training (VETS)
DOL/VETS-1--Uniformed Services Employment and Re-employment
Rights Act (USERRA) Complaint File.
DOL/VETS-2--Veterans' Preference Complaint File under the
Veterans Equal Opportunities Act of 1998 (VEOA).
DOL/VETS-3--Veterans' Transition Assistance Program (TAP)
Registration System.
Appendix--Responsible Officials
General Prefatory Statement
A. Universal Routine Uses of the Records
The following routine uses of the records apply to and are
incorporated by reference into each system of records published below
unless the text of a particular notice of a system of records
indicates otherwise. These routine uses do not apply to DOL/OASAM--5,
Rehabilitation and Counseling File, nor to DOL/OASAM--7, Employee
Medical Records.
1. To disclose the records to the Department of Justice when:
The agency or any component thereof; or (b) any employee of the
agency in his or her official capacity; or (c) the United States
Government, is a party to litigation or has an interest in such
litigation, and by careful review, the agency determines that the
records are both relevant and necessary to the litigation, and the
use of such records by the Department of Justice is for a purpose
that is compatible with the purpose for which the agency collected
the records.
2. To disclose the records in a proceeding before a court or
adjudicative body, when: (a) The agency or any component thereof; or
(b) any employee of the agency in his or her official capacity; or
(c) any employee of the agency in his or her individual capacity; or
(d) the United States Government, is a party to litigation or has an
interest in such litigation, and by careful review, the agency
determines that the records are both relevant and necessary to the
litigation, and that the use of such records is a purpose that is
compatible with the purpose for which the agency collected the
records.
3. When a record on its face, or in conjunction with other
information, indicates a violation or potential violation of law,
whether civil, criminal or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto, disclosure may be made to the
appropriate agency, whether Federal, foreign, State, local, or
tribal, or other public authority responsible for enforcing,
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation, or order issued
pursuant thereto, if the agency determines by careful review that the
records or information are both relevant and necessary to any
enforcement, regulatory, investigative or prosecutive responsibility
of the receiving entity, and that the use of such records or
information is for a purpose that is compatible with the purposes for
which the agency collected the records.
4. To a Member of Congress or to a Congressional staff member in
response to an inquiry of the Congressional office made at the
written request of the constituent about whom the record is
maintained.
5. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
6. To disclose to contractors, employees of contractors,
consultants, grantees, and volunteers who have been engaged to assist
the agency in the performance of or working on a contract, service,
grant, cooperative agreement or other activity or service for the
Federal Government.
Note 1. Recipients shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a;
see also 5 U.S.C. 552a(m).
7. To the parent locator service of the Department of Health and
Human Services or to other authorized persons defined by Public Law
93--647 the name and current address of an individual for the purpose
of locating a parent who is not paying required child support.
8. To any source from which information is requested in the
course of a law enforcement or grievance investigation, or in the
course of an investigation concerning retention of an employee or
other personnel action, the retention of a security clearance, the
letting of a contract, the retention of a grant, or the retention of
any other benefit, to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
identify the type of information requested.
9. To a Federal, State, local, foreign, or tribal or other public
authority of the fact that this system of records contains
information relevant to the hiring or retention of an employee, the
granting or retention of a security clearance, the letting of a
contract, a suspension or debarment determination or the issuance or
retention of a license, grant, or other benefit.
10. To the Office of Management and Budget during the
coordination and clearance process in connection with legislative
matters.
11. To the Department of the Treasury, and a debt collection
agency with which the United States has contracted for collection
services to recover debts owed to the United States.
12. To the news media and the public when (1) the matter under
investigation has become public knowledge, (2) the Solicitor of Labor
determines that disclosure is necessary to preserve confidence in the
integrity of the Department or is necessary to demonstrate the
accountability of the Department's officers, employees, or
individuals covered by this system, or (3) the Solicitor of Labor
determines that there exists a legitimate public interest in the
disclosure of the information, except to the extent that the
Solicitor of Labor determines in any of these situations that
disclosure of specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy.
. System Location--Flexiplace Programs
The following paragraph applies to and is incorporated by
reference into all of the Department's systems of records under the
Privacy Act, within the category entitled, SYSTEM LOCATION:
Pursuant to the Department of Labor's Flexiplace Programs, copies
of records may be temporarily located at alternative worksites,
including employees' homes or at geographically convenient satellite
offices for part of the workweek. All appropriate safeguards will be
taken at these sites.
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 entitled DOL/GOVT-1, Office of Workers'
Compensation Programs, Federal Employees' Compensation File.
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 10.12.
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 Employment and Training
Administration asserts control of these records under 29 U.S.C. 2881
et seq. This system is entitled DOL/GOVT-2, Job Corps Student
Records.
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 regional offices are contained in the Appendix annexed to
this document.
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--National Defense Executive Reserve System
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
OGE/GOVT-1--Executive Branch Public Financial
Disclosure Reports and Other Ethics Program Records
OGE/GOVT-2--Confidential Statements of Employment and
Financial Interests
OPM/GOVT-1--General Personnel Records
OPM/GOVT-2--Employee Performance File System Records
OPM/GOVT-3--Adverse Actions and Actions Based on
Unacceptable Performance
OPM/GOVT-4--[Reserved]
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--[Reserved]
OPM/GOVT-9--Position Classification Appeals, Job
Grading Appeals, and Retained Grade or Pay
OPM/GOVT-10--Employee Medical File System Records
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:
The central database for DOL/GOVT-1 is located at SUNGUARD, 600
Laurel Oak Road, Voorhees, New Jersey, 08043. Paper claim files and
local databases are located at the various OWCP district offices, and
in Kansas City (for imaged cases only); claim files of employees of
the Central Intelligence Agency are located at that agency. Records
from this system of records may be temporarily located in the office
of health care providers and other individuals or entities with whom
the Department contracts for such services as examination or
evaluation of claimants. Copies of claim forms and other documents
arising out of a job-related injury that resulted in the filing of a
claim under the Federal Employees' Compensation Act (FECA), may also
be maintained by the employing agency (and where the forms were
transmitted to the Office of Workers' Compensation Programs (OWCP)
electronically, the original forms are maintained by the employing
agency). In addition, records relating to third-party claims of FECA
beneficiaries are maintained in the Division of Employee Benefits,
Office of the Solicitor, United States Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210-0002, in the offices of
the Regional and Associate Regional Solicitors, and in various
offices of the United States Postal Service, which undertakes various
duties relating to third party claims pursuant to an agreement with
OWCP.
Pursuant to the Department of Labor's Flexiplace Programs, copies
of records may be temporarily located at alternative worksites,
including employees' homes or at geographically convenient satellite
offices for part of the workweek. All appropriate safeguards will be
taken at these sites.
Categories of individuals covered by the system:
Individuals and/or their survivors who file claims seeking
benefits under the FECA by reason of injuries sustained while in the
performance of duty. The FECA applies to all civilian federal
employees, including various classes of persons who provide or have
provided personal service to the government of the United States, and
to other persons as defined by law such as state or local law
enforcement officers, and their survivors, who were injured or killed
while assisting in the enforcement of federal law. In addition, the
FECA covers employees of the Civil Air Patrol, Peace Corps
Volunteers, Job Corps students, Volunteers in Service to America,
members of the National Teacher Corps, certain student employees,
members of the Reserve Officers Training Corps, certain former
prisoners of war, and employees of particular commissions and other
agencies.
Categories of records in the system:
This system may contain the following kinds of records: reports
of injury by the employee and/or employing agency; claim forms filed
by or on behalf of injured federal employees or their survivors
seeking benefits under the FECA; forms authorizing medical care and
treatment; other medical records and reports; bills and other payment
records; compensation payment records; formal orders for or against
the payment of benefits; transcripts of hearings conducted; and any
other medical, employment, or personal information submitted or
gathered in connection with the claim. The system may also contain
information relating to dates of birth, marriage, divorce, and death;
notes of telephone conversations conducted in connection with the
claim; information relating to vocational and/or medical
rehabilitation plans and progress reports; records relating to court
proceedings, insurance, banking and employment; articles from
newspapers and other publications; information relating to other
benefits (financial and otherwise) the claimant may be entitled to;
and information received from various investigative agencies
concerning possible violations of Federal civil or criminal law.
The system may also contain consumer credit reports on
individuals indebted to the United States, information relating to
the debtor's assets, liabilities, income and expenses, personal
financial statements, correspondence to and from the debtor,
information relating to the location of the debtor, and other records
and reports relating to the implementation of the Federal Claims
Collection Act (as amended), including investigative reports or
administrative review matters. Individual records listed here are
included in a claim file only insofar as they may be pertinent or
applicable to the 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 FECA establishes the system for processing and adjudicating
claims that federal employees and other covered individuals file with
the Department of Labor's OWCP, seeking monetary, medical and similar
benefits for injuries or deaths sustained while in the performance of
duty. The records maintained in this system are created as a result
of and are necessary to this process. The records provide information
and verification about the individual's employment-related injury and
the resulting disabilities and/or impairments, if any, on which
decisions awarding or denying benefits provided under the FECA must
be based.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those Department-wide routine uses set forth above
in the General Prefatory Statement to this document, disclosure of
information from this system of records may be made to the following
individuals and entities for the purposes noted when the purpose of
the disclosure is both relevant and necessary and is compatible with
the purpose for which the information was collected:
a. To any attorney or other representative of a FECA beneficiary
for the purpose of assisting in a claim or litigation against a third
party or parties potentially liable to pay damages as a result of the
FECA beneficiary's FECA-covered injury and for the purpose of
administering the provisions of sections 8131-8132 of the FECA. Any
such third party, or a representative acting on that third party's
behalf, may be provided information or documents concerning the
existence of a record and the amount and nature of compensation paid
to or on behalf of the FECA beneficiary for the purpose of assisting
in the resolution of the claim or litigation against that party or
administering the provisions of sections 8131-8132 of the FECA.
b. To federal agencies that employed the claimant at the time of
the occurrence or recurrence of the injury or occupational illness in
order to verify billing, to assist in administering the FECA, 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 or to permit the agency to evaluate its safety
and health program. Disclosure to federal agencies, including the
Department of Justice, may be made where OWCP determines that such
disclosure is relevant and necessary for the purpose of providing
assistance in regard to asserting a defense based upon the FECA's
exclusive remedy provision to an administrative claim or to
litigation filed under the Federal Tort Claims Act.
c. To other federal agencies, other government or private
entities and to private-sector employers as part of rehabilitation
and other return-to-work programs and services available through
OWCP, where the entity is considering hiring the claimant or where
otherwise necessary as part of that return-to-work effort.
d. To federal, state or private rehabilitation agencies and
individuals to whom the claimant has been referred for evaluation of
rehabilitation and possible reemployment.
e. To physicians, pharmacies, and other health care providers for
their use in treating the claimant, in conducting an examination or
preparing an evaluation on behalf of OWCP and for other purposes
relating to the medical management of the claim, including evaluation
of and payment for charges for medical and related services and
supplies.
f. To medical insurance or health and welfare plans (or their
designees) that cover the claimant in instances where OWCP had paid
for treatment of a medical condition that 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 that may be
compensable under the FECA, for the purpose of resolving the
appropriate source of payment in such circumstances.
g. To labor unions and other voluntary employee associations from
whom the claimant has requested assistance for the purpose of
providing such assistance to the claimant.
h. To a federal, state or local agency for the purpose of
obtaining information relevant to a determination concerning initial
or continuing eligibility for FECA benefits, and for a determination
concerning whether benefits have been or are being properly paid,
including whether dual benefits that are prohibited under any
applicable federal or state statute are being paid; and for the
purpose of utilizing salary offset and debt collection procedures,
including those actions required by the Debt Collection Act of 1982,
to collect debts arising as a result of overpayments of FECA
compensation and debts otherwise related to the payment of FECA
benefits.
i. To the Internal Revenue Service (IRS) for the purpose of
obtaining taxpayer mailing addresses for the purposes of locating a
taxpayer to collect, compromise, or write-off a federal claim against
such taxpayer; and informing the IRS of the discharge of a debt owed
by an individual. Records from this system of records may be
disclosed to the IRS 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)
for the purpose of using injury reports filed by Federal agencies
pursuant to the FECA to fulfill agency injury reporting requirements.
Information in this system of records may be disclosed to OSHA by
employing agencies as part of any MIS system established under OSHA
regulations to monitor health and safety.
k. To contractors providing services to DOL or any other federal
agency or any other individual or entity specified in any of these
routine uses or in the Department's General Prefatory Statement who
require the data to perform the services that they have contracted to
perform, provided that those services are consistent with the routine
use for which the information was disclosed to the contracting
entity. Should such a disclosure be made to the contractor, the
individual or entity making such disclosure shall insure that the
contractor complies fully with all Privacy Act provisions, including
those prohibiting unlawful disclosure of such information.
l. 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 under programs
administered by the DOL 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.
m. 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
repay a debt incurred under the FECA, to collect the debt, or to
establish a payment schedule.
n. 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, 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, may be
disclosed pursuant to 5 U.S.C. 552a(b)(12)
o. To a Member of Congress or to a Congressional staff member in
response to an inquiry made by an individual seeking assistance who
is the subject of the record being disclosed for the purpose of
providing such assistance.
p. To individuals, and their attorneys and other representatives,
and government agencies, seeking to enforce a legal obligation on
behalf of such individual or agency, to pay alimony and/or child
support for the purpose of enforcing such an obligation, pursuant to
an order of a state or local court of competent jurisdiction,
including Indian tribal courts, within any State, territory or
possession of the United States, or the District of Columbia or to an
order of a State agency authorized to issue income withholding
notices pursuant to State or local law or pursuant to the
requirements of section 666(b) of title 42, United States Code, or
for the purpose of denying the existence of funds subject to such
legal obligation.
Note: Disclosure of information contained in this system of
records to the subject of the record, a person who is duly authorized
to act on his or her behalf, or to others to whom disclosure is
authorized by these routine uses, may be made over the telephone or
by electronic means. Disclosure over the telephone or by electronic
means will only be done where the requestor provides appropriate
identifying information. Telephonic or electronic disclosure of
information is essential to permit efficient administration and
adjudication of claims under the FECA. Pursuant to 5 U.S.C.
552a(b)(1), information from this system of records may be disclosed
to members and staff of the Employees' Compensation Appeals Board,
the Office of Administrative Law Judges, the Office of the Solicitor
and other components of the Department who have a need for the record
in the performance of their duties.
Disclosures 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:
Paper case files are maintained in manual files, while security
case files are in locked cabinets. Automated data, including case
files that have been transformed into electronic form, are stored in
computer discs or magnetic tapes, which are stored in cabinets.
Microfiche is 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. Since the electronic case management files were
created in 1975, these electronic files are located in District
Offices which have jurisdiction over the claim, and (as noted above
under ``system location''), a complete central data base is
maintained at the location of the contractor. Prior to 1975, a paper
index file was maintained; these records were transferred to
microfiche and are located 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 password, may handle, retrieve, or disclose any
information contained therein. Only personnel having an appropriate
security clearance may handle or process security files. After normal
working hours, security files are kept in locked cabinets. Access to
electronic records is controlled by password or other user
identification code.
Retention and disposal:
All case files and automated data pertaining to a claim are
destroyed 15 years after the case file has become inactive. Case
files that have been scanned to create electronic copies are
destroyed after the copies are verified. 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 retained only in electronic form, and destroyed 6 years
and 3 months after creation or receipt.
System manager(s) and address:
Director for Federal Employees' Compensation, Office of Workers'
Compensation Programs, 200 Constitution Avenue, NW, Room S-3229,
Washington, DC 20210-0002.
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 that services the state in which the individual
resided or worked at the time he or she believes a claim was filed.
In order for the record to be located, the individual must provide
his or her full name, OWCP claim number (if known), date of injury
(if known), and date of birth.
Record access procedures:
Any individual seeking access to non-exempt information about a
case in which he/she is a party in interest may write or telephone
the OWCP district office where the case is located, or the systems
manager, and arrangements will be made to provide review of the file.
Access to copies of documents maintained by the employing agency may
be secured by contacting that agency's designated disclosure
officials.
Contesting record procedures:
Specific materials in this system have been exempted from certain
Privacy Act provisions regarding the 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 OWCP
district office, or the system manager. Individuals requesting
amendment of records must comply with the Department's Privacy Act
regulations at 29 CFR 71.1 and 71.9, and with the regulations found
at 20 CFR 10.12 (1999).
Record source categories:
Injured employees; beneficiaries; employing Federal agencies;
other Federal agencies; physicians; hospitals; clinics; suppliers of
health care products and services and their agents and
representatives; educational institutions; attorneys; Members of
Congress; OWCP field investigations; State governments; consumer
credit reports; agency investigative reports; correspondence with the
debtor including personal financial statements; records relating to
hearings on the debt; and other DOL systems of records.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigative 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 the 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, students, and terminees.
Categories of records in the system:
Records contain information kept on 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:
Subtitle C of Title I of the Workforce Investment Act of 1998, 29
U.S.C. 2881 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 interests and needs of the
students in accordance with 29 U.S.C. 2881 et seq.
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 when
relevant, necessary, and appropriate:
(1) To disclose photographs and student identities, with
appropriate consent, to the news media, 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 in 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 a
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 in
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
at the center for the purpose of enabling the counseling of contacts.
(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 a student's termination in order to provide 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 156, 171, or 172 of the Workforce Investment Act of
1998, 29 U.S.C. 2856, 2916, or 2917, 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 that
operate centers or have Outreach Admissions and Placement (OA&P)
issues which demonstrate a legitimate need for the information to
enable them to properly administer their responsibilities in the Job
Corps program.
(14) To disclose to the Selective Service system names, 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, 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:
Job Corps centers will maintain records of terminated students
for a period of 3 years unless custodianship is extended or
terminated, for administrative reasons, by the regional office.
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 retire the records to the appropriate
Federal Records center. Students' records are subject to destruction
75 years from the birth date of the youngest student's record
contained in a GSA records retirement box, with the disposal
authority being NC 369-76-2, item 59. [Note: Centers will send a copy
of the SF 135-135 A (transmittal and receipt form) to the appropriate
Job Corps 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.]
System manager(s) and address:
Director, Office of Job Corps, U.S. DOL/ETA, Frances Perkins
Building, 200 Constitution Avenue, NW., Washington, DC 20210.
Notification procedure:
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) Center(s) where enrolled; and (d) Date
enrolled.
Record source categories:
Outreach/screening and placement contractors; Job Corps centers;
Job Corps students; employment services; parole officers; State and
local law enforcement agencies.
Systems exempted from certain provisions of the act:
None.
DOL/OSEC-1
System name:
Supervisor's/Team Leader's Records of Employees.
Security classification:
None.
System location:
Immediate supervisor(s)/team leader(s) and two higher supervisory
levels at all facilities of the Department, as well as the national
and regional personnel offices. Emergency addressee information may
be kept upon the supervisor's person when appropriate.
Note: Requests for a reasonable accommodation are made to
supervisors. The Civil Rights Center may temporarily maintain a copy
of such requests and of the medical documents submitted by the
employee when the Public Health Service physician completes his or
her review of the request.
Categories of individuals covered by the system:
Current employees and employees who have retired or left the
office within the last twelve months.
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)/team leader(s) observations, supervisory
copies of officially recommended actions, reports of FTS telephone
usage containing call detail information, awards, disciplinary
actions, emergency addressee information, flexiplace records, reports
of on-the-job accidents, injuries, illnesses, correspondence from
physicians, and training requests. The system also contains records
relating to requests for reasonable accommodation, and/or leave,
including medical documents submitted by employees, as well as
reports and records by the Public Health Service physicians who have
reviewed the accommodation requests.
The system also contains labor relations materials such as
performance improvement plans (PIPs), reprimands, suspensions of less
than 14 days, leave restrictions and related materials.
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. The Rehabilitation Act and
the American Disabilities Awareness Act.
Purpose(s):
To maintain a file for the use of supervisor(s)/team leader(s) in
performing their responsibilities and to support specific personnel
actions on employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. 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.
B. Records relating to a request for a reasonable accommodation
may be referred to the Public Health Service (PHS) or other
physicians for their review and evaluation of the request.
C. Data may be disclosed to medical providers for the purpose of
evaluating sick leave absences based upon illness or injury.
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:
By name of employee.
Safeguards:
Locked storage cabinets and desks. Access limited to officials/
employees on a need to know basis.
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 supervisor(s)/team leader(s) having responsibility for
performance management plans, performance standards, or ratings.
Notification procedure:
An individual may inquire whether the system contains a record
pertaining to her/him by contacting the supervisor/team leader who
completes his/her performance standards and rating.
Record access procedures:
A request for access will be addressed to the appropriate system
manager listed above. Individuals must furnish their name in order
for their records to be located and identified:
Contesting record procedures:
A petition for amendments shall be addressed to the appropriate
System Manager.
Record source categories:
Information is supplied by the individual, supervisor(s)/team
leader(s), agency officials, medical providers and co-workers.
Systems exempted from certain provisions of the Act:
None.
DOL/OASAM-4
System name:
Safety and Health Information Management System (SHIMS).
Security classification:
None.
System location:
1. Safety and Health Center, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210 and
2. DOL regional offices.
3. A copy of the modified CA-1/CA-2 Form used by the Office of
Workers' Compensation Programs (OWCP) may be reproduced and retained
in the office of the supervisor who files the form.
Categories of individuals covered by the system:
DOL employees and Job Corps students 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 forms CA-1, CA-2, and CA-6.
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 5-95, Executive Order 12196.
Purpose(s):
This system is used (a) to provide an information source for
compliance with the Occupational Safety and Health Act; (b) to
provide a documented record of job related accidents, injuries, and
illnesses for the purpose of measuring safety and health programs'
effectiveness; (c) to provide summary data of accident, injury and
illness information to Departmental agencies in a number of formats
for analytical purposes in establishing programs to reduce or
eliminate loss producing hazards or conditions; (d) to provide
summary listings of individual cases to Departmental agencies to
ensure that all work-related injury/illness cases are reported
through the SHIMS; and (e) to use as a reference when adjudicating
tort and employee claims.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 on computer disks, and on hard copies filed in
locked file cabinets.
Retrievability:
Records are retrieved by claimant's last name, social security
number, and employee category (DOL employee or Job Corps student).
Safeguards:
Records are maintained in locked storage equipment. Computer
files are accessible only to authorized users through password/user
ID system.
Retention and disposal:
Records are maintained for five (5) years after each report is
filed with the agency. Electronic copies are maintained for five (5)
years and then downloaded onto a disk.
System manager(s) and address:
Director, Safety and Health Center, OASAM, 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 systems manager,
or the servicing regional office in which they are employed.
Individuals must furnish in writing 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 should contact
the appropriate office (national/regional). Individuals must furnish
the following information for their records to be located:
a. Full name
b. Date of birth
c. Signature
Individuals requesting access must also comply with the 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 in writing the systems manager. Individual must
furnish the following information for their records to be located:
a. Full name
b. Signature
Record source categories:
a. The employee (or someone acting on his/her behalf).
b. Witness (if any).
c. Employing agency (supervisor or comp specialist).
d. CA-1, CA-2, CA-6, forms used by OWCP.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-5
System name:
Employee Assistance Program (EAP) Records.
Security classification:
None.
System location:
The Employee Assistance Program (EAP), headquartered in the
Safety and Health Center, Office of the Assistant Secretary for
Administration and Management (OASAM), U.S. Department of Labor
(DOL), 200 Constitution Avenue, NW., Washington, DC 20210, and
offices of designated EAP service providers located elsewhere in the
Washington metropolitan area and Department's regions.
Note: DOL may elect to use, under an interagency agreement or
other contractual arrangement, the counseling staff of another
Federal, state, or local government, or private or community
organization. This system does not cover EAP records of DOL employees
(current or former) or their family members that are maintained by
other Federal agencies.
Categories of individuals covered by the system:
DOL employees or their family members, who have been assessed,
referred for treatment/rehabilitation or otherwise counseled
regarding alcohol or drug abuse or other emotional health issues by
an EAP counselor responsible for providing services to DOL employees
or their family members.
Categories of records in the system:
Records in this system include documentation of visits to
counselors designated by the agency to provide EAP services
(regardless of whether the counselors are employed by the Federal,
state, or local government, or by a private sector or community
organization); problem assessments; counseling; recommendations and/
or referrals for treatment and/or rehabilitation; client cooperation
with those recommendations and/or referrals; progress; and other
notes or records of discussions held with the client made by the
counselor. Additionally, records in this system may include
documentation of the therapeutic or rehabilitative work performed by
a private therapist or a therapist at a Federal, State, local
government, or private organization. If the client was referred to
the EAP by a supervisor due to work performance or conduct problems,
the record may also contain information regarding such matters. When
the client was referred to the EAP because of a positive drug test,
required by DOL's drug-free workplace plan, the record will also
contain information about such tests results.
Authority for maintenance of the system:
5 U.S.C. 7901, 7904; 5 U.S.C. 7361-7362; 42 U.S.C. 290dd-3; 5 CFR
part 792; 42 CFR part 2; and E.O. 12564.
Purpose(s):
These records are used to document the nature and extent of the
client's problem; the counseling, recommendations and/or referrals
for treatment and/or rehabilitation made by the EAP; and the extent
of the client's participation in, and the results of treatment or
rehabilitation in community or private sector programs; and any
follow-up necessary.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. DOL may elect to enter into interagency agreements or other
contractual arrangements with other Federal agencies, private
organizations or individuals for the purpose of providing EAP
services for DOL employees and their family members. Relevant records
will be disclosed to these providers.
b. Except where the records are covered by the Confidentiality of
Alcohol and Drug Abuse Patient Records regulation, 42 CFR part 2,
records and information in these records may be:
(1) Disclosed to the Department of Justice when: (A) DOL or any
component thereof; or (B) any employee of the agency in his or her
official capacity; or (C) the United States Government, is a party to
litigation or has an interest in such litigation, and by careful
review, the agency determines that the records are both relevant and
necessary to the litigation, and the use of such records by the
Department of Justice is for a purpose that is compatible with the
purpose for which the agency collected the records.
(2) Disclosed in a proceeding before a court or adjudicative
body, when: (A) DOL or any component thereof; or (B) any employee of
the agency in his or her official capacity; or (C) any employee of
the agency in his or her individual capacity; or (D) the United
States Government, is a party to litigation or has an interest in
such litigation, and by careful review, the agency determines that
the records are both relevant and necessary to the litigation, and
that the use of such records is a purpose that is compatible with the
purpose for which the agency collected the records.
c. Where the records are covered by the Confidentiality of
Alcohol and Drug Abuse Patient Records regulation, 42 CFR part 2,
records and information in these records may be used:
(1) To disclose, in accordance with 42 CFR 2.51, 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 and which
requires immediate medical intervention.
(2) 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.;
(3) To disclose patient information when authorized by an order
of a court of competent jurisdiction in accordance with 42 CFR 2.61;
(4) To disclose information to a Federal, State or local law
enforcement authority that is directly related to a patient's
commission of a crime committed on the premises of the program or
against any program personnel or to a threat to commit such a crime.
(See 42 CFR 2.12(a)(5));
(5) To disclose information to State or local law enforcement
authorities on incidents of suspected child abuse or neglect. (See 42
CFR 2.12(c)(6)).
(6) 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));
(7) To disclose to a minor's parent or guardian, facts relevant
to reducing a threat to the life or physical well being of any
individual, if the minor lacks capacity for rational choice (See 42
CFR 2.14(d));
(8) To disclose to a Qualified Service Organization (QSO),in
accordance with 42 CFR 2.12(c)(4), that information needed by the QSO
to provide services to the program;
(9) To disclose patient identifying information for the purpose
of conducting scientific research under the circumstances set forth
in 42 CFR 2.52;
(10) To disclose patient identifying information for audit and
evaluation purposes under the circumstance set forth in 42 CFR 2.53
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 metal file cabinets
labeled confidential with access strictly limited to personnel
directly responsible for the management or operation of DOL's EAP.
Such access and use must be in accordance with the provisions of the
Privacy Act and 42 CFR part 2.
Retention and disposal:
Records are maintained for three (3) years after the client's
last contact with the EAP, or until any relevant litigation is
resolved, or any periodic evaluation reports required by the U.S.
Office of Personnel Management, DOL, or other authorities are
completed. Records are destroyed by shredding or burning.
System manager(s) and address:
The Employee Assistance Program Administrator, Safety and Health
Center, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her should submit a written request to
the system manager, stating that the request is being made pursuant
to the Privacy Act, and including:
His/her full name, any former name, if applicable, home address,
place and approximate dates when EAP services were received, date and
place of birth, and signature.
Record access procedures:
Follow the same steps described above.
Contesting record procedures:
Follow the same steps described above. In addition, the written
request for an amendment should include the following:
a. The precise identification of the records to be amended;
b. The identification of the specific material to be deleted,
added, or changed; and
c. A statement of reasons for the request, including all
available material substantiating the request.
Requests for amendment of records should include the words
Privacy Act Amendment Request on both the envelope and at the top of
the request letter.
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 to the EAP by a supervisor, the staff of the
EAP, other therapists or organizations providing treatment and/or
rehabilitation, and other sources whom the EAP 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 File System Records (not job related).
Security classification:
None.
System location:
For current employees, records are located in a health unit or
dispensary of the Federal Occupational Health (FOH), U.S. Public
Health Service, Department of Health and Human Services, or in a
health unit or dispensary of another Federal or private sector entity
which provides health services, under an interagency agreement or
other contractual arrangement, to DOL employees. Medical records
maintained by one of the latter entities may be considered the
property of the entity providing care to the DOL employee; however,
records maintained by FOH are considered the property of DOL.
For former employees, most records will be located in an Employee
Medical Folder (EMF) stored at the National Personnel Records Center
operated by the National Archives and Records Administration (NARA).
Agencies may retain some records on former employees for a limited
time.
Categories of individuals covered by the system:
Individuals covered are those of the following who have received
voluntary employee health services provided by the agency under the
authority of 5 U.S.C. 7901:
a. Current and former DOL employees as defined in 5 U.S.C. 2105.
b. DOL contract employees and other visitors (including minors
and employees of other Federal agencies) who may have received
emergency care from the health unit or dispensary.
Categories of records in the system:
This system is comprised of records developed as a result of the
provision of voluntary employee health services offered by the agency
under the authority of 5 U.S.C. 7901. These records contain the
following information:
a. Medical history and other biographical data on those employees
requesting voluntary periodic health examinations.
b. Test reports and medical diagnoses based on voluntary periodic
health examinations or voluntary health screening program tests
(tests for single medical conditions or diseases).
c. History of complaint, diagnosis, and treatment of injuries and
illnesses cared for by the health unit or dispensary.
d. Vaccination records.
Note: Listed below are other types of medical records which are
not covered by this system of records. Rather, they are covered by a
government-wide system of records (OPM/GOVT-10), which is managed by
the U.S. Office of Personnel Management (OPM), even though the
records are not in OPM's physical custody. The routine uses of such
records are defined in the Privacy Act Notice for OPM/GOVT-10. Such
records include:
(1). Medical records, forms, and reports completed or obtained
when an individual applies for a Federal job and is subsequently
employed;
(2). Medical records, forms and reports completed during
employment as a condition of employment, either by the employing
agency or by another State or local government entity, or a private
sector entity under contract to the employing agency;
(3). Records pertaining to and resulting from the testing of the
employee for use of illegal drugs under Executive Order 12564. Such
records may be retained by the agency (e.g., by the agency Medical
Review Official) or by a contractor laboratory. This includes records
of negative results, confirmed or unconfirmed positive test results,
and documents related to the reasons for testing or other aspects of
test results;
(4). Reports of on-the-job injuries and medical records, forms,
and reports generated as a result of the filing of a claim for
Workers Compensation, whether the claim is accepted or not. (The
official compensation claim file is not covered by the OPM system;
rather, it is part of DOL's Office of Workers Compensation Program
(OWCP) system of records.)
(5). All other medical records, forms, and reports created on an
employee during his/her period of employment, including any retained
on a temporary basis and those designated for long-term retention
(i.e., those retained for the entire duration of Federal service and
for some period of time after), except that, records maintained by an
agency dispensary are included in this system of records only when
they are the result of a condition of employment or related to an on-
the-job occurrence including, for example, records of the specialized
health services made available to investigative personnel of the
Wage-Hour Division, under interagency agreement between PHS and DOL s
Employment Standards Administration.
Authority for maintenance of the system:
5 U.S.C. 7901 et seq., 5 CFR 293, and 5 CFR 297.
Purpose(s):
These records document the utilization and provision of voluntary
employee health services authorized by 5 U.S.C. 7901.
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 of records may be used
as follows:
a. Disclosed to the Department of Justice when: (1) DOL or any
component thereof; or (2) any employee of the agency in his or her
official capacity; or (3) the United States Government, is a party to
litigation or has an interest in such litigation, and by careful
review, the agency determines that the records are both relevant and
necessary to the litigation, and the use of such records by the
Department of Justice is for a purpose that is compatible with the
purpose for which the agency collected the records.
b. Disclosed in a proceeding before a court or adjudicative body,
when: (1) DOL or any component thereof; or (2) any employee of the
agency in his or her official capacity; or (3) any employee of the
agency in his or her individual capacity; or (4) the United States
Government, is a party to litigation or has an interest in such
litigation, and by careful review, the agency determines that the
records are both relevant and necessary to the litigation, and that
the use of such records is a purpose that is compatible with the
purpose for which the agency collected the records.
c. Used 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.
d. Disclosed 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.
e. Disclosed to the OWCP information in connection with a claim
for benefits filed by an employee.
f. Disclosed to contractors providing medical or health
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 employee
assistance program (EAP) counselors.
Disclsoure 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 personnel directly responsible for the management or
operation of DOL's voluntary health services program. Such access and
use must be in accordance with the provisions of the Privacy Act.
Retention and disposal:
Records covered under OPM/GOVT-10 are retained and disposed of as
required by that system. Records covered by this system are destroyed
six (6) years after the date of last entry.
System manager(s) and address:
Director, Safety and Health Center, Office of the Assistant
Secretary for Administration and Management (OASAM), U.S. Department
of Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
a. An individual wishing to inquire whether this system of
records contains information about him/her should submit a written
request to the appropriate DOL system manager, stating that the
request is being made pursuant to the Privacy Act, and including:
His/her full name, any former name, if applicable, home address,
current or last place and dates of DOL employment, date and place of
birth, and signature.
b. An applicant for DOL employment or a current DOL employee
wishing to inquire whether OPM's government-wide system of records
contains information about him/her should initially submit a written
request, as above, to the appropriate DOL system manager.
Note: OPM retains authority under its record management authority
and under the Privacy Act to decide appeals of initial agency
determinations regarding access to and amendment of material in these
systems.
c. A former employee wishing to inquire whether OPM's government-
wide system of records contains information about him/her should
initially submit a written request, as outlined above, to the
Assistant Director for Workforce and Information Personnel Systems
and Oversight Group, Office of Personnel Management, 1900 E Street,
NW., Washington, DC 20415.
Record access procedures:
Follow the steps described above. Note: When a request for access
involves medical or psychological records, the system manager may
advise the requester that the material will be provided only to a
physician designated by the subject. Upon receipt of the designation
and upon verification of the physicians identity, the records will be
made available to the physician, who will have full authority to
disclose those records to the subject when appropriate.
Contesting record procedures:
Follow the steps described above. In addition, the written
request for an amendment should include the following:
The precise identification of the records to be amended; the
identification of the specific material to be deleted, added, or
changed; and a statement of the reasons for the request, including
all available material substantiating the request. Requests for
amendment of records should include the words ``Privacy Act Amendment
Request'' on both the envelope and at the top of the request letter.
Record source categories:
a. The individual to whom the information pertains.
b. Laboratory reports and test results.
c. Medical staff working in the health unit or dispensary 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-12
System name:
Administrative Grievance Records.
Security classification:
None.
System location:
1. Human Resources Center, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210; National and Regional
Personnel Offices;
2. Office of the Solicitor, Washington, DC, 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
bargaining-unit 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 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 of 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.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
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, Labor Management Relations Center, Human Resources
Center, U.S. Department of Labor, 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 procedures:
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-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:
Civil Rights Center, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210. The Civil Rights
Center maintains the primary system of records. However, Regional
Civil Rights Offices maintain copies of complete or partial
investigative reports and correspondence files, as well as settlement
agreements and informal complaint forms. A portion of these complaint
files are forwarded to and maintained in the Office of the
Administrative Review Board (ARB).
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, disability,
age, and/or any basis covered by Executive Order 11478, as amended,
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 complainants' 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, as amended; Secretary's Order 2-81 and 3-
96; Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000e; the Equal Pay Act, as amended, 29 U.S.C. 206(d); the Age
Discrimination in Employment Act of 1967, as amended, 29 U.S.C. 621;
sections 501, 504 and 508 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 791, 794(a) and 794(d); the Civil Service Reform
Act of 1978, 5 U.S.C. 1101; and 29 CFR part 1614.
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, investigative, 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, only the records upon which the decision is based, 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 a physician or medical official for the purpose of
evaluating medical documents in complaints of discrimination on the
basis of disability.
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:
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 Civil Rights Center who
are authorized to have access to such files.
Retention and disposal:
Records are retained for a period of four years after the final
disposition of a complaint, and then destroyed. An alphabetical
record is kept of open 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, Civil Rights Center, OASAM, U.S. Department of Labor,
200 Constitution Avenue, NW, 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 71.2.
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, complaint 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 71,
summarized here under ``Notification procedures.''
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to 29 CFR 71.9, shall 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: (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, DC: Labor Management Relations Center,
Human Resources Center (OASAM) and;
B. 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:
5 U.S.C. 7121 for grievances, 5 U.S. 7116 for unfair labor
practices, Federal Service Labor-Management Relations Statute and
related amendments of 5 U.S.C. 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 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 are relevant
and necessary may be used:
a. 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.
b. 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.
c. 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.
d. To disclose information to the union when requested in
connection with the union's representation of the DOL employee who
has filed the grievance or unfair labor practice.
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 4 years after the closing of the case.
System manager(s) and address:
Director, Labor-Management Relations, Human Resources Center,
U.S. Department of Labor, 200 Constitution Ave., NW, Washington, DC
20210.
Notification procedure:
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:
Individual employees who have filed 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:
Assistant Director, Executive Resources and Personnel Security
Team (OASAM), U.S. Department of Labor, 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
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 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.
e. 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.
f. 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 the Commission by the
President's Reorganization Plan No. 1 of 1978.
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, accessing, storing,
retrieving, 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, Human Resources Services Center, OASAM, U.S. Department
of Labor, 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. Signature
d. Any available information regarding the type of record
involved.
e. The category of covered individuals under which the requester
believes he or she fits.
Record access procedures:
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. Signature
d. Any available information regarding the type of record
involved.
e. The category of covered individuals under which the requester
believes he or she fits.
Contesting record procedures:
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. Signature
d. Any available information regarding the type of record
involved.
e. 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:
Civil Rights Center Discrimination Complaint Case Files.
Security classification:
None.
System location:
Civil Rights Center, OASAM, U.S. Department of Labor,
Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individuals, classes of individuals, or representatives
designated to act on behave of individuals filing complaints against
recipients of DOL financial assistance, DOL conducted programs, or
State or local governments that exercise responsibilities, regulate,
or administer services, programs, or activities in all programs,
services, and regulatory activities relating to labor and the
workforce alleging discrimination on the basis of race, color,
national origin, age, disability, sex, religion, citizenship,
political affiliation or belief, citizenship, participation in a
Workforce Investment Act (WIA) Title-I program or activity, and/or
any basis covered by Executive Order 13160, 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, as amended, 42 U.S.C.
2000d to 2000d-4; secs. 504 and 508(d) of the Rehabilitation Act of
1973, as amended, 29 U.S.C. 794(a) and 794(d); the Age Discrimination
Act of 1975, as amended, 42 U.S.C. 6102; Title IX of the Education
Amendments of 1972, as amended, 20 U.S.C. 1681; sec. 645-255 of the
Social Security Act, 42 U.S.C. 603(a)(5); sec. 167 of the Job
Training Partnership Act, as amended, 29 U.S.C. 1577; sec. 188 of the
Workforce Investment Act of 1998; 29 U.S.C. 2938, the Americans with
Disabilities Act of 1990, 42 U.S.C. 12101 et seq.; Executive Order
13160; Secretary's Order 4-2000; 29 CFR parts 31, 32, 33, 34, 36 and
37, and 28 CFR part 35.
Purpose(s):
To maintain records on individuals who have filed a complaint
with, or to investigate and resolve discrimination complaints filed
with the Department of Labor against (1) recipients of financial
assistance from the Department, (2) Department of Labor conducted
programs or activities and (3) components of State and local
governments that exercise responsibilities, regulate, or administer
services, programs, or activities in all programs, services, and
regulatory activities relating to labor and the workforce.
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, 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 reorpting 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:
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.
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:
Civil Rights Center, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington, DC 20210.
Notification procedure:
Pursuant to 29 CFR part 71 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 these records shall follow the guidelines
set forth under notification procedures summarized above and
Departmental regulations at 29 CFR part 71.
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to 29 CFR part 71, 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; respondent officials, employees, and
witnesses; interrogatories; recipient files and records; and
physicians' and other medical service providers' 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/OASAM-23
System name:
Travel Management Center.
Security classification:
Unclassified.
System location:
This system of records is located in the travel agency under
contract with this Department and in the administrative offices of
Department of Labor component agencies.
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:
In addition to the routine uses listed in the general prefatory
statement:
a. To disclose information to a credit card company for billing
purposes.
b. To disclose information to a Federal agency for accumulating
reporting data and monitoring the system.
c. 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.
d. To disclose credit card information, phone numbers, addresses,
etc., to airlines, hotels, car rentals companies and other travel
affiliated companies for the purpose of serving the client.
e. 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:
By name and/or social security number of traveler.
Safeguards:
Records stored in lockable file cabinets or secured rooms.
Computerized records protected by password system and electronic
signaturing. Information released only to authorized officials on a
need-to-know basis.
Retention and disposal:
Records kept by the Department and/or the travel agency are held
for 3 years and then destroyed.
System manager(s) and address:
Director, Office of Budget, Office of the Assistant Secretary for
Administration and Management, Department of Labor, 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System
Manager.
Record source categories:
Individual, employees, travel authorization, credit card
companies.
Exemption from certain provisions of the act:
None.
DOL/OASAM-24
System name:
Privacy Act/Freedom of Information Act Requests File System.
Security classification:
None.
System location:
A. Departmental Offices in Washington, DC
B. Regional offices of the Department.
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 initial requests under the Acts, responses,
and related documents.
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 individuals' 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 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 recommendation concerning
matters on which the agency has specialized experience or particular
competence, for use 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 a decision concerning a Privacy Act,
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. If there is an appeal to the Solicitor of
Labor, the records are destroyed six years after final agency
determination or 3 years after final court adjudication, whichever is
later.
System manager(s) and address:
Head of agencies or component units within the Department who
have custody of the records. (See the appropriate Agency Official in
the listing in the Appendix 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 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
listed above.
Record source categories:
Information in this system of records comes from: The individual
requester; official documents, agency officials, and other Federal
agencies.
Systems exempted from certain provisions of the act:
The Department of Labor has claimed exemptions from 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, DC: OASAM, Human Resources Center
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
Current or former State or 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 universal 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 three years following the
completion of the assignment.
System manager(s) and address:
Director, Human Resource Services Center, U.S. Department of
Labor, 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 governments, 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, 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, DC.
Categories of records in the system:
This system includes: 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 numbers (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 to compare names of car pool members. (For verification, the
names of car pool members, their office telephone number and permit
numbers will be displayed within the Frances Perkins Building.)
Applications for disabled parking shall be disclosed to the PHS for
medical review and approval. 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 local, three drawer file cabinet.
Computer records are stored in a personal computer with a password
control.
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. 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, U.S. Department of
Labor, 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, 200 Constitution Avenue,
NW, Washington, DC 20210.
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 name or permit number for the record
they wish to access.
Contesting record procedures:
Individuals wishing 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. Also, other government agencies may provide information to
the Department.
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), Business Operations Center
(BOC), Administrative Services Center (ASC), Customer Service, 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 individual identifiers plus a photographic
image of DOL employees and DOL contract employees.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on the identification of persons to be
rightfully admitted to DOL facilities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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:
Automated records are stored on the hard drive of a computer and
manual records are stored in a secure file cabinet.
Retention and disposal:
Records are maintained indefinitely.
Retrievability:
Records are retrieved by the employee's or contractor's last name
or social security number and agency.
System manager(s) and address:
Director, Customer Service, OASAM, 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
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 71.)
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:
Individual DOL employees and individual employees of contractors
doing business with DOL.
Systems 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), Business Operations Center
(BOC), Office of Facilities Management (OFM), Division of Security,
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 for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Records provide a means of identifying security problems thereby
making it possible to better utilize security resources.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 in a cabinet housed in a secured room.
Retention and disposal:
Records are maintained seven years, at which time they are
destroyed.
Retrievability:
Records are filed and retrieved by names.
System manager(s) and address:
Chief, Division of Security and Emergency Preparedness, U.S.
Department of Labor, OASAM/ BOC/OFM, 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 procedures:
Individuals wishing to request access to information about them
should contact the system manager indicated above.
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, DOL records, Federal Protective Service records and FBI
records.
Systems 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 the Business Operations 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 maintain records on investigations of 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 universal 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 file 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, Human Resources Services Center, 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR Part 71.
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: Safety and Health Center, OASAM,
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 students 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 student'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, Code of
Federal Regulations (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 students 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 universal 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., 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:
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 and address.
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) Programs Evaluation and
Files.
Security classification:
None.
System location:
DOL/OASAM/Office of Human Resources, Office of Human Resource
Systems and with each employee's supervisor.
Categories of individuals covered by the system:
DOL participants in Flexiplace Programs.
Categories of records in the system:
Records in the system include program participants, position
title and grade, office location, and address of alternate work site.
Records, also include survey information obtained during the
individual's participation.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are used for statistical reporting and evaluation
of the DOL Flexiplace Program, 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:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consuer reporting agenci
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) name(s).
Safeguards:
Records are maintained on secure computer systems and can only be
retrieved with the proper access code. Access to the manual files is
limited to authorized users.
Retention and disposal:
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 Systems, 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.
Contesting record procedure:
Individuals wishing to contest information in their files may
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 and their supervisors.
Systems exempted from certain provisions of the act:
Not applicable.
DOL/OASAM-32
System name:
Transit Subsidy Management System.
Security classification:
None.
System location:
U.S. Department of Labor, Financial Management Services Center,
Office of the Assistant Secretary for Administration and Management
(OASAM), 200 Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
All DOL employees who apply for Transit Subsidy benefits.
Categories of records in the system:
Records contain information on DOL employees, such as name,
social security number, organization (code), office location, and
employment status.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on the Transit Subsidy Program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 are retained by the Financial Management Services
Center, in a file cabinet. Computer records are stored in a database
server located in a secure area accessible only by encoded security
cards.Machine readable version of the records is kept in a secure
microcomputer (server) database.
Retrievability:
Records are filed and retrieved by name or Social Security
Number.
Safeguards:
Records can be accessed only through the use of passwords given
to authorized DOL employees by the Database Administrator on a need
to know basis.
Retention and disposal:
Records are retained for three years and then destroyed.
System manager(s) and address:
Director, Business Operations Center, OASAM, U.S. Department of
Labor, 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.
Contesting record prOcedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of the DOL Privacy Act
regulations at 29 CFR 71.
Record source categories:
Information contained in this system is from the DOL Payroll
System and the applicant.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-33
System name:
Entity Database.
Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), Information Technology Center
(ITC), 200 Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
DOL employees and contract employees.
Categories of records in the system:
Records contain information on DOL employees, such as name,
social security number, organization (code), pay plan, series, title,
address, badge number, agency, cost center, phone number.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The data is used to complete applications, personnel and
administrative forms, and provide input to various small systems used
in administration and management of DOL employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 records are stored in a database server located in a
secure area accessible only by encoded security cards. Access to
records, forms, applications, processes, and information is
controlled by System Managers. The Entity database is not accessible
by any individual user. Machine readable version of the records are
kept in a secure microcomputer (server) database.
Retrievability:
Specific records may be retrieved by name, SSN, organization,
grade.
Safeguards:
Records are protected at both the machine (server) level and data
level. Records can be accessed only through the use of passwords
given to authorized DOL employees by the Database Administrator on a
need to know basis. Access to specific data elements is further
controlled by a need to know basis.
Retention and disposal:
The data is updated daily or on an as required basis. Earlier
data are overwritten.
System manager(s) and address:
Director, Information Technology Center, OASAM, 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 appropriate system
manager listed above.
Contesting record procedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of the DOL Privacy Act
regulation at 29 CFR part 71.
Record source categories:
Information contained in this system is obtained from the DOL
Payroll System and information supplied by the applicant.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-34
System name:
DOL Fitness Association (DOLFA) Membership Files.
Security classification:
None.
System location:
Fitness Center, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
DOLFA members.
Categories of records in the system:
Records contain information on members, such as name, medical
information required with a membership application, and attendance
records.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Records are used to determine eligibility for membership,
emergency contact numbers, and statistical utilization of the Fitness
Center.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Non-medical information collected from applicants for DOLFA
membership shall be subject to those universal routine uses listed in
the General Prefatory Statement to this document. In addition,
relevant and necessary non-medical information may be disclosed to
the current members of the DOLFA Board of Directors, and to the
professional fitness specialists employed by DOLFA in the performance
of their responsibilities. Medical information collected from
applicants for DOLFA membership may be disclosed to the professional
fitness specialists employed by DOLFA in the performance of their
responsibilities.
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 locking file cabinets, and in computer
files.
Retrievability:
Records may be retrieved by name.
Safeguards:
Records can be accessed only during normal business hours and are
maintained in a locked room at all other times. Access is limited to
personnel (including current members of the DOLFA Board of Directors)
who are directly responsible for the management and/or operation of
the Frances Perkins Building Fitness Center. Such access and use must
be in accordance with the provisions of the Privacy Act.
Retention and disposal:
Records are destroyed five years after a member terminates
membership in DOLFA.
System manager(s) and address:
Team Leader, Health and Fitness Team, Safety and Health Center,
U.S. Department of Labor, 200 Constitution Avenue, NW., Washington DC
20210.
Notification procedures:
An individual wishing to inquire whether this system of records
contains information about him/her should submit a written request to
the system manager, stating that the request is being made pursuant
to the Privacy Act, and including: His/her full name, any former
name, if applicable, home address, and approximate dates of
membership in DOLFA, and DOLFA membership number, date and place of
birth, and signature.
Record access procedures:
Follow the steps described above.
Contesting record procedures:
The written request for an amendment should include the
following: The precise identification of the records to be amended;
the identification of the specific material to be deleted, added, or
changed; and a statement of reasons for the request, including all
available material substantiating the request. Requests for amendment
of records should include the words ``Privacy Act Amendment Request''
on both the envelope and at the top of the request letter.
Record source categories:
Members.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-35
System name:
DOL Child Care Subsidy Program Records.
Security classification:
None.
System location:
DOL/OASAM/Worklife Center.
Categories of individuals covered by the system:
Employees of the Department of Labor who apply for child care
subsidies.
Categories of records in the system:
Application forms for the child care subsidy containing personal
information, including employee (parent) name, grade, home and work
addresses, telephone numbers, total family income, sources and
amounts of State/County/Local subsidies, names of children on whose
behalf the parent is applying for the child care subsidy, children's
Social Security Numbers, children's dates of birth; information on
child care providers used, including name, address, provider license
number and State where issued, tuition cost, and provider tax
identification number; and copies of earnings and leave statements
and IRS Form 1040 and 1040A for verification purposes.
Authority for maintenance of the system:
Pub. L. 106-58, sec. 643 and E.O. 9397.
Purpose(s):
To establish and verify DOL employees' eligibility for child care
subsidies in order for DOL to provide monetary assistance to its
employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses set forth in the
General Prefatory Statement to this document.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information may be collected on paper or electronically and may
be stored as paper forms or on computers.
Retrievability:
By name.
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable file cabinets or secured rooms. Electronic records are
protected by the use of passwords.
Retention and disposal:
Records are destroyed after three years.
System manager(s) and address:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management, Human Resources Center, Worklife
Center, 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 system manager
listed above. Individuals must furnish their full name and address.
Record access procedures:
Individuals wishing to request access to records pertaining to
them should contact the system manager.
Contesting record procedure:
Individuals wishing to contest information in their files may
write to the system manager at the address above, reasonably identify
the records pertaining to them, the information that is being
contested in those records, the corrective action(s) being sought,
and the reasons for the correction(s).
Record source categories:
DOL employees who apply for the child care subsidy program.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-36
System name:
PeoplePower.
Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), People Power Team, 200
Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
DOL employees.
Categories of records in the system:
Records contain information on DOL employees, such as name,
social security number, organization (code), pay plan, series, title,
address, badge number, agency, cost center, phone number, and
benefits data, and information necessary to produce reports required
by OPM and DOL. Also, it contains records of training received by
individual employees for cost or no cost training. In addition, the
records contain internal reports submitted to prepare 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. 301.
Purpose(s):
The data is used to produce official personnel actions
notifications (SF-50, SF-52), and to store and provide access to
current and historical human resource information for all of the
Department's employees. A further purpose is to administer training,
to manage budgets with regard to employee positions, to produce
analytical reports, and to automate workflow within the human
resources offices.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 records are stored in a database server located in a
secure area accessible only by encoded security cards. Access to
records, forms, applications, processes, and information is
controlled by System Manager. Machine readable version of the records
are kept in a secure microcomputer (server) database.
Retrievability:
Specific records may be retrieved by name, organization, grade.
Safeguards:
Records are protected at both the machine (server) level and data
level. Records can be accessed only through the use of passwords
given to authorized DOL employees by the Database Administrator on a
need to know basis. Access to specific data elements is further
controlled by a need to know basis. Each component's database is only
accessible by that component's responsible personnel office in either
the national or regional office. Likewise, the 9 DOL budget offices
in the national office, in conjunction with the 14 nationwide human
resources offices, can access their own component agency's database.
Retention and disposal:
Records may be retained indefinitely as a basis for longitudinal
work history statistical studies. Other records are retained for
varying periods of time in accordance with the National Archives and
Records Administration records schedule.
System manager(s) and address:
Project Director, People Power Team, OASAM, U.S. Department of
Labor, 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
listed above.
Contesting record procedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of the DOL Privacy Act
regulation at 29 CFR part 71.
Record source categories:
Information contained in this system is obtained from the DOL
Payroll System and information supplied by the applicant.
Systems exempted from certain provisions of the act:
None.
DOL/OALJ-1
System name:
Office of Administrative Law Judges Case Tracking System (CTS).
Security classification:
None.
System location:
U.S. Department of Labor, Office of Administrative Law Judges
(OALJ), 800 K St., NW., Washington, DC 20001.
Categories of individuals covered by the system:
Claimants, complainants, respondents, and other party litigants
in cases before the OALJ for hearing and decision.
Categories of records in the system:
Records that contain information and pertinent data gathered from
case files and court filings, necessary to hear and decide cases.
Authority for maintenance of the system:
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571 et
seq.; Age Discrimination Act of 1975, 42 U.S.C. 6103; 29 CFR part 34;
Americans with Disabilities Act of 1990, 42 U.S.C. 12101 et seq.; 29
CFR part 34; Title VI of the Civil Rights Act of 1964, 42 U.S.C.
2000d-1; 29 CFR part 31; Clean Air Act, 42 U.S.C. 7622; 29 CFR part
24; Comprehensive Employment and Training Act, 29 U.S.C. 801-999
(Supp. V 1981); 20 CFR part 676 (1990); Comprehensive Environmental
Response, Compensation and Liability Act of 1980, 42 U.S.C. 9610; 29
CFR part 24; Contract Disputes Act, 41 U.S.C. 601 et seq.; 41 CFR
part 29-60; 48 CFR 2933.203.70; Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327 et seq.; 29 CFR part 6; Copeland Act, 40
U.S.C. 276c; 29 CFR part 6; Davis-Bacon Act, as amended, 40 U.S.C.
276a-276a-7; 29 CFR part 6; Debt Collection Act of 1982, 31 U.S.C.
3711(f); 29 CFR part 20; Title IX of the Education Amendments of
1972, 20 U.S.C. 1682; 29 CFR part 34; Employee Polygraph Protection
Act of 1988, 29 U.S.C. 2005; 29 CFR part 801, subpart E; Employee
Retirement Income Security Act of 1974, 29 U.S.C. 1132 and 1135; 29
CFR parts 2560 and 2570; Energy Reorganization Act of 1974, as
amended, 42 U.S.C. 5851; 29 CFR part 24; Equal Access to Justice Act,
5 U.S.C. 504; 29 CFR part 16; Executive Order No. 11,246, as amended,
3 CFR 339 (1964-1965 Comp.); reprinted in 42 U.S.C. 2000e app.; 41
CFR parts 60-1 and 60-30; Fair Labor Standards Act of 1938, as
amended, 29 U.S.C. 211(d); 29 CFR part 530, subpart E; Fair Labor
Standards Act of 1938, as amended, 29 U.S.C. 214(c); 29 CFR part 525;
Fair Labor Standards Act of 1938, as amended, 29 U.S.C. 216(e); 29
CFR part 580; Title IV of the Federal Mine Safety and Health Act of
1977, as amended, 33 U.S.C. 901 et seq.; 20 CFR parts 410, 718, 725
and 727; Federal Unemployment Tax Act, 26 U.S.C. 3303(b)(3), 3304(c);
Federal Unemployment Tax Act (addressing agreements under the Trade
Act of 1974, as amended), 26 U.S.C. 3302(c)(3); 20 CFR part 617;
Federal Water Pollution Control Act, 33 U.S.C. 1367; 29 CFR part 24;
Immigration and Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H),
1184 and 1186; 29 CFR part 501, subpart C; Immigration and
Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H), 1182, 1184,
1188, 1288(c); 20 CFR part 655; Immigration and Nationality Act, as
amended, 8 U.S.C. 1182(a)(5)(A); 20 CFR part 656; Job Training
Partnership Act, 29 U.S.C. 1576; 20 CFR part 627; Labor-Management
Reporting & Disclosure Act of 1959, 5 U.S.C. 7120; 29 CFR part 458;
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq.
(and its extensions Defense Base Act, Outer Continental Shelf Lands
Act, District of Columbia Workmen's Compensation Act, 36 DC Code 501
et seq.; Nonappropriated Fund Instrumentalities Act); 20 CFR parts
701, 702 and 704; McNamara-O'Hara Service Contract Act, as amended,
41 U.S.C. 351 et seq.; 29 CFR part 6; Migrant and Seasonal
Agricultural Worker Protection Act, 29 U.S.C. 1813, 1853; 29 CFR part
500, subpart F; National Apprenticeship Act, 29 U.S.C. 50; 29 CFR
parts 29 and 30; Program Fraud Civil Remedies Act of 1986, 31 U.S.C.
3803; 29 CFR part 22; sec. 503 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 793; 41 CFR part 60-741, subpart B; sec. 504 of
the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; 29 CFR
part 32; Reorganization Plan No. 14 of 1950; and 29 CFR part 6; Rules
of Practice and Procedure for Administrative Hearings Before the
Office of Administrative Law Judges, 29 CFR part 18; Safe Drinking
Water Act, 42 U.S.C. 300j-9(i); 29 CFR part 24; Single Audit Act of
1984, 31 U.S.C. 7505; OMB Circular Nos. A-128 and A-110; 29 CFR part
96, subpart 96.6; Social Security Act, 42 U.S.C. 503; 20 CFR part
601; Solid Waste Disposal Act, 42 U.S.C. 6971; 29 CFR part 24;
Surface Transportation Assistance Act, 49 U.S.C. 31105; 29 CFR part
1978; Toxic Substances Control Act, 15 U.S.C. 2622; 29 CFR part 24;
Vietnam Era Veterans Readjustment Assistance Act, as amended, 38
U.S.C. 4211, 4212; 41 CFR part 60-250, subpart B; Wagner-Peyser Act,
as amended, 29 U.S.C. 49 et seq.; 20 CFR part 658; Walsh-Healey
Public Contracts Act, as amended, 41 U.S.C. 38; 41 CFR part 50-203;
Workforce Investment Act of 1998, 29 U.S.C. 2801 et seq.; other
statutes, executive orders and regulations providing for an
administrative law judge hearing as they may become applicable in the
future.
Purpose(s):
To maintain the court docket for administrative law judge
adjudications. The records and information in the case tracking
system are used as the court docket system in administrative law
judge hearings conducted pursuant to 5 U.S.C. 552, 553, 554, 556 and
557 and/or a variety of particular statutes and Executive Orders. The
purpose of the system is to facilitate the processing of cases and
determination of issues in hearings and appeals proceedings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, information may be disclosed to
contractors and other Federal agencies, as necessary, for the purpose
of assisting this agency in further development and continuing
maintenance of the system, or hearing-related functions.
Since the administrative law judges proceedings conducted by the
Office of Administrative Law Judges are public, court docket records
are available for public inspection.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer system.
Retrievability:
Retrieval by Case Number. Other searchable fields such as name of
party, are available.
Safeguards:
Access is limited to authorized users.
Retention and disposal:
Records are deleted fifty years after the appeal process has been
completed.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office
of Administrative Law Judges (OALJ), 800 K St., NW., Washington, DC
20001.
Notification procedure:
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:
Office of Administrative Law Judge Case Files.
System exempted from certain provisions of the act:
None.
DOL/OALJ-2
System name:
Office of Administrative Law Judge Case Files.
Security classification:
None.
System location:
Unassigned case files are maintained by the Chief Administrative
Law Judge or a District Chief Administrative Law Judge. Assigned case
files are maintained by the presiding administrative law judge. Files
may be located in the National Office, U.S. Department of Labor,
Office of Administrative Law Judges (OALJ), 800 K St., NW,
Washington, DC 20001, or in District offices.
Categories of individuals covered by the system:
Claimants, complainants, respondents, and other party litigants
in cases referred to OALJ for hearing and decision.
Categories of records in the system:
Records may contain claim files, determinations and referral
letters from the agency with initial claim development or
investigatory responsibility; documents proffered as evidence;
pleadings, motions and other submissions by litigants; administrative
law judge orders, and decisions and orders; the hearing transcript;
and other documents and information necessary to hear and decide
cases.
Authority for maintenance of the system:
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571 et
seq.; Age Discrimination Act of 1975, 42 U.S.C. 6103; 29 CFR part 34;
Americans with Disabilities Act of 1990, 42 U.S.C. 12101 et seq.; 29
CFR part 34; Title VI of the Civil Rights Act of 1964, 42 U.S.C.
2000d-1; 29 CFR part 31; Clean Air Act, 42 U.S.C. 7622; 29 CFR part
24; Comprehensive Employment and Training Act, 29 U.S.C. 801-999
(Supp. V 1981); 20 CFR part 676 (1990); Comprehensive Environmental
Response, Compensation and Liability Act of 1980, 42 U.S.C. 9610; 29
CFR part 24; Contract Disputes Act, 41 U.S.C. 601 et seq.; 41 CFR
part 29-60; 48 CFR 2933.203.70; Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327 et seq.; 29 CFR part 6; Copeland Act, 40
U.S.C. 276c; 29 CFR part 6; Davis-Bacon Act, as amended, 40 U.S.C.
276a-276a-7; 29 CFR part 6; Debt Collection Act of 1982, 31 U.S.C.
3711(f); 29 CFR part 20; Title IX of the Education Amendments of
1972, 20 U.S.C. 1682; 29 CFR part 34; Employee Polygraph Protection
Act of 1988, 29 U.S.C. 2005; 29 CFR part 801, subpart E; Employee
Retirement Income Security Act of 1974, 29 U.S.C. 1132 and 1135; 29
CFR parts 2560 and 2570; Energy Reorganization Act of 1974, as
amended, 42 U.S.C. 5851; 29 CFR part 24; Equal Access to Justice Act,
5 U.S.C. 504; 29 CFR part 16; Executive Order No. 11,246, as amended,
3 CFR 339 (1964-1965 Comp.); reprinted in 42 U.S.C. 2000e app.; 41
CFR parts 60-1 and 60-30; Fair Labor Standards Act of 1938, as
amended, 29 U.S.C. 211(d); 29 CFR part 530, subpart E; Fair Labor
Standards Act of 1938, as amended, 29 U.S.C. 214(c); 29 CFR part 525;
Fair Labor Standards Act of 1938, as amended, 29 U.S.C. 216(e); 29
CFR part 580; Title IV of the Federal Mine Safety and Health Act of
1977, as amended, 33 U.S.C. 901 et seq.; 20 CFR parts 410, 718, 725
and 727; Federal Unemployment Tax Act, 26 U.S.C. 3303(b)(3), 3304(c);
Federal Unemployment Tax Act (addressing agreements under the Trade
Act of 1974, as amended), 26 U.S.C. 3302(c)(3); 20 CFR part 617;
Federal Water Pollution Control Act, 33 U.S.C. 1367; 29 CFR part 24;
Immigration and Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H),
1184 and 1186; 29 CFR part 501, subpart C; Immigration and
Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H), 1182, 1184,
1188, 1288(c); 20 CFR part 655; Immigration and Nationality Act, as
amended, 8 U.S.C. 1182(a)(5)(A); 20 CFR part 656; Job Training
Partnership Act, 29 U.S.C. 1576; 20 CFR part 627; Labor-Management
Reporting & Disclosure Act of 1959, 5 U.S.C. 7120; 29 CFR part 458;
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq.
(and its extensions Defense Base Act, Outer Continental Shelf Lands
Act, District of Columbia Workmen's Compensation Act, 36 DC Code 501
et seq.; Nonappropriated Fund Instrumentalities Act); 20 CFR parts
701, 702 and 704; McNamara-O'Hara Service Contract Act, as amended,
41 U.S.C. 351 et seq.; 29 CFR part 6; Migrant and Seasonal
Agricultural Worker Protection Act, 29 U.S.C. 1813, 1853; 29 CFR part
500, subpart F; National Apprenticeship Act, 29 U.S.C. 50; 29 CFR
parts 29 and 30; Program Fraud Civil Remedies Act of 1986, 31 U.S.C.
3803; 29 CFR part 22; Section 503 of the Rehabilitation Act of 1973,
as amended, 29 U.S.C. 793; 41 CFR part 60-741, subpart B; sec. 504 of
the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; 29 CFR
part 32; Reorganization Plan No. 14 of 1950; and 29 CFR part 6; Rules
of Practice and Procedure for Administrative Hearings Before the
Office of Administrative Law Judges, 29 CFR part 18; Safe Drinking
Water Act, 42 U.S.C. 300j-9(i); 29 CFR part 24; Single Audit Act of
1984, 31 U.S.C. 7505; OMB Circular Nos. A-128 and A-110; 29 CFR part
96, subpart 96.6; Social Security Act, 42 U.S.C. 503; 20 CFR part
601; Solid Waste Disposal Act, 42 U.S.C. 6971; 29 CFR part 24;
Surface Transportation Assistance Act, 49 U.S.C. 31105; 29 CFR part
1978; Toxic Substances Control Act, 15 U.S.C. 2622; 29 CFR part 24;
Vietnam Era Veterans Readjustment Assistance Act, as amended, 38
U.S.C. 4211, 4212; 41 CFR part 60-250, subpart B; Wagner-Peyser Act,
as amended, 29 U.S.C. 49 et seq.; 20 CFR part 658; Walsh-Healey
Public Contracts Act, as amended, 41 U.S.C. 38; 41 CFR part 50-203;
Workforce Investment Act of 1998, 29 U.S.C. 2801 et seq.; other
statutes, executive orders and regulations providing for an
administrative law judge hearing as they may become applicable in the
future.
Purpose(s):
To maintain the court records for public administrative-
adjudicative hearings. These records and information in these records
are used as the court record in administrative law judge hearings
conducted pursuant to 5 U.S.C. 552, 553, 554, 556 and 557 and/or a
variety of particular statutes and Executive Orders. The purpose of
the system is the adjudication of cases and determination of issues
in hearings and appeals proceedings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
When necessary, information from the case files may be disclosed
to individuals in other matters pending before the Office of
Administrative Law Judges. Information may be disclosed to
contractors for hearing-related functions.
Since the administrative law judges proceedings conducted by the
Office of Administrative Law Judges are public, case files are
available for public inspection under the Freedom of Information Act,
5 U.S.C. 552. Administrative law judge and Administrative Review
Board decisions are posted on the Internet at www.oalj.dol.gov, see 5
U.S.C. 552(a)(2)(A) and (E), and may be distributed to publishers.
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:
Paper records are maintained in file folders. Electronic versions
of ALJ orders and decisions are also stored in electronic media.
Retrievability:
Retrieval By Case Number.
Safeguards:
Paper records are maintained in filing cabinets to which only
authorized personnel have access. Computer records have security
limiting access to authorized users. Most records, however, are
public court documents available for inspection under the Freedom of
Information Act, 5 U.S.C. 552.
Retention and disposal:
In cases where OALJ is the official custodian, inactive case
files are retained for three years before being sent to a Federal
Records Center. The Federal Records Center retains the files for an
additional fifteen years before they are authorized for destruction,
except for certain cases designated as precedent setting, which
become permanent records. In cases where OALJ is not the official
custodian, for example matters relating to Black Lung and Longshore
(and extensions) cases, the official file is transferred to the
appropriate federal custodial agency. When a case is appealed, the
case file is forwarded to the appropriate administrative appellate
agency, such as the Benefits Review Board, or the Administrative
Review Board.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office
of Administrative Law Judges (OALJ), 800 K St., NW, Washington, DC
20001.
Notification procedure:
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:
Records may include information submitted by the agency with
initial claims development or investigatory responsibility,
claimants, complainants, respondents, and other parties to the case,
amicus curiae, administrative law judges involved in case, the court
reporter, and in the case of remanded cases, the administrative-
appellate body or federal court.
System exempted from certain provisions of the act:
None.
DOL/OALJ-3
System name:
Contract list.
Security classification:
Unclassified.
System location:
U.S. Department of Labor, Office of Administrative Law Judges
(OALJ), 800 K St., NW, Washington, DC 20001.
Categories of individuals covered by the system:
Contractors.
Categories of records in the system:
Names, addresses and other contact information regarding
contractors.
Authority for maintenance of the system:
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571 et
seq.; Department of Labor Acquisition Regulation, 48 CFR Chapter 29;
Department of Labor Manual Series, Chapter 2-800.
Purpose(s):
To maintain a contractor list to assist in managing agency
contracts with contractors.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 computer disk.
Retrievability:
By contractor's name.
Safeguards:
Access limited to agency personnel who manage the contractors.
Routine computer precautions limiting access to authorized users.
Retention and disposal:
Records are maintained for three years after the contract
relationship between the contractor and the Office of Administrative
Law Judges has ended, and then destroyed.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office
of Administrative Law Judges (OALJ), 800 K St., NW, Washington, DC
20001.
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:
Contract applications.
System exempted from certain provisions of the act:
None
DOL/OALJ-4
System name:
Notification List.
Security classification:
Unclassified.
System location:
U.S. Department of Labor, Office of Administrative Law Judges
(OALJ), 800 K St., NW, Washington, DC 20001.
Categories of individuals covered by the system:
Registrants for e-mail notifications of web site updates.
Categories of records in the system:
Names and e-mail addresses of registrants.
Authority for maintenance of the system:
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571 et
seq.
Purpose(s):
To provide e-mail notifications of web site updates to
registrants.
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:
Computer disk.
Retrievability:
By name or e-mail address.
Safeguards:
Access limited to agency personnel who manage the web site.
Routine computer precautions limiting access to authorized users.
Retention and disposal:
Records are maintained until the registrant asks to be removed
from the notification list, or the e-mail address expires, and then
destroyed.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office
of Administrative Law Judges (OALJ), 800 K St., NW, Washington, DC
20001.
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:
Web site users.
System exempted from certain provisions of the act:
None
DOL/ARB-1
System name:
Administrative Review Board Appeals Files-DOL ARB-1.
Security classification:
None.
System location:
Administrative Review Board, U.S. Department of Labor, 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 ARB is
assigned responsibility.
Categories of records in the system:
Information and decisions 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); The Workforce Investment Act of
1998, 29 U.S.C. 2801 et seq., Davis-Bacon Act, 40 U.S.C. 270a (1994);
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; 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; Vietnam Era Veterans
Readjustment Assistance Act, as amended, 38 U.S.C. 4212 (1988); and
any laws enacted after May 3,1996, which by statute, law or
regulation provide for final decisions by the Secretary of Labor upon
appeal or review of decisions or recommended decisions of ALJs.
Purpose(s):
The records are maintained for use in adjudication of cases
before the ARB.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made to District Courts or Courts of Appeals
that are relevant to appeals from ARB decisions. ARB decisions are
published on the ARB web-site by using a link to the Internet web-
site maintained by the Office of Administrative Law Judges (ALJs)
where the decisions are published.
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 and containers, and
with case tracking information in a computer system.
Retrievability:
Indexed by name of complainant, respondent, and docket number.
Safeguards:
Kept in offices which are locked during non-work hours. Computer
data are protected by use of a password.
Retention and disposal:
After the ARB function is completed, case records are returned to
Office of Administrative Law Judges or to the other originating
office, except for Davis-Bacon or Service Contract Act cases which
are retained at the Board. A file containing copies of decisions,
orders and ARB correspondence related to the case is retained in the
office files for ten years, and thereafter sent to the National
Archives and Records Administration (NARA) for permanent retention.
System manager(s) and address:
Chairman, Administrative Review Board, 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.
DOL/ASP-1
System name:
National Agricultural Workers Survey (NAWS) Research File.
Security classification:
Unclassified.
System location:
The NAWS Sponsor, Office of the Assistant Secretary for Policy,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210; the office of the System Manager, currently Aguirre
International, 480 East 4th Avenue, Unit A, San Mateo, CA 94401-3349;
and in two locations of the NAWS Co-Sponsor, the National Institute
for Occupational Safety and Health (NIOSH): (1) The Division of
Surveillance, Health Hazard Evaluations, and Field Studies, NIOSH,
4676 Columbia Drive, Cincinnati, Ohio 45226, and (2) The Division of
Safety Research, NIOSH, 1095 Willowdale Road--mail stop 180-p,
Morgantown, West Virginia 26505.
Categories of individuaals 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 4,000 individuals per year
included in the file.
Categories of records in the system:
The system will contain records of the employment history and
living conditions of crop workers and their families. It will also
contain information about the wages, working conditions and
recruitment procedures, and health and occupational injury
experienced by crop workers. The records will contain the names, and
addresses of the respondents in the NAWS. All of this data will have
been obtained in a personal interview with the respondents.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To gather and analyze farm worker data on all demographic,
employment, wage and working conditions, health, safety, educational,
social service, and housing issues. The demographic characteristics
of farmworkers have been gathered by the federal government
continuously throughout the postwar period. Until 1987 they were
gathered by the Current Population Survey through a supplement and
then elaborated by USDA's Economic Research Service (ERS). In 1987,
the OASP/DOL assumed the responsibility to carry out this national
survey, 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, except for those universal 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:
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 the System Manager, currently
Aguirre International, the System Sponsor OASP/DOL and by the System
Co-Sponsor NIOSH.
Retrievability:
By names of respondents.
Safeguards:
The practice and procedure of the Assistant Secretary for Policy
prohibits the transfer of any record filed with a personal identifier
to any location outside of the contractors' (currently Aguirre
International) premises. At all the other system locations, including
OASP/DOL, only files without personal identifiers will be stored. At
all locations, files will be maintained with secure password
protection.
Retention and disposal:
Names will be removed from the records and destroyed not later
than four years after the collection of the data.
System manager(s) and address:
The NAWS Sponsor, Office of the Assistant Secretary for Policy,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210; the System Manager, currently Aguirre International, 480 East
4th Avenue, Unit A, San Mateo, CA, 94401-3349; and the NAWS Co-
Sponsor, the National Institute for Occupational Safety and Health
(NIOSH): (1) The Division of Surveillance, Health Hazard Evaluations,
and Field Studies, NIOSH, 4676 Columbia Drive, Cincinnati, Ohio
45226, and (2) The Division of Safety Research, NIOSH, 1095
Willowdale Road--mail stop 180-p, Morgantown, West Virginia 26505.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact OASP/DOL. Individuals
must furnish the following information for their records to be
located and identified:
a. Full name
b. Year of interview
Record access procedures:
Individuals wishing to request access to their own records should
contact OASP/DOL and comply with the requirements of the DOL
regulation at 29 CFR part 71.2.
Contesting record procedures:
To seek amendment of record procedures individuals should direct
their requests to OASP/DOL.
Record source categories: The information in this system will be
received from respondents.
Systems exempted from certain provision of the Act:
None.
DOL/BRB-1
System name:
Appeals Files--Benefits Review Board (BRB).
System location:
Benefits Review Board, 200 Constitution Avenue, NW, Washington,
DC 20210.
Categories of individuals covered by the system:
Parties involved in appeals proceedings before the Benefits
Review Board.
Categories of records in the system:
Information assembled in case files pertaining to appeals to the
Benefits Review Board 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 DC 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):
Records are maintained for use in adjudication of appeals.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure outside the Department of Labor may be made to federal
courts. BRB decisions are sent to commercial publishing companies for
publication, and are also placed on the BRB's Internet Web site.
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 with data maintained in
a computerized case tracking system.
Retrievability:
By Benefits Review Board docket number, ALJ number, and
claimant's name.
Safeguards:
Maintained in offices which are locked after normal work hours.
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. Copies of the
case decision are retained permanently.
System manager(s) and address:
Clerk of the Board, Benefits Review Board, U.S. Department of
Labor, 200 Constitution Avenue, NW., Washington, DC 20210.
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
claimants, employers, carriers, and other persons involved in the
appeals proceedings, as well as by the Government.
Systems exempted from certain provisions of the act:
None.
DOL/BLS-3
System name:
Regional Office Staff Utilization File.
Security classification:
None.
System location:
Records stored on computer at The National Institutes of Health,
Bethesda, MD. Access and maintenance is generally by remote terminal
in the Postal Square Building, 2 Massachusetts Ave. NE, Washington,
DC 20212.
Categories of individuals covered by the system:
All Regional Office (R.O.) BLS employees.
Categories of records in the system:
Staff utilization and travel expenditures data: Name, Social
Security Number, 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 universal 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 Social Security
Number.
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, 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, and dates of employment.
Record access procedures:
As above.
Contesting record procedures:
As above.
Record source categories:
The ``Staff Utilization Report'' (Form SO-1) from each individual
R.O. employee who fills it out each pay period, (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-6
System name:
Applicant Race and National Origin (ARNO) System. Form E 618.
Security classification:
None.
System location:
Bureau of Labor Statistics, Postal Square Building, 2
Massachusetts Ave. N.E., Washington, DC 20212.
Categories of individuals covered by the system:
Job applicants.
Categories of records in the system:
DOL Form E 618, Applicant race and National origin data. Records
contain: Name, SSN, grade, title of position, location of position,
race, occupational code, date received, ARNO 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, 93 Federal Rules Decisions 68.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The reports are sent to the Office of Personnel Management (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 analysis is
completed, then it is destroyed.
System manager(s) and address:
Personnel Officer, Division of Human Resources and Organization
Management, 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:
Individual job applicants who complete 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:
Bureau of Labor Statistics, National Office and 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):
To investigate 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 universal 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:
Personnel Officer, Division of Human Resources and Organization
Management, 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:
Individuals, supervisors, 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:
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 Social Security Number, 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 universal 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 or
Social Security Number 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.
Access to machine readable data will be limited to those with a need
to know.
Retention and disposal:
Destroy when 5 years old or when superseded or obsolete,
whichever is sooner.
System manager(s) and address:
Chief, Division of Technology Measurement and Strategic
Initiatives, 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 and BLS management information system records.
Systems exempted from certain provisions of the act:
None.
DOL/BLS-9
System name:
Routine Administrative Files.
Security classification:
None.
System location:
Bureau of Labor Statistics, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC 20212.
Categories of individuals covered by the system:
BLS employees, BLS contractors, and visitors for longer than 30
days.
Categories of records in the system:
Several groups of records exist: records containing tuition
information, contractor ID card records, cardkey security records,
Polaroid ID card records, DAS separations database records, imprest
fund records, visitor control records, PSB Phone system records,
facility service requests records, Sprint telephone card records
transit subsidy records, government credit card records, and printing
and duplications records.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To record and track routine administrative data, to maintain
security, to manage the facility, to plan expenditures, to maintain
an employee locator system, and to process fund reimbursement
vouchers.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 capabilities and on
personal computer hard drives with floppy disk backup. Manual files
are stored in a secured area in locked file cabinets.
Retrievability:
By individual's name and Social Security Number.
Safeguards:
Authorized personnel only. File servers and personal computers
are located in secured rooms. Passwords are necessary to access
records. Access levels are created within automated systems to
restrict unauthorized access to system utilities.
Retention and disposal:
All records are temporary, usually one to four years, and
disposal is based on BLS records disposition schedule N1-257-88-1 and
the National Archives and Records Administration (NARA) General
Records Schedule (GRS) Numbers 1-4, 6, 11-13, and 18.
System manager(s) and address:
Chief, Branch of Records Management and General Services,
Division of Administrative Services, 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, OA-193, DL 1-101, DL 1-107, OAM-165, OA-185, SO-
68, 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:
None.
System location:
Bureau of Labor Statistics, 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 universal 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:
Dispose when 5 years old.
System manager(s) and address:
Chief, Division of Management Systems, 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:
Correspondents and correspondence received in the Commissioner's
Office.
Systems exempted from certain provisions of the act:
None.
DOL/BLS-11
System name:
Mainframe User ID Database.
Security classification:
None.
System location:
Electronic records stored on computer at SunGard Computer Center,
Voorhees, NJ and the National Institutes of Health, Bethesda, MD.
Access and maintenance occur by remote terminal in the 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 purposes of such uses:
None, except for those universal 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. Data files identified for transfer to the
National Archives will be transferred as specified.
System manager(s) and address:
Chief, Division of Technology and Network Management, 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:
Individuals concerned.
Systems exempted from certain provisions of the act:
None.
DOL/BLS-12
System name:
Employee Acknowledgement Letter Control System.
Security classification:
None.
System location:
Bureau of Labor Statistics, 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:
5 U.S.C. 301.
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 purposes of such uses:
None, except for those universal 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:
Destroy 3 years after employee is transferred or released from
government service.
System manager(s) and address:
Chief, Division of Management Systems, 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:
Employees who signed acknowledgement letters.
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 sample of the general population who were ages 14-21 on
December 31, 1978 (referred to as respondents), with over
representation of blacks, Hispanics, poor whites, and persons serving
in the military.
Categories of records in the system:
Records include, but are not limited to, 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 parent/child relationship, time use, time spent on child
care and household chores, immigration history, and Armed Services
Vocational Aptitude Battery scores.
Authority for maintenance of the system:
29 U.S.C. Sec. 2.
Purpose(s):
To serve a variety of policy-related research interests
concerning the labor market problems of youth. Data are used for
studies such as (but not limited to): 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 parental 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 Federal agencies who are conducting labor
force research. Under written agreement to protect the
confidentiality and security of identifying information, BLS may
provide 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:
Permanent. Transfer a copy of the data files, together with the
documentation, to the National Archives when the data are made
available to the public.
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:
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:
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. 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 purposes of such uses:
None, except for those universal 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 magnetic 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, Behavioral Sciences Research Center, Office of Research
and Evaluation, 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:
Individual respondents.
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 sample of the general population who were ages 12-16 on
December 31, 1996 (referred to as respondents), with over
representation of blacks, Hispanics, and disabled students.
Categories of records in the system:
Records include, but are not limited to, 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 parent/child relationship, time use, time spent on child
care and household chores, 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 (but not limited
to): diffusion of useful information on labor, examination of
employment and training programs, understanding labor markets,
analysis of social indicators, measuring parental and child input 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 Opinion 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 agreement to protect the
confidentiality and security of identifying information, BLS may
provide 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:
Permanent. Transfer a copy of the data files, together with the
documentation, to the National Archives when the data are made
available to the public.
System manager(s) and address:
Program Manager, NLS Youth 1997 Cohort Study, Office of
Employment and Unemployment Statistics, 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:
Individuals concerned.
Systems exempted from certain provisions of the act:
None.
DOL/BLS-18
System name:
Postal Square Building Parking Management Records.
Security classification:
None.
System location:
Bureau of Labor Statistics, Postal Square Building, 2
Massachusetts, Ave. NE, Washington, DC 20212.
Categories of individuals covered by the system:
All individuals assigned or applying for assignment of parking
privileges in the Postal Square Building, Washington, DC.
Categories of records in the system:
This system includes the following information on all individuals
assigned or applying for parking privileges in the Postal Square
Building: Name of driver and rider(s); office building and room
number; office telephone number; employing agency home address
including city, State and zip code; federal service computation date;
handicap certification; automobile license numbers, make and year of
car, permit number (if assigned parking privileges); category of
assignments, and estimated times of arrival and departure, office
location; and whether the applicant is in or out of the zone of
special consideration.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The information is used by the Bureau of Labor Statistics in the
administration of the Postal Square Building parking and car pool
programs.
Routine uses of records maintained in the system, including
categories of users and the purposes of ssuch uses:
Disclosure of information may be made to other government
agencies to compare names of car pool members. For verification and,
as a service to car pool seekers, the name of each driver and rider
and permit number; his or her office telephone number and address;
and his or her home city, state and zip code, will be displayed
within BLS facilities and on automated information systems including
the Intranet. Information may be provided to other applicants or
listed members of the carpool, their supervisors, or their
administrative personnel/timekeepers in order to confirm information
provided on the application.
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 locked file cabinet. Computer
records are stored on diskettes, on personal computer hard drives,
and on the BLS wide-area network.
Retrievability:
Records may be filed and retrieved by name or permit number or
other information in the System as needed.
Safeguards:
Access to and use of these records is limited to personnel whose
official duties require access. The information in automated systems
is protected from unauthorized access. Written application data are
placed in locked file cabinets.
Retention and disposal:
Paper records and the database are destroyed three (3) months
after the return of the credentials to the issuing office.
System manager(s) and address:
Chief, Division of Administrative Services, 2 Massachusetts Ave.,
NE., Washington, DC 20212.
Notification procedure:
Access to these records may be obtained by request in writing to:
Chief, Division of Administrative Services, 2 Massachusetts Ave.,
NE., Washington, DC 20212.
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 name for the record they wish to access.
Contesting record procedures:
Individuals wishing 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:
Individuals concerned and from information provided by parking
applicants on Form DL 1-127, Application for Parking Assignment and
OA-205 BLS Application for Parking Permit.
Systems exempted from certain provisions of the Act:
None.
DOL/BLS-19
System name:
Customer Information Files.
Security classification:
None.
System location:
Offices in the Bureau of Labor Statistics (BLS) at the National
Office and in each of the BLS Regional Offices.
Categories of individuals covered by the system:
Individuals (customers) requesting BLS information.
Categories of records in the system:
Information necessary to satisfy customer requests and enhance
service to customers. Depending on the nature of the request, may
include (but is not limited to) name, title, occupation, mailing
address, telephone and fax numbers, Internet Protocol (I.P.)
addresses, material requested, consent forms, E-Mail addresses and
dates.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To enhance customer service by improving the availability of BLS
information on automated systems; to facilitate sending information
about new data products to customers with corresponding interests; to
provide usage statistics associated with the BLS public access
Internet site, and to provide a frame from which to select an
unbiased sample of customers for customer service surveys.
Maintaining the names, addresses, etc. of customers requesting BLS
data/publications will enable BLS to streamline the process for
handling subsequent customer inquiries and requests by eliminating
duplicative gathering of mailing information. Internet Protocol (IP)
addresses will be used only to calculate general usage statistics;
the addresses themselves will be discarded.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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:
Files are stored electronically and/or on paper.
Retrievability:
By name, telephone or fax number (including the telephone number
from which the customer dials), or other identifying information in
the System.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for
paper files.
Retention and disposal:
Current customer information service files are updated as
required and are destroyed when three (3) months old or when no
longer needed.
System manager(s) and address:
Associate Commissioner for Publications and Special Studies,
Postal Square Building, 2 Massachusetts Ave., NE, Washington, DC
20212.
Associate Commissioner for Field Operations, Postal Square
Building, 2 Massachusetts Ave., NE, Washington, DC 20212.
Chief, Division of Data Dissemination Systems, Postal Square
Building, 2 Massachusetts Ave., NE., Washington, DC 20212.
Notification procedure:
Mail, or present in writing, all inquiries to the System Managers
at the above addresses.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Individuals concerned.
Systems exempted from certain provisions of the act:
None.
DOL/BLS-20
System name:
Fellowship Applicants and Recipients Files.
Security classification:
Unclassified.
System location:
Offices in the Bureau of Labor Statistics (BLS) National Office.
Categories of individuals covered by the system:
Applicants and recipients of fellowship awards (e.g., Fellows in
the American Statistical Association/National Science Foundation/BLS
Fellowship Program), who are not Federal employees but are assigned
to work with BLS staff and/or BLS non-public data files.
Categories of records in the system:
Records include the individual's name, Social Security Number,
school transcripts, work address and telephone number, home address
and telephone number, and biographical information; applications,
research proposals, and related papers; test results, and other
documents such as correspondence with the individual.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To assure that the appropriate records on fellowship awards are
maintained 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 universal 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:
Files are stored electronically and on paper.
Retrievability:
By name.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data, and locked locations for
paper files.
Retention and disposal:
These records are permanent. Records are transferred to the
Federal Records Center when five (5) years old. They are offered to
NARA in ten (10) year blocks, when the most recent record is twenty
(20) years old.
System manager(s) and address:
Associate Commissioner for Survey Methods Research, 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:
Individuals concerned; from references, the Education Testing
Service, educational institutions supplying transcripts, review
records; and administrative data developed during the selection
process and/or award tenure.
Systems exempted from certain provisions of the act:
None.
DOL/OCFO-1
System name:
Attendance, Leave, and Payroll File.
Security classification:
None.
System location:
A. All Departmental component offices in Washington DC.
B. All Departmental component offices in the Regions and Areas.
C. Timekeepers.
D. Offices of the Chief Financial Officer.
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, transit subsidies, organization (code), retirement or
FICA data as applicable. Federal, State, and local tax deductions, as
appropriate. IRS tax lien data, commercial garnishment, child
support, authorization forms for savings bond and charity deductions;
authorization forms for 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, authorization forms for labor union dues deductions,
allotments by type and amount, Thrift Savings Plan contributions,
financial institution code and employee account number, leave status
and leave data of all types (including annual, compensatory, jury
duty, maternity, military, retirement, disability, sick, transferred,
donated, 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, as amended by the Debt Collection Improvement
Act of 1996, including any investigative reports or administrative
review matters. The individual records listed herein are included
only as pertinent or applicable to the individual employee.
Note: Sign-in and sign-out records are filed chronologically and
are not part of this system.
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. In addition to the general prefatory routine uses, 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, information concerning 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, as
amended by the Debt Collection Improvement Act of 1996, 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:
Pursuant to sections 5 and 10 of the Debt Collection Act of 1982,
as amended by the Debt Collection Improvement Act of 1996,
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. 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) Records from this system of records 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.
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 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.
G. 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).
H. A record from this system of records, reflecting the
employee's transit subsidy, may be disclosed to other governmental
agencies for purposes of comparing transit subsidy recipients and car
pool applicants.
Disclosure to consumer repooting 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 for fifty-six (56) years.
System manager(s) and address:
Director, Office of Accounting and Payment Services, Office of
the Chief Financial Officer, Department of Labor, 200 Constitution
Ave, NW, Washington, DC 20210.
Notification procedure:
Inquiries should be mailed or presented to the system manager
noted at the addresses listed above.
Record access procedures:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish their name and
address for their records to be located and identified:
a. Name and address.
Contesting record procedures:
A petition for amendment shall be addressed to the System
Manager.
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. All Departmental component offices in Washington DC:
B. All Departmental component offices in the Regions and the
Areas.
Categories of individuals covered by the system:
All persons who receive or who owe 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.
Authority for maintenance of the system:
5 U.S.C. 301.
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 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
Chapter 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.
4. To state and local taxing officials informing them of taxable
income.
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 retrieved by name within accounting
classification. Computer records may be retrieved 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 after six years and three months. 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:
Director, Office of Accounting and Payment Services, Office of
the Chief Financial Officer, Department of Labor, 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System
Manager.
Record source categories:
Individuals, employees, other DOL systems, 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/OCFO-3
System name:
Travel and Transportation System
Security classification:
None.
System location:
A. All component offices in Washington DC
B. Regional and area offices of the components.
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 1-2024 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 (will be phased out
within next 5 years)
Telephone charge cards.
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.
Individuals expecting to travel at least two times per year are
required to have 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. To provide more efficient processing
of travel documents, travel document processing software will be used
by employees to record travel planning information, expenses
incurred, traveler/employer identification information (SSN, and
other identifying information used in conjunction with the purposes
of the software), user ID's, passwords, electronic signatures,
routing lists and other information used by the system to track and
process travel documentation.
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 and Electronic Funds Transfer (EFT) payments to payees.
B. Information may be forwarded to 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. 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.
D. 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.
E. 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.
F. Information will be disclosed:
1. To credit card companies for billing purposes.
2. To Departmental and other Federal agencies such as GSA for
travel management purposes.
3. To airlines, hotels, car rental companies, travel management
centers 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 and attached equipment.
Retrievability:
Filed by name and/or social security number of traveler or by
travel document number 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 6 years or until audit whichever is sooner
and then destroyed.
System manager(s) and address:
Office of the Chief Financial Officer, Division of Planning and
Internal Control, 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/ODEP-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, employers 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,
and anecdotal information recorded by the human factors consultant.
Authority for maintenance of the system:
5 U.S.C. 301
Purpose(s):
This system provides technical assistance to businesses and to
individuals for the purpose of making job accommodations for
individuals with disabilities. It also makes possible the sharing of
information about job accommodations. The JAN system compiles a
comprehensive resource data bank for job accommodations currently
available. Finally, the system provides technical assistance to
employers on how to comply with the Americans with Disabilities Act
(ADA).
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, relevant information may be
disclosed to employers for the purpose of hiring individuals with
disabilities and/or for enabling the employers to accommodate
employees with disabilities.
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 a secure central
file server.
Retrievability:
Records are retrieved by caller's name, state, and job interest
category.
Retention and disposal:
Data is maintained permanently on the file server with access by
program personnel only.
System manager(s) and address:
The systems manager is the Project Director of 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 Office of
Disability Employment Policy, 1331 F Street, NW, DC 20004 or to the
Freedom of Information Act/Privacy Act Coordinator, at U.S.
Department of Labor/Office of Disability Employment Policy, 200
Constitution Avenue., NW, Washington, DC 20210.
Record access procedures:
Individuals wishing to gain access shall write to Assistant
Secretary for Disability Employment Policy at the above addresses.
Contesting record procedures:
Individuals wishing to contest information in their files may
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 in the JAN system.
System exempted from certain provisions of the act:
None.
DOL/ODEP-2
System name:
Workforce Recruitment Program (WRP) Database.
Security classification:
None.
System location:
Office of Disability Employment Policy, U.S. Department of Labor,
1331 F Street, NW, Third Floor, Washington, DC 20004.
Categories of individuals covered by the system:
College students with disabilities who have interviewed with a
WRP recruiter on a college campus.
Categories of records in the system:
Student's name, address, telephone number, e-mail address,
college, major, credits earned, degree sought, job preference
categories, job location preference, type of disability, job
accommodation information, recruiter's summary of student's
interview.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To provide federal and private sector employers a database
resource of college students with disabilities from which to identify
qualified temporary and permanent employees in a variety of fields.
Routine uses of records maintained in the system, including
categories of users and the purpsoes of such uses:
In addition to those universal routine uses, listed in the
General Prefatory Statement to this document, relevant information
concerning student interviewees may be disclosed to interested
federal and private sector employers. Disability information
concerning interviewees is disclosed to interested federal employers
but not to private sector employers.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
CD-ROMs.
Safeguards:
The data is stored on CD-ROMs and stored on program manager's
hard drive.
Retrievability:
Records are retrieved by student's name, state, or job interest
category.
Retention and disposal:
Data is maintained indefinitely on CD-ROMs and on the project
manager's hard drive. Paper files are maintained by the project
manager and destroyed after one year.
System manager(s) and address:
The system manager is the WRP Project Manager, Office of
Disability Employment Policy, 1331 F Street, NW, Third Floor,
Washington, DC 20004.
Notification procedure:
Mail all inquiries or present in writing to the Office of
Disability Employment Policy, 1331 F Street, NW, Third Floor,
Washington, DC 20004.
Record access procedures:
Individuals wishing to gain access shall write to the Office of
Disability Employment Policy at the above address.
Contesting record procedures:
A petition for amendment shall be addressed to the System
Manager.
Record source categories:
College students with disabilities who have participated in an
interview with a WRP recruiter.
System exempted from certain provisions of the act:
None.
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,
200 Constitution Avenue, NW, 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 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:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, ECAB decisions are sent for
publication to the U.S. Government Printing Office (GPO) and are
available on ECAB's Internet web-site.
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 and which is locked during non-
work hours.
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 permanently on diskette in a locked
cabinet.
System manager(s) and address:
Chairman, Employees' Compensation Appeals Board, 200 Constitution
Avenue, NW, 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, 200 Constitution Avenue, NW, Washington,
DC 20210.
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,
200 Constitution Avenue, NW, 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 interested persons. Precedent setting decisions are
sent to the U.S. Government Printing Office (GPO) for publication in
an annual Volume, which is available for sale from the GPO, and
deposited in over 500 Federal Depository Libraries throughout the
country.
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 published in bound volumes.
Published volumes are also on deposit in designated Federal
Depository Libraries, and on the ECAB'S Internet Website.
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:
Records are retained permanently.
System manager(s) and address:
Chairman, Employees' Compensation Appeals Board, 200 Constitution
Avenue, NW, 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, 200 Constitution Avenue, NW,
Washington, DC.
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.
DOL/ESA-2
System name:
Office of Federal Contract Compliance Programs Complaint Case
Files.
Security classification:
Unclassified.
System location:
Office of Federal Contract Compliance Programs (OFFCP), 200
Constitution Avenue, NW, Washington, DC 20210, and OFCCP Regional and
District Offices (see the Appendix to this document for addresses).
Categories of individuals covered by the system:
Individuals, classes of individuals or representatives authorized
to act on behalf of individuals or classes of individuals who have
filed complaints of discrimination.
Categories of records in the system:
Medical records, investigative reports and materials, complaints,
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, 29 U.S.C.
793.
Purpose(s):
To maintain information that is used to investigate and to
resolve complaints of discrimination filed by individuals under
Executive Order 11246, as amended; the Veteran Era Veterans'
Readjustment Assistance Act of 1974, amended, 38 U.S.C. 4212; and
section 503 of the Rehabilitation Act of 1973, as amended, 29 U.S.C.
793.
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 disclosed
to:
(1) The Equal Employment Opportunity Commission, Department of
Justice, or other Federal, State or local agencies with jurisdiction
over a complaint, when relevant and necessary for investigatory,
conciliation or enforcement purposes;
(2) To Federal contractors and subcontractors against whom a
complaint is filed, including providing a copy of the complaint or a
summary for purposes of notice;
(3) A physician or medical provider records or information for
the purpose of evaluating the complaint or medical records in cases
involving complaints of discrimination on the basis of disability;
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
a Federal Records Center for an additional 4 years then they are
destroyed.
System manager(s) and address:
Deputy Assistant Secretary for Federal Contract Compliance, 200
Constitution Avenue, NW, Washington, DC 20210; Regional Directors for
OFCCP, see The Appendix to this document for addresses.
Notification procedure:
Individuals, wishing to inquire whether this system of records
contains information about them, should contact the appropriate
system manager. Such person should provide his or her full name, date
of birth, and signature.
Record access procedures:
An individual or organization representing an individual wishing
to gain access to records shall follow guidelines set forth under the
notification procedures summarized above.
Contesting record procedures:
Individuals wishing to contest information in their files may
write the appropriate system manager at the specified address,
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 for the correction(s).
Record source categories:
Individual and class action complainants, employers, co-workers,
witnesses, State rehabilitation agencies, physicians, and other
health care providers.
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, 5 U.S.C.
552a(k)(2), these files have been exempted from subsections
(c)(3),(d),(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:
None.
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):
To maintain records that are used to process complaints against
employers who discharge or otherwise discriminate against individuals
because they suffer from 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 in interest
to the complaint, including the coal company, the claimant, medical
providers, and legal representatives of any party for purposes
related to the complaint.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual files.
Retrievability:
Coal miner's name and social security number.
Safeguards:
Files located in restricted area of a Federal building under
guard by security officers.
Retention and disposal:
Files are destroyed 10 years after case is closed.
System manager(s) and address:
Director, Division of Coal Mine Workers' Compensation, Department
of Labor Building, 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, address 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, address 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, address and signature.
Record source categories:
Individuals, employers, medical providers and investigators.
Systems exempted from certain provisions of the act:
Not applicable.
DOL/ESA-6
System name: Office of Workers' Compensation, Black Lung
Benefits Claim File.
Security classification:
Unclassified.
System location:
Office of Workers' Compensation Programs, Division of Coal Mine
Workers' Compensation, Department of Labor Building, 200 Constitution
Avenue, NW, Washington, DC 20210, and district offices (see addresses
in the Appendix to this document).
Categories of individuals covered by the system:
Individuals filing claims for black lung (pneumoconiosis)
benefits under the provisions of Black Lung Benefits Act, as amended,
including miners, and their surviving spouses, children, dependent
parents and siblings.
Categories of records in the system:
Personal (name, date of birth, social security number, claim
type, miner's date of death), medical, and financial. 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
investigative records and the work product of the Department of Labor
and other governmental personnel and consultants involved in the
investigations. If the individual has received benefits to which he
or she is not entitled, the system may contain 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 the nature, amount and history of a claim
filed 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 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):
To maintain records that are used to process all aspects of
claims for black lung (pneumoconiosis) benefits under the provisions
of the Black Lung Benefits Act, as amended, including claims filed by
miners and their surviving spouses, children, dependent parents and
siblings. These records are also used to process the recoupment of
overpayments under the Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement of this document, disclosure of relevant and
necessary information may be made to the following:
a. Mine operators (and/or any party providing the operator with
benefits insurance) who have been determined potentially liable for
the claim at any time after the filing of a claim for Black Lung
Benefits 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. Representatives of the claimant for the purpose of processing
the claim, 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 assisting the
member.
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 agencies if necessary to obtain
information relevant to a Departmental decision concerning the
determination of initial or continuing eligibility for program
benefits, including whether benefits have been or are being paid
improperly; whether dual benefits prohibited under any federal or
state law are being paid; and including 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 taxpayers 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.
Note: Disclosure to a claimant or a person who is duly authorized
to act on the claimant's or beneficiary's behalf, 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 the
Fair Credit Reporting Act (15 U.S.C. 1681a(f), or in accordance with
the Federal Claims Collection Act of 1966 as amended (31 U.S.C.
3711(e) 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 social
security number different from miner's.
Safeguards:
Files are located in the restricted area of a Federal building
under guard by security officers.
Retention and disposal:
Approved claims files are destroyed 10 years after death of last
beneficiary. Denied claims are destroyed 30 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 directors (see addresses in
the Appendix 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 directors. (See addresses in
the Appendix to this document.) Individuals must furnish claimant's
name, and signature.
Record access procedure:
Individuals wishing to request access to non-exempt records
should contact the appropriate office listed in the Notification
Procedure section. The individual must furnish his or her name,
signature and address.
Contesting record procedures:
Specific materials in this system have been exempted from Privacy
Act provisions (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
from access 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, address and signature.
Record source categories:
Individuals, organizations, and 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/ESA-15
System name:
Office of Workers' Compensation Programs, Longshore and Harbor
Workers' Compensation Act Case Files.
Security classification:
None.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210, and district
offices of the Office of Workers' Compensation Programs set forth in
the Appendix to this document.
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 Harbor Workers'
Compensation Act, the Non-Appropriated Fund Instrumentalities Act,
the Defense Base Act, the War Hazards Act, and the DC Workers'
Compensation Act, referred to collectively herein as the Longshore
and Harbor Workers' Compensation Act (LHWCA).
Categories of records in the system:
This system may contain the following kinds of records: reports
of injury by the employee and/or employing agency; claim forms filed
by or on behalf of injured employees covered under the LHWCA or their
survivors seeking benefits under the LHWCA; forms authorizing medical
care and treatment; other medical records and reports; bills and
other payments records; compensation payments records (including
section 8(f) payment records); section 8(f) applications filed by the
employer; formal orders for or against the payment of benefits;
transcripts of hearings conducted; and any other medical employer or
personal information submitted or gathered in connection with the
claim. The system may also contain information relating to dates of
birth, marriage, divorce, and death, notes of telephone conversations
conducted in connection with the claim; information relating to
vocational and/or medical rehabilitation plans and progress reports;
records relating to court proceedings, insurance, banking, and
employment; articles from newspapers and insurance, banking and
employment; articles from newspapers and other publications;
information relating to other benefits (financial and otherwise) the
claimant or employer may be entitled to; and information received
from various investigative agencies concerning possible violations of
Federal civil or criminal law.
Authority for maintenance of the system:
33 U.S.C. 901 et seq. (20 CFR parts 701 et seq.); 36 DC 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 maintain records on 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 those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of information from
this system of records may also be made to the following individuals
and entities for the purposes noted when the purpose of the
disclosure is compatible with the purpose for which the information
was collected:
a. The employer or its representatives, including third-party
administrators, 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, for the
purpose of assisting in the litigation of the claim, 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.
b. Doctors, pharmacies, and other health care providers for the
purpose of treating the claimant, conducting medical examinations,
physical rehabilitation or other services or obtaining medical
evaluations.
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 law are being
paid; salary offset and debt collection procedures including those
actions required by the Debt Collection Act of 1982.
e. Labor unions and other voluntary associations from which the
claimant has requested assistance in connection with the processing
of the LHWCA claim.
f. Attorneys or other persons authorized to represent the
interests of the LHWCA claimant in connection with a claim for
benefits under the LHWCA, and/or a LHWCA beneficiary in connection
with a claim for damages filed against a third party.
g. Internal Revenue Service for the purpose of obtaining taxpayer
mailing addresses in order to locate a taxpayer to collect,
compromise, or write-off a Federal claim against such taxpayer;
discharging an indebtedness owed by an individual.
h. Trust funds that have demonstrated to the OWCP a right to a
lien under 33 U.S.C. 917, for the purpose of permitting the trust
funds to identify potential entitlement to payments upon which the
trust funds may execute the lien.
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.
Note: Pursuant to 5 U.S.C. 552a(b)(1), information from this
system of records is disclosed to members and staff of the Office of
Administrative Law Judges, the Benefits Review Board, the Office of
the Solicitor and other components of the Department who have a need
for the record in the performance of their duties.
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 magnetic tapes.
Retrievability:
Case files are retrieved after identification by coded file
number, which is cross-referenced to injured worker by name.
Safeguards:
Files are maintained under supervision of OWCP personnel during
normal working hours. Files and magnetic tapes are maintained in
locked offices after normal working hours. Confidential passwords are
required for access to automated records.
Retention and disposal:
Time retained varies by type of case, ranging from lost-time
disability cases, in which records are destroyed 20 years after the
case is closed, to other cases where the last possible beneficiary
has died, in which the records are destroyed 6 years and 3 months
after the death of such beneficiary. ``No Lost Time'' cases are
destroyed three years after the end of the fiscal year during which
the related report was received.
System manager(s) and address:
Director for Longshore and Harbor Workers' Compensation, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC
20210; and District Directors at the district offices set forth in
the Appendix.
Notification procedure:
Requests, including name, date of injury, employer at time of
injury, and case file number, if known, should be addressed to the
system manager listed above, at the office where the case is located.
Record access procedures:
Individuals wishing to request access to records should contact
the system manager indicated above.
Contesting record procedure:
Individuals wishing to contest the contents of a record should
contact the appropriate System Manager.
Record source categories:
Information is obtained from injured employees, their qualified
dependents, employers, insurance carriers, physicians, medical
facilities, educational institutions, attorneys, and State, Federal,
and private vocational rehabilitation agencies.
System exempted from certain provisions of the act:
None.
DOL/ESA-24
System name:
Office of Workers' Compensation Programs, Longshore and Harbor
Workers' Compensation Act Special Fund System.
Security classification:
None.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, 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, the Non-Appropriated
Fund Instrumentalities Act, the Defense Base Act, the War Hazards
Act, and the DC Workers' Compensation Act, referred to collectively
herein as the Longshore and Harbor Workers' Compensation Act (LHWCA).
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, and U.S. Treasury Records.
Authority for maintenance of the system:
33 U.S.C. 901 et seq. (20 CFR parts 701 et seq.); 36 DC 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 those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of information from
this system of records may also be made to the following individuals
and entities for the purposes noted when the purpose of the
disclosure is compatible with the purpose for which the information
was collected:
a. The employer or employer's representatives, including third-
party administrators, 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,
for the purpose of assisting in the litigation of the claim, 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.
b. Doctors, pharmacies, and other health care providers for the
purpose of treating the claimant, conducting medical examinations,
physical rehabilitation or other services or obtaining medical
evaluations.
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 law are being
paid; salary offset and debt collection procedures including those
actions required by the Debt Collection Act of 1982.
e. Labor unions and other voluntary associations from which the
claimant has requested assistance with the processing of the LHWCA
claim.
f. 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.
g. Trust funds that have demonstrated to the OWCP a right to a
lien under 33 U.S.C. 917, for the purpose of permitting the trust
funds to identify potential entitlement to payments upon which the
trust funds may execute the lien.
h. To individuals, and their attorneys and other representatives,
and government agencies, seeking to enforce a legal obligation on
behalf of such individual, to pay alimony and/or child support, for
the purpose of enforcing such an obligation, pursuant to an order of
a state or local court of competent jurisdiction, including Indian
tribal courts, within any State, territory or possession of the
United States, or the District of Columbia or to an order of a State
agency authorized to issue income withholding notices pursuant to
State or local law or pursuant to the requirements of section 666(b)
of title 42, United States Code, or for the purpose of denying the
existence of funds subject to such legal obligation.
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.
Note: Information from this system of records is disclosed to
members and staff of the Office of Administrative Law Judges, the
Benefits Review Board, the Office of the Solicitor and other
components of the Department who have a need for the record in the
performance of their duties.
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 magnetic tapes.
Retrievability:
Case files are retrieved by social security number, which is
cross-referenced to injured worker by name.
Safeguards:
Files are maintained under supervision of OWCP personnel during
normal working hours. Confidential passwords are required for access
to automated records. Files and magnetic tapes are in Federal office
building.
Retention and disposal:
Files are destroyed 7 years after last payment is made.
System manager(s) and address:
Director for Longshore and Harbor Workers' Compensation, Office
of Workers' Compensation Programs, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Requests, including name and case number, if known, should be
addressed to the System Manager.
Record access procedures:
Individuals wishing to request access to records should contact
the System Manager indicated above.
Contesting record procedure:
Individuals wishing to contest the contents of a record should
contact the System Manager indicated above.
Record source categories:
The system obtains information from injured employees, their
qualified dependents, employers, insurance carriers, physicians,
medical facilities, educational institutions, attorneys, and State,
Federal, and private vocational rehabilitation agencies.
System exempted from certain provisions of the act:
None.
DOL/ESA-25
System name:
Office of Federal Contract Compliance Programs, Executive
Management Information System (OFCCP/EIS) which includes the Case
Management System (CMS), and Time Reporting Information System
(TRIS).
Security classification:
Unclassified.
System location:
OFCCP, Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210; Ten Regional Offices, see the Appendix to this
document for addresses.
Categories of individuals covered by the system:
Individuals filing complaints of employment discrimination by
Federal Contractors and Compliance Officers.
Categories of records in the system:
Listing of hours utilized to perform OFCCP program
responsibilities. Listing of complaints filed by individuals alleging
employment and listing of hours utilized to perform OFCCP program
responsibilities.
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, 29 U.S.C.
793.
Purpose(s):
The Case Management System is the data entry portion of OFCCP's
core case management and management information system. OFCCP
Executive Information System (OFEIS) makes up the reporting side of
the total system. The Office of Contract Compliance Programs Case
Management System (OFCMS) provides the umbrella under which numerous
applications can be accessed. The purposes of the systems are: To
track and monitor by means of an automated data base complaint
investigations of employment discrimination by Federal contractors.
To provide OFCCP Managers with a viable means of tracking the number
of hours used in performing OFCCP program responsibilities. To track
the number of hours utilized by compliance officers in performing
their assigned program duties and responsibilities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 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. By identification numbers assigned to
each compliance officer.
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 destroy 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 I to
this document for Addresses.
Notifiction procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate system
manager or the Regional Office servicing the state where they are
employed (see list of the Regional Office addresses in Appendix).
Such person should provide his or her full name, date of birth, and
signature.
Record access procedures:
A request for access shall be mailed or presented to the
appropriate 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 71.2.
Contesting record procedures:
Individuals wishing to contest information in their files may
write the appropriate system manager at the specified address,
reasonably identifying the records pertaining to them, the
information which is being contested in that record, the corrective
action(s) being sought, and the reason for the correction(s). See
also 29 CFR 71.9.
Record source categories:
OFCCP personnel working in district and regional offices.
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 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:
None.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210, and district
offices of the Office of Workers' Compensation Programs set forth in
the Appendix to this document.
Categories of individuals covered by the system:
Individuals filing claims for workers' compensation benefits
under the Longshore and Harbor Workers' Compensation Act, the Non-
Appropriated Fund Instrumentalities Act, the Defense Base Act, the
War Hazards Act, and the DC Workers' Compensation Act, referred to
collectively herein as the Longshore and Harbor Workers' Compensation
Act (LHWCA); 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 LHWCA. This system also contains the
work product of the Department of Labor and other government
personnel and consultants involved in the investigations.
Authority for maintenance of the system:
33 U.S.C. 901 et seq. (20 CFR parts 701 et seq.); 36 DC 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 maintain records for the purpose of assisting in
determinations of possible violations of Federal law, whether civil
or criminal, in connection with reported injuries under the LHWCA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of relevant and
necessary information from this system of records may also be made to
the following individuals and entities for the purposes noted when
the purpose of the disclosure is compatible with the purpose for
which the information was collected: Internal Revenue Service, for
the purpose of obtaining taxpayer mailing addresses in order to
locate a taxpayer to collect, compromise, or write-off a Federal
claim against such taxpayer; discharging an indebtedness owed by an
individual.
Note: Pursuant to 5 U.S.C. 552a(b)(1), information from this
system of records is disclosed to members and staff of the Office of
Administrative Law Judges, the Benefits Review Board, the Office of
the Solicitor and other components of the Department who have a need
for the record in the performance of their duties.
Disclosure to consumer reportting 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 retrieved by name of individual being investigated.
Safeguards:
Files are maintained under the supervision of OWCP personnel and
access is provided only to authorized personnel.
Retention and disposal:
Time retained varies by type of compensation case involved, and
the investigative file is retained according to the same schedule as
the particular compensation case to which it relates. For example, if
the investigative file is about a lost-time case, it is transferred
to the Federal Records Center 2 years after the related compensation
case is closed, and destroyed 20 years after the case is closed. If
the investigative file is about a death case, it is retained in the
office as long as there are qualified dependents, and destroyed 6
years, 3 months after final closing. ``No Lost Time cases are
destroyed three years after the end of the fiscal year during which
the related report was received.
System manager(s) and address:
Director for Longshore and Harbor Workers' Compensation, Office
of Workers' Compensation Programs, 200 Constitution Avenue, NW,
Washington, DC 20210, and District Directors in the district offices
of the Office of Workers' Compensation Programs set forth in the
Appendix to this document.
Notification procedure:
Requests, including name of individual being investigated, should
be addressed to the System Manager.
Record access procedures:
Individuals wishing to request access to records should contact
the System Manager indicated above.
Contesting record procedure:
Individuals wishing to contest the contents of a record should
contact the System Manager.
Record source categories:
Records are from Division claim and payment files (DOL/ESA-15 and
DOL/ESA-24) and from employees, insurers, service providers; and
information received from parties leading to the opening of an
investigation, or from interviews held during the course of an
investigation.
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-27
System name:
Office of Workers' Compensation Programs, Longshore and Harbor
Workers' Compensation Act Claimant Representatives.
Security classification:
None.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210, and district
offices of the Office of Workers' Compensation Programs set forth in
the Appendix 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 cover those
persons who have been reinstated as qualified claimant
representatives.
Categories of records 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 claimants/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 those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of relevant and
necessary information from this system of records may also be made to
the following individuals and entities for the purposes noted when
the purpose of the disclosure is compatible with the purpose for
which the information was collected:
a. A claimant/beneficiary for the purpose of informing him/her
that his/her representative has been disqualified from further
representation under the Longshore Act.
b. Employers, insurance carriers, state bar disciplinary
authorities, and the general public, for the purpose of providing
information concerning the qualification of person(s) to act as a
claimant representative under the Act.
c. Federal, state or local agency 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 of 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.
Pursuant to 5 U.S.C. 552a(b)(1), information from this system of
records is disclosed to members and staff of the Office of
Administrative Law Judges, the Benefits Review Board, the Office of
the Solicitor and other components of the Department who have a need
for the record in the performance of their duties.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
The information collected in connection with complaints is kept
in manual files.
Retrievability:
The records are retrieved by the name of the representative.
Safeguards:
Records are stored in locked file cabinets.
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,
Office of Workers' Compensation Programs, 200 Constitution Avenue,
NW, Washington, DC 20210, and District Directors in district offices
set forth in the Appendix.
Notification procedure:
Requests, including name, date of injury, employer at the time of
injury, and case file number, if known, should be addressed to the
appropriate system manager indicated above.
Record access procedures:
Individuals wishing to request access to records should contact
the appropriate system manager listed above.
Contesting record procedure:
Individuals wishing to contest the contents of a record should
contact the System Manager.
Record source categories:
Information in this system is obtained from employees, employers,
insurance carriers, members of the public, agency investigative
reports, and from other DOL systems of records.
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-28
System name:
Office of Workers' Compensation Programs, Physicians and Health
Care Providers Excluded under the Longshore Act.
Security classification:
None.
System location:
Division of Longshore and Harbor Workers' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210, and district
offices of the Office of Workers' Compensation Programs set forth in
the Appendix to this document.
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
Longshore and Harbor Workers' 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):
To maintain records to determine the propriety of instituting
debarment actions under the Longshore Act. These records also 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of information from
this system of records may be made to the following individuals and
entities for the purposes noted when the purpose of the disclosure is
compatible with the purpose for which the information is collected:
a. Federal, state or local government agencies, state licensing
boards, professional organizations, claimants, patients, employers,
insurance companies, and any other entities or individuals, for the
purpose of identifying an excluded or reinstated provider, to ensure
that authorization is not issued nor payment made to an excluded
provider, and for the purpose of providing notice that a formerly
excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing
boards, professional organizations, claimants, patients, employers,
insurance companies, and any other entities or individuals, for the
purpose of obtaining information necessary to ensure that the list of
excluded providers is correct, useful, and updated, as appropriate,
and for the purpose of obtaining information relevant to a
Departmental decision regarding a debarment action. This routine use
encompasses the disclosure of such information which will enable the
Department to properly verify the identity of a provider, to identify
the nature of a violation, and the penalty imposed for such
violation.
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.
Note: Pursuant to 5 U.S.C. 552a(b)(1), information from this
system of records is disclosed to members and staff of the Benefits
Review Board, the Office of Administrative Law Judges, the Office of
the Solicitor and other components of the Department who have a need
for the record in the performance of their duties.
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 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.
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,
Office of Workers' Compensation Programs, 200 Constitution Avenue,
NW, Washington, DC 20210, and District Directors in the district
offices set forth in the Appendix to this document.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her may write the system manager at
the address above. In order for the record to be located, the
individual must provide his or her full name, date of birth, and
signature.
Record access procedures:
Any individual seeking access to non-exempt information about a
record within this system of records may write the appropriate system
manager, and arrangements will be made to provide review of the file.
In order for the record to be located, the individual must provide
his or her full name, date of birth, and signature.
Contesting record procedures:
Specific materials in this system have been exempted from certain
Privacy Act provisions regarding the 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 system manager.
In order for the record to be located, the individual must provide
his or her full name, date of birth, and signature. Individuals
requesting amendment of records must comply with the Department's
Privacy Act regulations at 29 CFR 71.1 and 71.9.
Record source categories:
Information in this system is obtained from Federal, state or
local government agencies, state licensing boards, professional
organizations, claimants, patients, employers, insurance companies,
any other entities or individuals, public documents, and newspapers,
as well as from other Department of Labor systems of records.
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:
None.
System location:
The Division of Federal Employees' Compensation, Office of
Workers' Compensation Programs, Washington, DC 20210, and district
offices of the Office of Workers' Compensation Programs set forth in
the Appendix to this document.
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 10.815-826).
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 10.815-826; 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):
To maintain records to determine the propriety of instituting
debarment actions under the Federal Employees' Compensation Act.
These records also 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of information from
this system of records may be made to the following individuals and
entities for the purposes noted when the purpose of the disclosure is
compatible with the purpose for which the information is collected:
a. Federal, state or local government agencies, state licensing
boards, professional organizations, claimants, patients, employers,
insurance companies, and any other entities or individuals, for the
purpose of identifying an excluded or reinstated provider, to ensure
that authorization is not issued nor payment made to an excluded
provider, and for the purpose of providing notice that a formerly
excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing
boards, professional organizations, claimants, patients, employers,
insurance companies, and any other entities or individuals, for the
purpose of obtaining information necessary to ensure that the list of
excluded providers is correct, useful, and updated, as appropriate,
and for the purpose of obtaining information relevant to a
Departmental decision regarding a debarment action. This routine use
encompasses the disclosure of such information that will enable the
Department to properly verify the identity of a provider, to identify
the nature of a violation, and the penalty imposed for such
violation.
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.
Note: Pursuant to 5 U.S.C. 552a(b)(1), information from this
system of records is disclosed to members and staff of the Employees'
Compensation Appeals Board, the Office of Administrative Law Judges,
the Office of the Solicitor and other components of the Department
who have a need for the record in the performance of their duties.
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 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.
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, Office of Workers'
Compensation Programs, 200 Constitution Avenue, NW, Washington, DC
20210, and the District Directors of the district offices set forth
in the Appendix to this document.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her may write the appropriate system
manager at the address above. In order for the record to be located,
the individual must provide his or her full name, date of birth, and
signature.
Record access procedure:
Any individual seeking access to non-exempt information about a
record within this system of records may write the OWCP district
office where the case is located, or the system manager, and
arrangements will be made to provide review of the file. In order for
the record to be located, the individual must provide his or her full
name, date of birth, and signature.
Contesting record procedures:
Specific materials in this system have been exempted from certain
Privacy Act provisions regarding the 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 the system
manager. Individuals requesting amendment of records must comply with
the Department's Privacy Act regulations at 29 CFR 71.1 and 71.9.
Record source categories:
Information in this system is obtained from Federal, state or
local government agencies, state licensing boards, professional
organizations, claimants, patients, employers, insurance companies,
any other entities or individuals, public documents, and newspapers,
as well as from other Department of Labor systems of records.
System exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), 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 the well being of investigative personnel and their
families.
DOL/ESA-30
System name:
Office of Workers' Compensation Programs, Black Lung Automated
Support Package.
Security classification:
Unclassified.
System location:
Office of Workers' Compensation Programs, Division of Coal Mine
Workers' Compensation, U.S. Department of Labor Building, 200
Constitution Ave., NW, Washington, DC 20210, and district offices
(see addresses in the Appendix to this document).
Categories of individuals covered by the system:
Individuals filing claims for black lung benefits; claimants
receiving benefits; dependents of claimants and beneficiaries;
medical providers; attorneys representing claimants; coal mine
operators (workers' compensation insurance carriers).
Categories of records in the system:
Records included are personal (name, date of birth, SSN, claim
type, miner's date of death); demographic (state, county, city,
congressional district, zip code); mine employment history; medical
records; initial determination; conference results; hearing results;
medical and disability payment history; accounting information
including data on debts owed to the United States; Social Security
Administration black lung benefits data; state workers' compensation
claim and benefits data; coal mine operator names, addresses, states
of operation and histories of insurance coverage; and medical service
providers names, addresses, license numbers, medical specialties, tax
identifications and payment histories.
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):
To maintain data on claimants, beneficiaries and their
dependents; attorneys representing claimants; medical service
providers; coal mine operators and insurance carriers. Provide means
of automated payment of medical and disability benefits. Maintain a
history of medical bills submitted by beneficiaries and medical
service providers. Maintain a history of disability benefit payments
made to beneficiaries and medical benefit payments made to
beneficiaries and medical service providers. Maintain program
accounting information including information on debts owed to the
United States. Provide a means for the automatic recoupment of
overpayments made to beneficiaries and medical service providers.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document , 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 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, or person authorized to act on behalf
of the 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 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 agencies 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, 31
U.S.C. 3711.
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 taxpayers 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.
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 every ten years. 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:
Director, Division of Coal Mine Workers' Compensation, U.S.
Department of Labor, Room C-3520, 200 Constitution Ave., NW,
Washington, DC 20210, and district office director (see addresses in
The Appendix 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 director (see addresses in the
Appendix to this document). Individuals must furnish their name,
address, and signature.
Record access procedures:
Individuals wishing to access any records should contact the
appropriate office listed in the Notification Procedure section.
Individuals must furnish their name, address 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,
address, and signature.
Record source categories:
Individuals, and organizations.
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-32
System name:
ESA, Employee Conduct Investigations.
Security classification:
None.
System location:
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 Branch of Management Review and Internal
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 universal 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:
Branch of Management Review and Internal Management Control, 200
Constitution Ave., NW, Room N-4414, Washington, DC 20210.
Notification procedure:
Inquires 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 71.2.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.2.
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:
``Time Report'' Component of the Wage and Hour Investigative
Support and Reporting Database (WHISARD)
Security classification:
None.
System location:
Wage and Hour National Office (NO), Regional Offices (RO), and
District Offices (DO). See the Appendix to this document for the
addresses.
Categories of individuals covered by the system:
Wage and Hour Division Investigators, Assistants, and
Supervisors.
Categories of records in the system:
Listing of hours worked distributed among the various programs
Activities; leave records.
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 Investigators by providing a daily
record of Investigator activities including expenditure of hours by
case, Act, 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 universal 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:
Printed copies of these records are maintained in file cabinets
and in an electronic file database in the NO.
Retrievability:
By name of Investigator, assistant, and supervisor.
Safeguards:
Files are locked except during working hours. Only authorized
personnel have access to files. Electronic files are protected by the
use of passwords by authorized persons.
Retention and disposal:
Printed forms generated by the WHISARD system will be retained in
Wage and Hour DOs (see Records Disposal Schedule NN-168-43, items 1a
and 1b). Database information will be captured on tape at the end of
each fiscal year and retained for 25 years.
System manager(s) and address:
Administrator, Wage and Hour Division, Frances Perkins Building,
200 Constitution Avenue, NW, Washington DC 20210; Regional
Administrators Wage and Hour Division (see the Appendix 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 the Appendix of this document
for addresses).
Record access procedures:
Individuals wishing to request these records should contact the
appropriate system manager listed above.
Contesting record procedures:
Individuals who wish to contest or amend any nonexempt system
should direct their request to the system manager listed in the
Appendix. 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
part 71.
Record source categories:
Individual investigators, assistants and supervisors, Wage and
Hour investigator personnel working in District Offices.
Systems exempted from certain provisions of the act:
None.
DOL/ESA-34
System name:
Farm Labor Contractor Registration File.
Security classification:
None.
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:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 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 purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, relevant and necessary
information may be disclosed to the system manager of DOL/ESA-37,
MSPA Public Central Register Records File, for the purpose of
preparing its list.
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/holder.
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 date
of last certificate of action, and then destroyed when no longer
needed.
System manager(s) and address:
Administrator, Wage and Hour Division, 200 Constitution Avenue,
NW, Washington, DC 20210, and Regional Administrator for Wage and
Hour of relevant Regional Offices.
Notification procedure:
To System Manager(s) at above address.
Record access procedures:
Write to System Manager(s) indicated above.
Contesting record procedures:
Address inquiries to Administrator, Wage and Hour Division, 200
Constitution Avenue, NW, Washington, DC 20210, and Regional
Administrator for Wage and Hour of relevant Regional Offices. Such
inquiries should include the full name of the requester.
Record source categories:
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:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 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:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, relevant and necessary
information may be disclosed to the system manager of DOL/ESA-37,
MSPA Public Central Register Records File, for the purpose of
preparing its list.
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/holder.
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 date
of last certificate of action, and then destroyed when no longer
needed.
System manager(s) and address:
Administrator, Wage and Hour Division, 200 Constitution Avenue,
NW, Washington, DC 20210, and Regional Administrator for Wage and
Hour of relevant Regional Offices.
Notification procedure:
Write to System Manager(s) indicated above.
Record access procedures:
Write to appropriate System Manager indicated above.
Contesting record procedures:
Address inquiries to Administrator, Wage and Hour Division, 200
Constitution Avenue, NW, Washington, DC 20210, and Regional
Administrator for Wage and Hour of relevant Regional Offices. Such
inquiries should include the full name of the requester.
Record source categories:
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 Civil Money Penalties in the Wage Hour Investigative Support
and Reporting Database (WHISARD).
Security classification:
None.
DOL/ESA-36
System name:
MSPA Civil Money Penalties in the Wage Hour Investigative Support
and Reporting Database (WHISARD).
Security classification:
None.
System location:
Wage and Hour National Office (NO), Regional Offices (RO) and
District Offices (DO), see The Appendix of this document for
addresses.
Categories of individuals covered by the system:
All persons investigated and assessed civil money penalties
(CMPs) under 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:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 29 U.S.C. 1801 et seq.
Purpose(s):
To maintain records on persons assessed MSPA CMPs and all actions
connected therewith.
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:
Original records are stored in Wage and Hour offices. These
records and other information are also maintained in an electronic
file database in these offices.
Retrievability:
Records are retrieved by employer name, Employer Identification
Number, case file number or Act violated.
Safeguards:
Only authorized personnel have access by use of passwords to
information stored on the database.
Original records are securely stored in Wage and Hour Regional
Offices.
Retention and disposal:
1. Electronic records are electronically archived; data tapes are
retained for 25 years.
2. Printed information generated by this system and retained in a
Wage-Hour office will be disposed of as follows: Printed information,
concerning cases where violations were found, is disposed of 12 years
after the date the case is closed. For cases where no violation were
found, printed information is disposed of three years after the
closing date.
System manager(s) and address:
Administrator, Wage and Hour Division, Room S-3502, Frances
Perkins Building, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
Individuals wishing to make inquiries regarding this system
should contact the system manager, or the regional office that
services the state in which they are located (see list of the
regional office addresses in the Appendix of this document).
Inquiries should include the full name of the requester and the date
and amount of assessment.
Record access procedures:
Individuals wishing to request access to these records should
contact the appropriate regional office listed in the Appendix.
Contesting record procedures:
Individuals wishing to contest or amend any records should direct
their request to the appropriate regional office listed in the
Appendix. Such inquiries should include the full name of the
requester and the date and amount of assessment.
Record source categories:
The subject of the investigation, employer(s), employee(s)
(present and/or former), insurance companies, other government
agencies, court documents, and previous investigations (if
applicable).
Systems exempted from certain provisions of the act:
None.
DOL/ESA-37
System name:
MSPA Public Central Registry Records File.
Security classification:
None.
System location:
Wage and Hour National Office (NO), Regional Offices (RO) and
District Offices (DO), see the Appendix for addresses.
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 holders of Farm Labor
Contractor and Farm Labor Contractor Employee Certificates of
Registration.
Authority for maintenance of the system:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 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 purposes of such uses:
In addition to the routine uses listed in the General Prefatory
Statement to this document, 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). Alternatively, section 500.170 of 29 CFR Part
500 provides that requests for registry information may be made by
telephone by calling a toll-free number (listed). This registry is
the source for providing that information.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Original records are stored in the Wage and Hour Regional
Offices. These records are also maintained in an electronic file
Database in the DOL NO.
Retrievability:
Records are retrieved by name, Social Security Number (or
Employer Identification Number), or Farm Labor Contractor
Registration Number.
Safeguards:
Only authorized personnel have access by use of passwords to
information stored on the database.
Original records are securely stored in Wage and Hour Regional
Offices.
Retention and disposal:
1. Electronic records are updated on a real-time basis. Expired
certificate records are electronically archived daily. Data tapes are
retained for 25 years.
2. Printed information generated by the certificates program and
retained in a Wage-Hour office will be disposed of 5 years after the
date of last certificate action.
System manager(s) and address:
Administrator, Wage and Hour Division, Frances Perkins Building,
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
Individuals wishing to make inquiries regarding this system
should contact the system manager, or the regional office that
services the state in which they are located (see list of the
regional office addresses in the Appendix).
Record access procedures:
Individuals wishing to request access to these records should
contact the appropriate regional office listed in the Appendix.
Contesting record procedures:
Individuals wishing to contest or amend any records should direct
their request to the appropriate regional office listed in the
Appendix. Such inquiries should include the full name of the
requester and the date and amount of assessment.
Record source categories:
Farm labor contractor and farm labor contractor employee
applications and certificates of registration.
Systems exempted from certain provisions of the act:
None.
DOL/ESA-38
System name:
Wage and Hour Regional Office Clearance List--MSPA Registration
Security classification:
None.
System location:
Wage and Hour National Office (NO), Regional Offices (RO) and
District Offices (DO), see the Appendix for addresses.
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 names, addresses, and social security numbers,
outstanding unpaid CMPs under MSPA, injunctions, convictions,
deportations, and previous actions to deny or revoke a certificate of
registration.
Authority for maintenance of the system:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 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 and to provide historical and current
compliance information to Wage and Hour National, Regional, and
District Offices.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None except for those universal 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:
Original records are stored in the Wage and Hour Regional
Offices. These records are also maintained in an electronic file
Database in the DOL National Office.
Retrievability:
Records are retrieved by name or Social Security number (or
Employer Identification Number).
Safeguards:
Only authorized personnel have access by use of passwords to
information stored on the database.
Original records are securely stored in Wage and Hour Regional
Offices.
Retention and disposal:
1. Electronic records are updated on a real-time basis. Data
tapes are retained for 25 years.
2. Printed information retained in Wage-Hour offices will be
disposed of 5 years after the date of the last certifice action.
System manager(s) and address:
Administrator, Wage and Hour Division, Frances Perkins Building,
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
Individuals wishing to make inquiries regarding this system
should write to the system manager, or the regional office that
services the state in which they are located (see list of the
regional office addresses in the Appendix of this document).
Record access procedures:
Individuals wishing to request access to these records should
write to the appropriate office listed in the Appendix. Accessible
only to persons engaged in the administration of the program.
Contesting record procedures:
Individuals wishing to contest or amend any record procedures
should write to the system manager listed in the Appendix. 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.
Record source categories:
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:
None.
System location:
The Department of Labor & Employment Security, Tallahassee,
Florida; New Jersey Department of Labor, Trenton, New Jersey;
Virginia Employment Commission, Richmond, Virginia; Wage and Hour
National Office (NO), Regional Offices (RO) and District Offices
(DO), see the Appendix of this document for addresses of the Wage and
Hour offices.
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 contain names, addresses, and Social Security numbers.
Authority for maintenance of the system:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 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, Richmond, Virginia.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None except for those universal 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 or records in the system:
Storage:
Electronic data is stored on computer disc.
Retrievability:
Records are retrieved by name or by Social Security Number.
Safeguards:
This is accessible only to persons engaged in the administration
of the program and there is screening to prevent unauthorized
disclosure.
Retention and disposal:
Electronic records are updated on a monthly basis. Data tapes are
retained for 25 years.
System manager(s) and address:
Administrator, Wage and Hour Division, Frances Perkins Building,
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
Write to System Manager(s) indicated above.
Record access procedures:
Write to System Manager(s) indicated above.
Contesting record procedures:
Write to System Manager(s) indicated above.
Record source categories:
Wage and Hour Clearance List--MSPA Registration.
Systems exempted from certain provisions of the act:
None.
DOL/ESA-40
System name:
MSPA Tracer List.
Security classification:
None.
System location:
The Wage and Hour National Office.
Categories of individuals covered by the system:
Farm labor contractors, farm labor contractor employees,
agricultural employers, and housing providers who have been
investigated under the Migrant and Seasonal Agricultural Worker
Protection Act (MSPA).
Categories of records in the system:
Records containing names, addresses, and Certificate of
Registration numbers of persons investigated under MSPA; location and
scope of investigation, period covered and results of investigations
conducted.
Authority for maintenance of the system:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 29 U.S.C. 1801 et seq.
Purpose(s):
To provide a written compliance history of persons who have been
investigated under MSPA 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 purposes of such uses:
None except for those universal 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 on computer media at the Wage and Hour
National Office.
Retrievability:
Records are retrieved by name.
Safeguards:
Electronic data is stored on computer disc. This is accessible
only to persons engaged in the administration of the program and
there is screening to prevent unauthorized disclosure.
Retention and disposal:
Electronic records are updated on a monthly basis. Data tapes are
retained for 25 years.
System manager(s) and address:
Administrator, Wage and Hour Division, Frances Perkins Building,
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
Write to System Manager(s) indicated above.
Record access procedures:
Write to System Manager(s) indicated above.
Contesting record procedures:
Write to System Manager(s) indicated above.
Record source categories:
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.
DOL/ESA-41
System name:
MSPA Certificate Action Record Files.
Security classification:
None.
System location:
Wage and Hour National Office and Regional Offices.
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:
5 U.S.C. 301; Migrant and Seasonal Agricultural Worker Protection
Act, as amended (MSPA), 29 U.S.C. 1801 et seq.
Purpose(s):
To maintain a record of persons whose applications for or
previously issued Farm Labor Contractor/Farm Labor Contractor
Employee Certificates of Registration have been denied or revoked and
all subsequent actions connected therewith.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None except for these 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 computer media in
the Wage and Hour National Office. Computer media are stored in the
Wage and Hour National Office and Regional Offices.
Retrievability:
By the name of the applicant/holder.
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:
Administrator, Wage and Hour Division, 200 Constitution Avenue,
NW, Washington, DC 20210.
Notification procedure:
Write to System Manager at above address.
Record access procedures:
Write to System Manager indicated above.
Contesting record procedures:
Write to Administrator, Wage and Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210. Such inquiries should include the
full name 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.
DOL/ESA-42
System name:
Case Registration/Investigator Assignment Form; in the Wage and
Hour Investigative Support and Reporting Database (WHISARD).
Security classification:
None.
System location:
Wage and Hour National Office (NO), Regional Offices (RO), and
District Offices (DO); see the Appendix of this document for
addresses.
Categories of individuals covered by the system:
Wage and Hour Investigators.
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 a record 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 an Investigator 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 universal 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:
Maintained in the DOL NO in electronic file Database.
Retrievability:
By name of employer, by North American Industrial Code (NAIC)
and/or Employer Identification Number (EIN).
Safeguards:
Only authorized personnel have access to files. Files locked in
office at close of business day. Electronic file protected by
password.
Retention and disposal:
Printed investigation forms generated by the WHISARD system will
be retained in the investigative files of Wage and Hour District
Offices (see Records Disposal Schedule NN-168-43, items 1a and 1b.)
Database information will be captured on tape at the end of each
fiscal year and will be retained for 25 years.
System manager(s) and address:
Administrator, Wage and Hour Division, Room S-3502, Frances
Perkins Building, 200 Constitution Avenue, NW, Washington, DC 20210.
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 the Appendix of this document).
Record access procedures:
Individuals wishing to request access to these records should
contact the appropriate office listed in the Appendix.
Contesting record procedures:
Individuals wishing to contest or amend any nonexempt records
should direct their request to the disclosure officer listed in the
Appendix. 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.
Record source categories:
Complainants, employers, and Wage and Hour personnel.
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.
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:
None.
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
the Appendix to this document for District Office addresses. Copies
of claim forms and other documents arising out of a job-related
injury that resulted in the filing of a claim under the FECA may also
be maintained by the employing agency (and where the forms were
transmitted to the OWCP electronically, the original forms are
maintained by the agency).
Categories of individuals covered by the system:
The rehabilitation records cover either individuals covered by
the Federal Employees' Compensation Act (FECA) for injuries 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. These
records also contain information about covered employees' entitlement
to wage-loss compensation benefits and entitlement to medical
benefits and treatment, and contain information about medical and
vocational testing, rehabilitation plans and the documentation
supporting such plans. The records may also include other information
relating to the vocational rehabilitation process under the relevant
statute.
Authority for maintenance of the system:
5 U.S.C. 8101 et seq.; 33 U.S.C. 901, et seq.; 36 DC Code 501 et
seq.; 42 U.S.C. 1331 et seq.; 5 U.S.C. 8171 et seq.
Purpose(s):
These records are maintained to provide information and
verification about the covered employees' work-related injuries and
the vocational rehabilitation process.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of information from
this system of records may be made to the following individuals and
entities for the purposes noted when the purpose of the disclosure is
compatible with the purpose for which the information is collected:
a. Rehabilitation agencies, counselors, screeners, physicians and
medical providers, and other persons or entities, for the purpose of
providing rehabilitation services to injured workers under the FECA
or LHWCA.
b. The worker's former employer or its representatives, including
third-party administrators, and where appropriate the employer's
insurance carrier, for the purpose of 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. Labor unions and other voluntary employee associations from
whom the claimant has requested assistance with claims processing and
adjudication and other services.
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.
Note: Pursuant to 5 U.S.C. 552a(b)(1), information from this
system of records is disclosed to members and staff of the Benefits
Review Board, the Employees' Compensation Appeals Board, the Office
of Administrative Law Judges, the Office of the Solicitor and other
components of the Department who have a need for the record in the
performance of their duties.
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, security case files in
locked cabinets, and FECA or LHWCA management information system
information, chargeback file 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, which is cross-referenced to employee by name.
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 security clearance may handle or process security files. After
normal working hours, security files are kept in locked cabinets. All
files and data are maintained in guarded Federal buildings.
Retention and disposal:
All rehabilitation files are merged with the FECA or Longshore
case file (see DOL/GOVT-1 or DOL/ESA-15) at the conclusion of the
rehabilitation effort and are retained consistent with the retention
schedule for the case files.
System manager(s) and address:
Director, Division of Planning, Policy and Standards, Office of
Workers' Compensation Programs, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him or 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 or she filed a
claim, or the system manager. In order for a record to be located,
the individual must provide his or her full name, FEC or LHWCA case
number (if known), date of injury (if known), and date of birth.
Record access procedures:
Individuals wishing to request access to records should contact
the appropriate office listed in the Notification Procedure section,
or the system manager. Individuals must furnish their name, the claim
number and signature.
Contesting record procedures:
Individuals wishing to request amendment of any records should
contact the appropriate office listed in the Notification Procedure
section, or the system manager. Individuals must furnish their name,
the claim number and signature. Any individual requesting amendment
of records must comply with the Department's Privacy Act regulations
at 29 CFR 71.1 and 71.9.
Record source categories:
Claimants, claim forms, 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; notes on telephone
conversations conducted by the rehabilitation specialist or counselor
with employers, medical providers and others.
System exempted from certain provisions of the act:
None.
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:
None.
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 the Appendix to this document for District
Office addresses. Copies of claim forms and other documents arising
out of a job-related injury that resulted in the filing of a claim
under the FECA may also be maintained by the employing agency (and
where the forms were transmitted to the OWCP electronically, the
original forms are maintained by the agency).
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).
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.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are maintained to 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:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
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.
Note: Pursuant to 5 U.S.C. 552a(b)(1), information from this
system of records may be disclosed to members and staff of the
Benefits Review Board, the Employees' Compensation Appeals Board, the
Office of Administrative Law Judges, the Office of the Solicitor and
other components of the Department who have a need for the record in
the performance of their duties.
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 electronic form within the OWCP
rehabilitation data system, or staff nurse monitoring system and in
hard copy records maintained in the OWCP district office. 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 database 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 well 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, 200
Constitution Avenue NW, Washington, DC 20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him or 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 or her full name and
date of birth.
Record access procedures:
Individuals wishing to request access to records should contact
the appropriate office listed in the Notification Procedure section,
or the system manager. Individuals must furnish their name, the claim
number and signature.
Contesting record procedures:
Individuals wishing to request amendment of any records should
contact the appropriate office listed in the Notification Procedure
section, or the system manager.
Record source categories:
Rehabilitation Counselors, Field Nurses, Other Individuals,
correspondence, investigative reports, Federal and state agency
records, any other record or document pertaining to a contract.
System exempted from certain provisions of the act:
None.
DOL/ESA-45
System name:
Investigative Files of the Office of Labor-Management Standards.
Security classification:
None.
System location:
The field offices of the Office of Labor-Management Standards.
Categories of individuals covered by the system:
Union officials and other individuals investigated or 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 Congressional Accountability Act of 1995 (CAA)
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, 2 U.S.C.
1351 (a)(1), 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 CAA
and the implementing regulations at 29 CFR part 458.
Routine uses of records maintained in the system, 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 those employees of the agency
who need such information as part of their 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
OLMS field offices. Closed files are retained in field offices for
two years after which they are retired to Federal Records Centers.
FRC will destroy files after eight calendar years of storage (ten
years after closure of case).
System manager(s) and address:
Deputy Assistant Secretary for Labor-Management Programs, 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 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 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 or identified:
Name, date of birth, and union or business affiliation.
Contesting record procedure:
Individuals wishing to contest information in their files may
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 corrections(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/ESA-46
System name:
Migrant and Seasonal Agricultural Worker Protection Act (MSPA)
Ineligible Farm Labor Contractors.
Security classification:
Unclassified.
System location:
Wage and Hour National Office.
Categories of individuals covered by the system:
Persons whose Farm Labor Contractor or Farm Labor Contractor
Employee Certificate of Registration has been revoked or whose
application for such certificate has been denied and such action has
become a final and unappealable Order of the Secretary of Labor.
Categories of records in the system:
Records containing the names and addresses of persons whose
certificates of registration have been revoked or whose application
for a certificate of registration have been denied.
Authority for maintenance of the system:
Migrant and Seasonal Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.
Purpose(s):
To provide a written listing of individuals who may not legally
engage in any activity as a farm labor contractor or farm labor
contractor employee.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
This listing is mailed upon request to the General Public.
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 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:
Records are maintained under the supervision of Wage and Hour
personnel.
Retention and disposal:
Record is updated and replaced on a monthly basis. These records
are destroyed after they have been replaced and are no longer needed.
System manager(s) and address:
Administrator, Wage and Hour Division, 200 Constitution Avenue,
NW, Washington, DC 20210, and Regional Administrator for Wage and
Hour of relevant Regional Offices.
Notification procedure:
Write to Administrator, Wage and Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or appropriate Regional
Administrator for Wage and Hour.
Record access procedures:
Write to Administrator, Wage and Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or to the appropriate Regional
Administrator for Wage and Hour.
Contesting record procedures:
Write to Administrator, Wage and Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or to the appropriate Regional
Administrator for Wage and Hour. Such inquiries should include the
full name 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-47
System name:
Youth Peddler Bulletin Board.
Security classification:
Unclassified.
System location:
All Wage and Hour Division's Regional and District Offices and
the National Office.
Categories of individuals covered by the system:
Employers, crew chiefs who recruit minors for door-to-door sales,
and/or drivers who transport minors to sell candy or other goods.
Categories of records in the system:
Records containing the names and addresses of companies and/or
individuals subject to state or Federal child labor laws. Information
on the location and scope of any current or prior investigations;
information concerning criminal investigations--including subpoenas,
injunctions or agreements involving crew chiefs or drivers of youth
peddlers; synopses of recruiting advertisements, or itineraries of
activities; information concerning products being sold and location
of manufacturers and/or warehouses used to store these materials;
registration of vehicles used to transport youth crews; and State and
local licenses.
Authority for maintenance of the system:
29 U.S.C. 201 et seq.; and 5 U.S.C. 301.
Purpose(s):
To assemble into one system, information concerning the
investigative histories of crew chiefs/drivers who may have
recruited/transported minor-workers for the purpose of selling
materials door-to-door that may result in a violation of Federal or
State child labor laws.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Pertinent information may be disclosed to the appropriate
Federal, State, or local agency for investigating, prosecuting,
enforcing, or implementing a statute, rule, regulation, or order, in
connection with a potential or actual child labor violation.
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 manually and on computer media in all Wage and
Hour Regional and District offices, and the Wage and Hour National
Office.
Retrievability:
Records are retrieved by the names of door-to-door sales crew
chiefs and drivers and/or employers.
Safeguards:
These records are kept manually and electronically and may only
be accessed by entering a password that will be provided to persons
engaged in the administration of the program.
Retention and disposal:
The electronic records will be transferred to the master data
base (CD/disc) file after one year. The textual records (which
include printouts, correspondence, fax copies, and reports) will be
maintained for two years. Both the electronic and textual records
will be destroyed when they are no longer needed for program
purposes.
System manAGER(S) AND ADDRESS:
Child Labor and Special Employment Team Leader, Wage and Hour
Division, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Write to the Child Labor and Special Employment Team Leader, Wage
and Hour Division, 200 Constitution Avenue, NW, Washington, DC 20210,
and Regional Administrators for Wage and Hour of relevant Regional
and District Offices. Such inquiries should include the full name of
the requestor and/or the legal name of the company.
Record access procedures:
Write to the Child Labor and Special Employment Team Leader, Wage
and Hour Division, 200 Constitution Avenue, NW, Washington, DC 20210,
or appropriate Regional Administrator for Wage and Hour. Such
inquiries should include the full name of the requestor and/or the
legal name of the company.
Contesting record procedures:
Write to the Child Labor and Special Employment Team Leader, Wage
and Hour Division, 200 Constitution Avenue, NW, Washington, DC 20210,
and Regional Administrator for Wage and Hour of relevant Regional and
District Offices. Such inquiries should include the full name of the
requestor and/or the legal name of the company.
Record source categories:
Crew chiefs/drivers, employees, court and police records, and
records of investigations conducted by the U.S. Department of Labor
and the State Departments of Labor and any subsequent legal documents
created following such investigations.
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 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-48
System name:
``Customer Service component'' of the Wage Hour Investigative
Support and Reporting Database (WHISARD).
Security classification:
None.
System location:
Wage and Hour National Office (NO), Regional Offices (RO) and
District Offices (DO), see The Appendix of this document for
addresses.
Categories of individuals covered by the system:
Persons who contact the Wage and Hour Division for technical
assistance or to file a complaint.
Categories of records in the system:
``Browse Customer List'' records containing last name, first
name, phone number, address, city, complaint status, case
identification number, WH employee name, and contact priority.
``Employee Contact Information'' records containing home address,
phone numbers, fax number, e-mail address and certain information
about the individual's complaint.
``Employee Work Information'' records containing certain
employment and payroll information about the individual's complaint.
Authority for maintenance of the system:
5 U.S.C. 301; 29 U.S.C. 201 et seq.
Purpose(s):
To provide Wage and Hour NO, ROS and DOs with an index of
individuals who contact the Wage and Hour Division. This information
may be used to provide assistance or facilitate the processing of a
complaint.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the routine uses listed in the General Prefatory
Statement to this document, relevant information may be provided to
other government agencies for law enforcement purposes.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Maintained in an electronic file Database in the DOL National
Office.
Retrievability:
By name of the individual.
Safeguards:
Only authorized personnel have access by use of passwords to this
on-line transactional system and its database.
Retention and disposal:
Printed investigation forms generated by the WHISARD system will
be retained in the investigative files of Wage and Hour District
Offices (see Records Disposal Schedule NN-168-43, items 1a and 1b
which provides as follows: Printed information, concerning cases
where violations were found, is disposed of 12 years after the date
the case is closed. For cases where no violation were found, printed
information is disposed of three years after the closing date.
Database information will be captured on tape at the end of each
fiscal year and retained for 25 years.
System manager(s) and address:
Administrator, Wage and Hour Division, Room S-3502, Frances
Perkins Building, 200 Constitution Avenue, NW, Washington, DC 20210.
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 the Appendix of this document).
Record access procedures:
Individuals wishing to request access to these records should
contact the appropriate office listed in the Appendix.
Contesting record procedures:
Individuals wishing to contest or amend any records should direct
their request to the appropriate system manager. 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.
Record source categories:
Complainants, employers, and Wage and Hour personnel.
Systems exempted from certain provisions of the act:
None.
DOL/ESA-49
System name:
Office of Workers' Compensation Programs, Energy Employees
Occupational Illness Compensation Program 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 that has
given the information the security classification of Top Secret.
System location:
U.S. Department of Labor, Employment Standards Administration,
Office of Workers' Compensation Programs, Frances Perkins Building,
200 Constitution Ave., NW, Washington, DC 20210, and district offices
located throughout the United States.
Categories of individuals covered by the system:
Individuals or their survivors who claim benefits under the
Energy Employees Occupational Illness Compensation Program Act
(EEOICPA). These individuals include, but are not limited to, federal
employees or survivors of federal employees; employees or survivors
of employees of the Department of Energy, its predecessor agencies,
and their contractors and subcontractors; and members of the armed
forces.
Categories of records in the system:
This system may contain the following kinds of records: Claim
forms filed by or on behalf of injured individuals or their survivors
seeking benefits under the EEOICPA; reports by the employee and/or
the U.S. Department of Energy; employment records; exposure records;
safety records or other incident reports; dose reconstruction
records; workers' or family members contemporaneous diaries,
journals, or other notes; forms authorizing medical care and
treatment; other medical records and reports; bills and other payment
records; compensation payment records; formal orders for or against
the payment of benefits; transcripts of hearings conducted; and any
other medical, employment, or personal information submitted or
gathered in connection with the claim. The system may also contain
information relating to dates of birth, marriage, divorce, and death;
notes of telephone conversations conducted in connection with the
claim; information relating to vocational and/or medical
rehabilitation plans and progress reports; records relating to court
proceedings, insurance, banking and employment; articles from
newspapers and other publications; information relating to other
benefits (financial and otherwise) the claimant may be entitled to,
including previously filed claims; and information received from
various investigative agencies concerning possible violations of
Federal civil or criminal law.
The system may also contain consumer credit reports on
individuals indebted to the United States, information relating to
the debtor's assets, liabilities, income and expenses, personal
financial statements, correspondence to and from the debtor,
information relating to the location of the debtor, and other records
and reports relating to the implementation of the Federal Claims
Collection Act (as amended), including investigative reports or
administrative review matters. Individual records listed here are
included in a claim file only insofar as they may be pertinent or
applicable to the individual claiming benefits.
Authority for maintenance of the system:
Energy Employees Occupational Illness Compensation Program Act,
Title XXXVI of Pub. L. 106-398, October 30, 2000, 114 Stat. 1654.
Purpose(s):
To maintain records on individuals who file claims under the
Energy Employees Occupational Illness Compensation Program Act, which
establishes a program for compensating certain individuals for
covered illnesses related to exposure to beryllium, cancers related
to exposure to radiation, and chronic silicosis. These records
provide information and verification about individual claimants'
covered illnesses on which may be based any entitlement to medical
treatment, compensation and survivors' benefits, under the EEOICPA
and certain other statutes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those Department-wide routine uses set forth above
in the General Prefatory Statement to this document, disclosure of
information from this system of records may be made to the following
individuals and entities for the purposes noted when the purpose of
the disclosure is both relevant and necessary and is compatible with
the purpose for which the information was collected:
a. To any attorney or other representative of an EEOICPA
beneficiary for the purpose of assisting in a claim or litigation
against a third party or parties potentially liable to pay damages as
a result of the beneficiary's compensable condition, and for the
purpose of administering the provisions of sections 3641-3642 of the
EEOICPA. Any such third party, or a representative acting on that
third party's behalf, may be provided information or documents
concerning the existence of a record and the amount and nature of
compensation paid to or on behalf of the beneficiary for the purpose
of assisting in the resolution of the claim or litigation against
that party or administering the provisions of sections 3641-3642 of
the EEOICPA.
b. To the Department of Energy, its contractors and
subcontractors, and federal agencies that employed the employee at
the time of the alleged exposure of the employee, and to other
entities that may possess relevant information, to assist in
administering the EEOICPA, to answer questions about the status of
the claim, to consider other actions the agency may be required to
take with regard to the claim, or to permit the agency to evaluate
its safety and health program. Disclosure to federal agencies,
including the Department of Justice, may be made where OWCP
determines that such disclosure is relevant and necessary for the
purpose of providing assistance in regard to asserting a defense
based upon the EEOICPA's exclusive remedy provision to an
administrative claim or to litigation filed under the Federal Tort
Claims Act.
c. To the personnel, contractors, grantees, and cooperative
agreement holders of the Department of Energy, the Department of
Health and Human Services, the Department of Justice, and other
federal agencies designated by the President to implement the federal
compensation program established by the EEOICPA, for the purpose of
assisting in the adjudication or processing of a claim under that
Act.
d. To physicians, pharmacies, and other health care providers for
their use in treating the claimant, in conducting an examination or
preparing an evaluation on behalf of OWCP and for other purposes
relating to the medical management of the claim, including evaluation
of and payment for charges for medical and related services and
supplies.
e. To medical insurance or health and welfare plans (or their
designees) that cover the claimant in instances where OWCP had paid
for treatment of a medical condition that is not compensable under
the EEOICPA, or where a medical insurance plan or health and welfare
plan has paid for treatment of a medical condition that may be
compensable under the EEOICPA, for the purpose of resolving the
appropriate source of payment in such circumstances.
f. To a federal, state or local agency for the purpose of
obtaining information relevant to a determination concerning initial
or continuing eligibility for EEOICPA benefits, and for a
determination concerning whether benefits have been or are being
properly paid, including whether dual benefits that are prohibited
under any applicable federal or state statute are being paid; and for
the purpose of utilizing salary offset and debt collection
procedures, including those actions required by the Debt Collection
Act of 1982, to collect debts arising as a result of overpayments of
EEOICPA compensation and debts otherwise related to the payment of
EEOICPA benefits.
g. To the Internal Revenue Service (IRS) for the purpose of
obtaining taxpayer mailing addresses for the purposes of locating a
taxpayer to collect, compromise, or write-off a federal claim against
such taxpayer; and informing the IRS of the discharge of a debt owed
by an individual. Records from this system of records may be
disclosed to the IRS for the purpose of offsetting a federal claim
from any income tax refund that may be due to the debtor.
h. Where an investigation, settlement of claims, or the
preparation and conduct of litigation is undertaken, a record may be
disclosed to (1) a person representing the United States or the
Department of Labor in the investigation, settlement or litigation,
and to individuals assisting in such representation; (2) others
involved in the investigation, settlement, and litigation, and their
representatives and assistants; and (3) a witness, potential witness,
or their representatives and assistants, and to any other person who
possesses information pertaining to the matter, when such disclosure
is necessary for the conduct of the investigation, settlement, or
litigation, or is necessary to obtain information or testimony
relevant to the matter.
i. 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 under programs
administered by the DOL 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.
j. 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
repay a debt incurred under the FECA, to collect the debt, or to
establish a payment schedule.
k. 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, 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.
l. To individuals, and their attorneys and other representatives,
and government agencies, seeking to enforce a legal obligation on
behalf of such individual or agency, to pay alimony and/or child
support for the purpose of enforcing such an obligation, pursuant to
an order of a state or local court of competent jurisdiction,
including Indian tribal courts, within any State, territory or
possession of the United States, or the District of Columbia or to an
order of a State agency authorized to issue income withholding
notices pursuant to State or local law or pursuant to the
requirements of section 666(b) of title 42, United States Code, or
for the purpose of denying the existence of funds subject to such
legal obligation.
m. To the spouse, children, parents, grandchildren, or
grandparents of deceased employees who may be covered under the
EEOICPA to enable them to determine their eligibility for benefits
under the EEOICPA, and to inform them of decisions regarding benefit
eligibility, so that they have the opportunity to take action to
protect any rights they may have as potentially eligible
beneficiaries.
Note: Disclosure of information contained in this system of
records to the subject of the record, a person who is duly authorized
to act on his or her behalf, or to others to whom disclosure is
authorized by these routine uses, may be made over the telephone or
by electronic means. Disclosure over the telephone or by electronic
means will only be done where the requestor provides appropriate
identifying information. Telephonic or electronic disclosure of
information is essential to permit efficient administration and
adjudication of claims under the EEOICPA.
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:
Paper case files are maintained in filing cabinets. Automated
data, including case files that have been transformed into electronic
form, are stored in computer discs or magnetic tapes, which are
stored in cabinets. Microfiche is 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, employer and/or contractor, and date
and nature of injury.
Safeguards:
Files and automated data are maintained under supervision of OWCP
personnel during normal working hours--only authorized personnel,
with the appropriate password, may handle, retrieve, or disclose any
information contained therein. Access to electronic records is
controlled by password or other user identification code.
Retention and disposal:
All case files and automated data pertaining to a claim are
destroyed 15 years after the case file has become inactive. Paper
files that have been scanned to create electronic copies are
destroyed after the copies are verified. 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 retained only in electronic form, and destroyed 6 years
and 3 months after creation or receipt.
System manager(s) and address:
Director, Office of Workers' Compensation Programs, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedures:
An individual wishing to inquire whether this system of records
contains information about him/her may write or telephone the OWCP
district office that services the state in which the individual
resided or worked at the time he or she believes a claim was filed.
In order for the record to be located, the individual must provide
his or her full name, OWCP claim number (if known), date of injury
(if known), and date of birth.
Record access procedures:
Any individual seeking access to non-exempt information about a
case in which he/she is a party in interest may write or telephone
the OWCP district office where the case is located, or the systems
manager.
Contesting record procedures:
Any individual requesting amendment of non-exempt records should
contact the appropriate OWCP district office, or the system manager.
Individuals requesting amendment of records must comply with the
Department's Privacy Act regulations at 29 CFR 71.1 and 71.9.
Record source categories:
Injured employees who are the subjects of the record, their
family members and beneficiaries; employing Federal agencies; State
governments, State agencies, and other Federal agencies; State and
Federal workers' compensation offices; physicians and other medical
professionals; hospitals; clinics; medical laboratories; suppliers of
health care products and services and their agents and
representatives; educational institutions; attorneys; Members of
Congress; OWCP field investigations; consumer credit reports;
investigative reports; correspondence with the debtor including
personal financial statements; records relating to hearings on the
debt; and other DOL systems of records.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigative 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 the 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-50
System name:
Office of Workers' Compensation Programs, Physicians and Health
Care Providers Excluded under the Energy Employees Occupational
Illness Compensation Program Act.
Security classification:
None.
System location:
U.S. Department of Labor, Employment Standards Administration,
Office of Workers' Compensation Programs, Frances Perkins Building,
200 Constitution Ave., NW, Washington, DC 20210.
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 Energy
Employees Occupational Illness Compensation Program Act for fraud or
abuse (20 CFR 30.715-30.726, or as updated).
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
Energy Employees Occupational Illness Compensation Program 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 30.715-
30.726 (or as updated); 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:
Energy Employees Occupational Illness Compensation Program Act,
Title XXXVI of Pub. L. 106-398, October 30, 2000, 114 Stat. 1654.
Purpose(s):
To maintain records in order to determine the propriety of
instituting debarment actions under the Energy Employees Occupational
Illness Compensation Program Act. These records also 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of information from
this system of records may be made to the following individuals and
entities for the purposes noted when the purpose of the disclosure is
compatible with the purpose for which the information is collected:
a. Federal, state or local government agencies, state licensing
boards, professional organizations, claimants, patients, employers,
insurance companies, and any other entities or individuals, for the
purpose of identifying an excluded or reinstated provider, to ensure
that authorization is not issued nor payment made to an excluded
provider, and for the purpose of providing notice that a formerly
excluded provider has been reinstated.
b. Federal, state or local government agencies, state licensing
boards, professional organizations, claimants, patients, employers,
insurance companies, and any other entities or individuals, for the
purpose of obtaining information necessary to ensure that the list of
excluded providers is correct, useful, and updated, as appropriate,
and for the purpose of obtaining information relevant to a
Departmental decision regarding a debarment action. This routine use
encompasses the disclosure of such information that will enable the
Department to properly verify the identity of a provider, to identify
the nature of a violation, and the penalty imposed for such
violation.
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 practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records are in manual files, magnetic tapes or other computer
storage media, or on computer printouts.
Retrievability:
Material is retrieved either by the name of the provider, a case
citation, or date of release.
Safeguards:
Files and automated data are maintained under supervision of OWCP
personnel during normal working hours--only authorized personnel,
with the appropriate password, may handle, retrieve, or disclose any
information contained therein. Access to electronic records is
controlled by password or other user identification code.
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, Office of Workers' Compensation Programs, 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 the system manager at
the address above. In order for the record to be located, the
individual must provide his or her full name, date of birth, and
signature.
Record access procedures:
Any individual seeking access to non-exempt information about a
record within this system of records may write the system manager,
and arrangements will be made to provide review of the file. In order
for the record to be located, the individual must provide his or her
full name, date of birth, and signature.
Contesting record procedures:
Any individual requesting amendment of non-exempt records should
contact the system manager. Individuals requesting amendment of
records must comply with the Department's Privacy Act regulations at
29 CFR 71.1 and 71.9.
Record source categories:
Information in this system is obtained from Federal, state or
local government agencies, state licensing boards, professional
organizations, claimants, patients, employers, insurance companies,
any other entities or individuals, public documents, and newspapers,
as well as from other Department of Labor systems of records.
System exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), 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 the well being of investigative personnel and their
families.
DOL/ESA-51
System name:
OLMS Public Disclosure Request Tracking System.
Security classification:
None.
System location:
U.S. Department of Labor, Employment Standards Administration,
Office of Labor-Management Standards, Division of Reports, Disclosure
and Audits, U.S. Department of Labor, Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who request documents.
Categories of records in the system:
Data regarding the request for copies of annual financial
reports, information reports, and constitution and bylaws filed with
the Department of Labor by labor unions in accordance with the public
disclosure provisions of the Labor-Management Reporting and
Disclosure Act of 1959, as amended (LMRDA). Data includes individual
requester's name, title (optional), organization (optional), street
address, city, state, zip code, telephone number (optional), fax
number (optional), e-mail address (optional), user name, and
password; type of request (walk-in, telephone, mail, Internet, or
fax); date of request; copying and certification charges; name and
amount on requester's check; the name and LM Number of the labor
union for which information has been requested; and the documents
requested.
Authority for THE maintenance of the system:
29 U.S.C. 435.
Purpose(s):
These records are used by authorized OLMS disclosure personnel to
process requests made to the OLMS Public Disclosure Room, prepare
requests for payments, and process payments.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 storage.
Retrievability:
By individual name, organization name, address, control number,
or request date.
Safeguards:
Computer system is password protected and accessible only to
personnel creating and maintaining the database.
Retention and disposal:
The data is deleted after one year or when no longer needed,
whichever is later.
System manager(s) and address:
Chief, Division of Reports, Disclosure and Audits, Employment
Standards Administration, Office of Labor-Management Standards, 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 U.S. Department of Labor Privacy Act
regulations on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals requesting documents from the OLMS Public Disclosure
Room, and OLMS employees processing the request.
Systems exempted from certain provisions of the act:
None.
DOL/ETA-1
System name:
Office of Apprenticeship Training, Employer and Labor Services
(OATELS), Bureau of Apprenticeship and Training, Budget and Position
Control File.
Security classification:
Unclassified.
System location:
Employment and Training Administration (ETA), Office of
Apprenticeship Training, Employer and Labor Services (OATELS), 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 OATELS/BAT.
Categories of records in the system:
Personal records concerning grades and salaries.
Authority for MAINTENANCE OF THE SYSTEMS:
5 U.S.C. 301
Purpose(s):
For ready access in preparing management reports as required by
the Employment and Training Administration, and controlling OATELS/
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:
Administrator, Office of Apprenticeship Training, Employer and
Labor Services (OATELS), Bureau of Apprenticeship and Training (BAT),
Employment and Training Administration, Frances Perkins Building, 200
Constitution Avenue, NW, 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 Administrator, Office of Apprenticeship
Training, Employer and Labor Services (OATELS), Bureau of
Apprenticeship and Training (BAT), Employment and Training
Administration, Frances Perkins Building, 200 Constitution Avenue,
NW., Washington DC 20210. The following information is needed for the
records to be located:
a. Full name
b. Date of birth
Record access procedures:
See Notification procedure above.
Contesting record procedures:
See Notification procedure above.
Record source categories:
Personal records, including SF-Form 50.
System exempted from certain provisions of the act:
Not applicable.
DOL/ETA-4
System name:
Apprenticeship Information Management System (AIMS).
Security classification:
Unclassified.
System location:
Employment and Training Administration, Office of Apprenticeship
Training, Employer and Labor Services (OATELS), Frances Perkins
Building, 200 Constitution Avenue, NW, Washington, DC 20210.
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:
Statistical 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 State Apprenticeship
Agencies(SACs) and other State/Federal agencies concerned with
apprenticeship/training needs; to community organizations such as the
Urban League, and the 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 social security number of the
apprentice/trainee by program type.
Safeguards:
Two levels of individual passwords for entry to the system.
Locked computer room. Manual system: Locked file cabinet. During work
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:
Administrator, Office of Apprenticeship Training, Employer and
Labor Services (OATELS), Bureau of Apprenticeship and Training,
Employment and Training Administration, Frances Perkins Building, 200
Constitution Avenue, NW, 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 Administrator, Office of
Apprenticeship Training, Employer and Labor Services (OATELS), Bureau
of Apprenticeship and Training (BAT), Employment and Training
Administration, Frances Perkins Building, 200 Constitution Avenue,
NW, Washington, DC 20210. The following information is needed for
records to be located:
a. Full Name
b. Date of Birth
Record access procedures:
Individuals can request access to any record pertaining to
himself/herself by mailing a request to the Administrator 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
Administrator 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:
None.
DOL/ETA-7
System name:
Employer Application and Attestation File for Permanent and
Temporary Alien Workers.
Security classification:
None.
System location:
ETA, Office of Workforce Security (OWS), Division of Foreign
Labor Certifications, Frances Perkins Building, 200 Constitution
Avenue, NW, Washington, DC 20210; 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) and (n), 1182(a)(5)(a),
1188, and 1288. Section 122 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 or their
representatives, if requested, to review ETA actions in connection
with appeals of denials before the Office of Administrative Law
Judges and Federal Courts; to participating agencies such as the DOL
Office of Inspector General, Employment Standards Administration,
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 consjmer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Manual and/or computerized files are stored in the national
office, and each of the ETA Regional Offices.
Retrievability:
Records are maintained on all applications for alien employment
certification labor condition applications, and labor attestations
filed by case number and 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 destruction after three additional years.
System manager(s) and address:
Chief, Division of Foreign Labor Certifications, U.S. Office of
Workforce Security, ETA, 200 Constitution Avenue, NW, Washington, DC
20210, and each Regional Administrator or Associate Regional
Administrator of the ETA in the Regional Offices.
Notification procedure:
Inquiries concerning this system can be directed to the System
Manager listed above. The appropriate addresses for the 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 appropriate System Manager listed above.
Contesting record procedures:
Individuals wanting to contest or amend information maintained in
this system should direct their written request to the appropriate
System Manager listed 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 Student Pay, Allotment and Management Information
System (SPAMIS).
Security classification:
Unclassified.
System location:
Job Corps Data Center (JCDC), Building 5159, 205 6th Street, San
Marcos, Texas 78666 (and Job Corps Centers).
Categories of individuals covered by the system:
Job Corps students and Job Corps terminees.
Categories of records in the system:
Personal information about the student: Pre-enrollment status,
number of months enrolled in school, home address, family status and
income; 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 separation from the
Program.
Authority for maintenance of the system:
Subtitle C of Title I of the Workforce Investment Act of 1998, 29
U.S.C. 2882 et seq.
Purpose(s):
These records are maintained to pay students and track student
academic and vocational outcomes and achievements. This information
is used for reporting center/contractor performance that includes
enrollment information, performance outcomes while enrolled and
placement information after separation.
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 when
relevant, necessary and appropriate:
(1) To disclose photographs and student identities to the news
media for the purpose of promoting the merits of the program.
(2) To disclose information of a student's academic and
vocational achievement and general biographical information, to
placement and welfare agencies, respective employers, school or
training institutions to assist in the employment of a student.
Categories of users:
(1) Job Corps Center staff and operators/contractors;
(2) Outreach, Admissions and Placement staff and contractors;
(3) Support Contractors;
(4) Federal staff at the regional and national levels; and
Note: Selective Service System to ensure that males over 18 years
of age are registered.
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 or name and center enrolled.
Safeguards:
Access to files is limited to designated data processing staff
(programmers/analysts) and is restricted by User ID and Passwords.
Tape backups to these files are temporarily stored in a physically
secure vault in a secure building. Later these backup tape files are
transferred to a physically secure off site climate controlled
records storage area.
Retention and disposal:
During enrollment, the official record of Job Corps students is
maintained in the student record section of the center of enrollment.
The official record copy of these documents is filed in the
Terminated Students Record folders, which are maintained at the Job
Corps Center where a student was enrolled for at least three (3) but
no more than four (4) years after termination. After this, the
records are retired to the Regional Federal Records Center where they
are kept 75 years.
System manager(s) and address:
Director, Office of Job Corps U.S. Department of Labor,
Employment and Training Administration, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Letter to System Manager in accordance with 29 CFR Part 71,
giving the following information about the Job Corps student or
terminee:
Full Name, Social Security Number (if available), Job Corps
center at which enrolled (if available), dates of enrollment and
separation, if known.
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 desiring to contest or amend information maintained
in this system should direct their written request to the System
Manager 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:
Job Corps students, Outreach, Admissions and Placement
Contractors; Support Contractors, and 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 Policy and Research (OPR), ETA.
Categories of individuals covered by the system:
Participants in programs of the Job Training Partnership Act
(JTPA), Workforce Investment Act (WIA) 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:
Job Training Partnership Act, Title IV; Workforce Investment Act
of 1998, secs. 156, 171, and 172; Social Security Act, secs. 441 and
908. (29 U.S.C. 1731-1735; 29 U.S.C. 2856, 2916, and 2917; 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 name or social security number, and by a
variety of 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 for one to five years, then the identifiers are
destroyed. After the conclusion of the studies the records are
retired to the Federal Records Center and are destroyed after being
retained by the Records Center for 20 years.
System manager(s) and address:
Administrator, Office of Policy and Research, Employment and
Training Administration, Frances Perkins Building, 200 Constitution
Ave., NW, Washington, DC 20210.
Notification procedure:
Address inquiries to the Administrator, Office of Policy and
Research, 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 System
Manager indicated in the notification procedures section above.
Individuals requesting access to records must comply with the
Department'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 System Manager 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:
Special Program Services Unit, Employment and Training
Administration, Frances Perkins Building, 200 Constitution Ave., NW,
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, who are alleged violators of ETA laws
and regulations.
Categories of records in the system:
Reports of alleged and confirmed 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. 1501
et seq.); Workforce Investment Act, 29 U.S.C. 2801 et seq.
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 disclose pertinent information to states,
Workforce Investment Boards, and other DOL-funded grantees 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 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:
Administrator, Office of Financial and Administrative Management,
200 Constitution Ave., NW, Washington, DC 20210; and each Regional
Administrator or Associate Regional Administrator of the ETA in the
regional offices.
Notification procedure:
Inquiries concerning this system can be directed to: System
Manager, U.S. Department of Labor, Employment and Training
Administration, Office of Financial and Administrative Management,
200 Constitution Avenue, NW, Washington, DC 20210 or to the
appropriate ETA Regional Administrator or Associate Regional
Administrator in the regional cities listed in the Appendix to 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 appropriate System
Manager 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
appropriate System Manager 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:
Individuals, program sponsors, contractors, grantees,
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, Bondee 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 Employment 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:
Job Training Partnership Act, Title IV, Part D (29 U.S.C. 1731-
1735); and the Workforce Investment Act of 1998(WIA)(29 U.S.C. 2801
et seq.).
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 universal 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; The Punch
Card Processing Co. keeps master DOS of all bondees prior to 1980.
System manager(s) and address:
Administrator, Office of Policy Research, 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 System 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-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 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 maintained to document
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 name and 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 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 shredding.
System manager(s) and address:
Administrator, Office of Financial and Administrative
Management, 200 Constitution Ave., NW, Washington, DC 20210, and each
Regional Administrator or Associate Regional Administrator in the
Employment and Training Administration regional offices.
Notification procedure:
Inquiries concerning this system can be directed to the
Administrator, Office of Financial and Administrative Management, at
the address listed above under ``System Manager(s) and Address'', or
to the appropriate Regional Administrator or Associate 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 System Manager 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 System Manager 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
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-24
System name:
Contracting and Grant Officer Files.
Security classification:
None.
System location:
Employment and Training Administration, Office of Grants and
Contracts Management, Office of Financial and Administrative
Services, and Assistant Secretary for Administration and Management,
Division of Federal Assistance and Contract Services, 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 records maintained int he system, including
categories of records 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.
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 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 Federal Assistance, U.S. Department of Labor,
ETA, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
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/grant 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 of the Unemployment
Compensation System.
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 (Employee) records, Employer
contribution records, and Employee wage records.
Authority for maintenance of the system:
Social Security Act, Sections 303(a)(1), 303(a)(6), and 906, (42
U.S.C. 503(a)(1), 503(a)(6), 902, 1106); 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 individual's entitlement to
unemployment compensation.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 records obtained
from the State are returned to the State from which they were
obtained, or maintained by ETA without potentially identifying
information.
System manager(s) and address:
Administrator, Office of Workforce Security (OWS), Employment and
Training Administration, Frances Perkins Building, 200 Constitution
Avenue, NW, Washington, DC 20210.
Notification procedure:
Address inquiries to the Administrator, Office of Workforce
Security, 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); and
enrollees who have completed programs/services under the Workforce
Investment Act of 1998, Title I (29 U.S.C. 2801 et seq.).
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)); and the Workforce
Investment Act of (29 U.S.C. 2801 et seq.).
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 name or 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 Workforce Security, Employment and
Training Administration, 200 Constitution Avenue, NW, Washington, DC
20210.
Notification procedure:
Address inquiries to the Administrator, Office of Workforce
Security, 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 exempted from certain provisions of the act:
None.
DOL/ETA-27
System name:
Youth Opportunity Grant Program Information Files.
Security classification:
None.
System location:
Database management contractor's work site.
Categories of individuals covered by the system:
Enrollees in Youth Opportunity Grant programs funded under
Section 169 of the Workforce Investment Act of 1998 (WIA) (29 U.S.C.
2914).
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:
The Workforce Investment Act of 1998 (29 U.S.C. 2801 et seq.)
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 aggregate characteristics of program participants,
program activities and outcomes. These data will be reported at the
national and grantee 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 Youth Opportunity
Grants are providing to their enrollees.
(2) Provide information that will enable the Department to
monitor the program at different levels (nationally, or at the
grantee level) and to provide feedback to localities on their
progress in implementing their grants.
(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 Youth Opportunity Grantees 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 characteristics; Social Security Number,
and geographic site codes.
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. Published tables
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 Youth Services, Employment and Training
Administration, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Address inquiries to the Administrator, Office of Youth Services,
Employment and Training Administration, 200 Constitution Avenue, NW,
Washington, DC 20210.
Record access procedures:
Individuals wishing assess to information contained in this
system should contact the office indicated in the notification
procedure above. Individuals requesting access to files 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, Youth Opportunity Grantees.
System exempted from certain provisions of the act:
None.
DOL/OIG-1
System name:
Investigative Files, Case Tracking System, Analysis, Complaints,
Inspections, and Evaluation Files, USDOL/OIG.
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:
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, trustees, employers, 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, complaints, inspections, and evaluations
which include: Statements and other information from subjects,
targets, witnesses and complainants; 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, disks or compact disks).
Authority for maintenance of the system:
5 U.S.C. App. 3 (IG Act); 5 U.S.C. 8101 et seq. (FECA); Health
Insurance Portability and Accountability Act, Pub. L. 104-191; 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 Act); 29
U.S.C. 101 et seq. (LMRA); 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); 29 U.S.C. 2801 et seq. (Workforce Investment Act
of 1998); 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,
United States Code (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 and the complaints and other information from which
investigations, inspections, and evaluations develop. The OIG
initiates investigations and evaluations of individuals, inspections
and evaluations of entities and programs, maintains information
received and developed in this system during the time the
investigation, inspection or evaluation is performed, and after each
investigation, inspection or evaluation is completed. This system is
the repository of all information developed during the course of
investigations, inspections, and evaluations. OIG also receives many
complaints via its Hotline and other sources. These complaints are
reviewed for investigative merit and can be referred for a full
investigation, for program agency action, or no action.
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 administrative and
whether arising by general statute or particular program statute, or
by regulation, rule or order issued pursuant thereto, may be
disclosed as a routine use, to the appropriate federal, foreign,
state or local agency or professional organization charged with the
responsibility of investigating or prosecuting such violation or
charged with enforcing or implementing or investigating or
prosecuting such violation or charged with enforcing or implementing
the statute or rule, regulation or order issued pursuant thereto.
B. Introduction to a grand jury. A record from a system of
records may be disclosed, as a routine use, to a grand jury agent
pursuant either to a federal or state grand jury subpoena or to a
prosecution request that such record be released for the purpose of
its introduction to a grand jury.
C. Referral to federal, state, local or professional licensing
boards. A record from a system of records may be disclosed, as a
routine use, to any governmental, professional or licensing authority
when such record reflects on qualifications, either moral,
educational or vocational, of an individual seeking to be licensed or
to maintain a license.
D. Disclosure to contractor, grantee or other direct or indirect
recipient of federal funds to allow such entity to effect corrective
action in the 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 inadequacies
with a recipient's personnel, and disclosure of the record is made to
permit a recipient to take corrective action beneficial to the
Government.
E. Disclosure to any source, either private or governmental, to
the extent necessary to solicit information relevant to any
investigation, audit, or evaluation. A record from a system of
records may be disclosed, as a routine use, to any source, either
private or governmental, to the extent necessary to secure from such
source information relevant to and sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or foreign governmental agencies
for personnel or other action. A record from a system of records may
be disclosed, as a routine use, to a federal, state, local, foreign
or international agency, for their use in connection with such
entity's assignment, hiring or retention of an individual, issuance
of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
G. Disclosure to a board of contract appeals, GAO or any other
entity hearing a contractor protest or dispute. A record from a
system of records may be disclosed, as a routine use, to the United
States General Accounting Office, to a board of contract appeals, or
to the Court of Federal Claims in bid protest cases or contract
dispute cases involving procurement.
H. Disclosure to domestic or foreign governmental law enforcement
agency in order to obtain information relevant to an OIG or DOL
decision. A record from a system of records may be disclosed, as a
routine use, to a domestic or foreign governmental agency maintaining
civil, criminal or other relevant information, in order to obtain
information relevant to an OIG or DOL decision concerning the
assignment, hiring, or retention of an individual, the issuance of a
security clearance, the letting of a contract, or the issuance of a
license, grant, or other benefit, or which may be relevant to an OIG
or DOL investigation, audit, or evaluation.
I. Disclosure to OMB or DOJ regarding Freedom of Information Act
and Privacy Act advice. Information from a system of records may be
disclosed, as a routine use, to the Office of Management and Budget
or the Department of Justice in order to obtain advice regarding
statutory and other requirements under the Freedom of Information Act
or Privacy Act.
J. Disclosure pursuant to the receipt of a valid subpoena. A
record from a system of records may be disclosed, as a routine use,
in response to a facially valid subpoena for the record. Disclosure
may also be made when a subpoena or order is signed by a judge from a
court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in pursuance of an ex parte
court order to obtain taxpayer information from the IRS. A record
from a system of records may be disclosed, as a routine use, to the
Department of Treasury and the Department of Justice when the OIG
seeks an ex parte court order to obtain taxpayer information from the
Internal Revenue Service.
L. Disclosure to a consumer reporting agency in order to obtain
relevant investigatory information. A record from a system of records
may be disclosed, as a routine use, to a ``consumer reporting
agency'' as that term is defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)) and the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)), for the purposes of obtaining information in the
course of an investigation, audit, or evaluations.
M. Disclosure in accordance with computer matching guidelines. A
record may be disclosed to a federal, state, or local agency for use
in computer matching programs to prevent and detect fraud and abuse
in benefit programs administered by those agencies, to support civil
and criminal law enforcement activities of those agencies and their
components, and to collect debts and overpayments owed to the
agencies and their components. This routine use does not provide
unrestricted access to records for such law enforcement and related
anti-fraud activities; each request for disclosure will be considered
in light of the applicable legal and administrative requirements for
the performance of a computer matching program or procedure.
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, 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. Automated
records are retrieved by case number, case name, subject, cross
referenced item 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 be accessed only through use of
confidential procedures and passwords.
Retention and disposal:
Closed files relating to a specific investigation are destroyed
after ten years. Closed files containing information of an
investigative nature but not relating to a specific investigation are
destroyed after five years. Closed inspection and evaluation case
files are destroyed after five years.
System manager(s) and address:
Assistant Inspector General for Investigations and the Assistant
Inspector General for Communications, Inspections, and Evaluations,
Office of Inspector General, U.S. Department of Labor, 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 part 71.
Record access procedures:
Individuals can request access to any record pertaining to him/
her by mailing a request to the Disclosure Officer listed above and
in accordance with 29 CFR part 71.
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 part 71.
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, other law
enforcement organizations, 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 follows:
(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, 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.
DOL/OIG-2
System name:
Freedom of Information/Privacy Act 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 71.
Purpose(s):
This system of records is maintained in order to reflect,
accurately, the identity of requesters, 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 federal, state, local or professional licensing
boards. A record from a system of records may be disclosed, as a
routine use, to any governmental, professional or licensing authority
when such record reflects on qualifications, either moral,
educational or vocational, of an individual seeking to be licensed or
to maintain a license.
D. Disclosure to contractor, grantee or other 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.
E. Disclosure to any source, either private or governmental, to
the extent necessary to solicit information relevant to any
investigation, audit or inspection. A record from a system of records
may be disclosed, as a routine use, to any source, either private or
governmental, to the extent necessary to secure from such source
information relevant to and sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or foreign governmental agencies
for personnel or other action. A record from a system of records may
be disclosed, as a routine use, to a federal, state, local, foreign
or international agency, for their use in connection with such
entity's assignment, hiring or retention of an individual, issuance
of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
G. Disclosure to a board of contract appeals, GAO or any other
entity hearing a contractor protest or dispute. A record from a
system of records may be disclosed, as a routine use, to the United
States General Accounting Office, to a board of contract appeals, or
to the claims court in bid protest cases or contract dispute cases
involving procurement.
H. Disclosure to domestic or foreign governmental law enforcement
agency in order to obtain information relevant to an OIG or DOL
decision. A record from a system of records may be disclosed, as a
routine use, to a domestic or foreign governmental agency maintaining
civil, criminal or other relevant 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 evaluation.
I. Disclosure to OMB or DOJ regarding Freedom of Information Act
and Privacy Act advice. Information from a system of records may be
disclosed, as a routine use, to the Office of Management and Budget
or the Department of Justice in order to obtain advice regarding
statutory and other requirements under the Freedom of Information Act
or Privacy Act.
J. Disclosure pursuant to the receipt of a valid subpoena. A
record from a system of records may be disclosed, as a routine use,
in response to a facially valid subpoena for the record. Disclosure
may also be made when a subpoena or order is signed by a judge from a
court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in pursuance of an ex parte
court order to obtain taxpayer information from the IRS. A record
from a system of records may be disclosed, as a routine use, to the
Department of Treasury and the Department of Justice when the OIG
seeks an ex parte court order to obtain taxpayer information from the
Internal Revenue Service.
L. Disclosure to a consumer reporting agency in order to obtain
relevant investigatory information. A record from a system of records
may be disclosed, as a routine use, to a ``consumer reporting
agency'' as that term is defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)) and the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)), for the purposes of obtaining information in the
course of an investigation, audit, or evaluation.
M. Disclosure in accordance with computer matching laws,
regulations and/or guidelines. A record may be disclosed to a
federal, state, or local agency for use in computer matching programs
to prevent and detect fraud and abuse in benefit programs
administered by those agencies, to support civil and criminal law
enforcement activities of those agencies and their components, and to
collect debts and overpayments owed to the agencies and their
components. This routine use does not provide unrestricted access to
records for such law enforcement and related anti-fraud activities;
each request for disclosure will be considered in light the
applicable legal and administrative requirements for the performance
of a computer matching program or procedure.
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, 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 part 71.
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
29 CFR 71.2.
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 71.9.
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:
Investigative Case Files, Case Development and Intelligence
Records.
Security classification:
Not applicable.
System location:
Office of Inspector General, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210 and in the OIG regional
and field offices.
Categories of individuals covered by the system:
Individuals or entities known or suspected of being involved in
or associated with criminal activity, labor racketeering, or other
violation of law or regulation and associates of those individuals.
Categories of records in the system:
The system of records contains materials related to criminal and
civil investigations, intelligence and other background information
based on reasonable suspicion of criminal activity; statements and
other material from subjects and witnesses; information from
government investigatory or law enforcement organizations and
projects (federal, state, local or international); investigative
notes and reports; summary information for indexing and cross-
referencing; other evidence and background materials existing in any
form (e.g. audio or video tape, photographs, computer tapes or
disks).
Authority for maintenance of the system:
5 U.S.C. App 3; the Act of March 4, 1913 (37 Stat. 736) 29 U.S.C.
551; Secretary's Order 2-90, dated January 31, 1990 concerning the
authorization and organization of the Office of Inspector General at
the Department; and the Omnibus Crime Control Act of 1984; and 28 CFR
23.1.
Purpose(s):
This system of records is maintained as a repository for: (1)
Records created as a result of targeting, surveys and projects for
the development of cases and investigations for the Office of
Investigations and for the Office of Labor Racketeering; (2)
intelligence information concerning individuals identified as
potential violators of criminal, labor and labor-related laws and
other individuals associated with them; and (3) for other research
and analysis to share with other law enforcement organizations if in
compliance with 28 CFR 23.1.
Routine uses of records maintained in the System Including
categories of users and the purposes of such uses:
A. Referral to federal, state, local and foreign investigative
and/or prosecutive authorities. A record from a system of records,
which indicates either by itself or in combination with other
information within the agency's possession a violation or potential
violation of law, whether civil, criminal or regulatory and whether
arising by general statute or particular program statute, or by
regulation, rule or order issued pursuant thereto, may be disclosed
as a routine use, to the appropriate federal, foreign, state or local
agency or professional organization charged with the responsibility
of investigating or prosecuting such violation or charged with
enforcing or implementing or investigating or prosecuting such
violation or charged with enforcing or implementing the statute or
rule, regulation or order issued pursuant thereto.
B. Introduction to a grand jury. A record from a system of
records may be disclosed, as a routine use, to a grand jury agent
pursuant either to a federal or state grand jury subpoena or to a
prosecution request that such record be released for the purpose of
its introduction to a grand jury.
C. Referral to federal, state, local or professional licensing
boards. A record from a system of records may be disclosed, as a
routine use, to any governmental, professional or licensing authority
when such record reflects on qualifications, either moral,
educational or vocational, of an individual seeking to be licensed or
to maintain a license.
D. Disclosure to contractor, grantee or other indirect recipient
of federal funds to allow such entity to effect corrective action in
agency's best interest. A record from a system of records may be
disclosed, as a routine use, to any direct or indirect recipient of
federal funds where such record reflects serious inadequacies with a
recipient's personnel, and disclosure of the record is made to permit
a recipient to take corrective action beneficial to the Government.
E. Disclosure to any source, either private or governmental, to
the extent necessary to solicit information relevant to any
investigation, audit or inspection. A record from a system of records
may be disclosed, as a routine use, to any source, either private or
governmental, to the extent necessary to secure from such source
information relevant to and sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or foreign governmental agencies
for personnel or other action. A record from a system of records may
be disclosed, as a routine use, to a federal, state, local, foreign
or international agency, for their use in connection with such
entity's assignment, hiring or retention of an individual, issuance
of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
G. Disclosure to a board of contract appeals, GAO or any other
entity hearing a contractor protest or dispute. A record from a
system of records may be disclosed, as a routine use, to the United
States General Accounting Office, to a board of contract appeals, or
to the claims court in bid protest cases or contract dispute cases
involving procurement.
H. Disclosure to domestic or foreign governmental law enforcement
agency in order to obtain information relevant to an OIG or DOL
decision. A record from a system of records may be disclosed, as a
routine use, to a domestic or foreign governmental agency maintaining
civil, criminal or other relevant enforcement information, or other
pertinent information, in order to obtain information relevant to an
OIG or DOL decision concerning the assignment, hiring, or retention
of an individual, the issuance of a security clearance, the letting
of a contract, or the issuance of a license, grant, or other benefit,
or which may be relevant to an OIG or DOL investigation, audit, or
evaluation.
I. Disclosure to OMB or DOJ regarding Freedom of Information Act
and Privacy Act advice. Information from a system of records may be
disclosed, as a routine use, to the Office of Management and Budget
or the Department of Justice in order to obtain advice regarding
statutory or other requirements under the Freedom of Information Act
or Privacy Act.
J. Disclosure pursuant to the receipt of a valid subpoena. A
record from a system of records may be disclosed, as a routine use,
in response to a facially valid subpoena for the record. Disclosure
may also be made when a subpoena or order is signed by a judge from a
court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in pursuance of an ex parte
court order to obtain taxpayer information from the IRS. A record
from a system of records may be disclosed, as a routine use, to the
Department of Treasury and the Department of Justice when the OIG
seeks an ex parte court order to obtain taxpayer information from the
Internal Revenue Service.
L. Disclosure to a consumer reporting agency in order to obtain
relevant investigatory information. A record from a system of records
may be disclosed, as a routine use, to a ``consumer reporting
agency'' as that term is defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)) and the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)), for the purposes of obtaining information in the
course of an investigation, audit, or evaluation.
M. Disclosure in accordance with computer matching laws,
regulations and/or guidelines. A record may be disclosed to a
federal, state, or local agency for use in computer matching programs
to prevent and detect fraud and abuse in benefit programs
administered by those agencies, to support civil and criminal law
enforcement activities of those agencies and their components, and to
collect debts and overpayments owed to the agencies and their
components. This routine use does not provide unrestricted access to
records for such law enforcement and related anti-fraud activities;
each request for disclosure will be considered in light of the
applicable legal and administrative requirements for the performance
of a computer matching program or procedure.
N. Disclosure to members of the President's Council on Integrity
and Efficiency, for the preparation of reports to the President and
Congress on the activities of the Inspectors General.
O. Disclosure to members of the President's Council on Integrity
and Efficiency, the Department of Justice, the Federal Bureau of
Investigation, or the U.S. Marshals Service, as necessary, for the
purpose of conducting qualitative assessment reviews of the
investigative operations of the DOL OIG to ensure that adequate
internal safeguards and management procedures are maintained.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, and
disposing of records in the system:
Storage:
The records are stored on a variety of mediums including paper,
magnetic tapes or discs, and/or optical digital data discs.
Retrievability:
Retrievable by name of individual subject, other personal
identifiers and other non-personal elements.
Safeguards:
Available on an official need-to-know basis and kept in locked
storage when not in use. Offices containing records are restricted to
authorized personnel only. Any automated data can only be accessed by
a password from an authorized user. Computer terminals with access
are away from general staff and housed in locked offices.
Retention and disposal:
Closed Labor Racketeering case files are retired to the Federal
Records Center and retained for 20 years. All other cases are
destroyed 10 years after the files are closed. Intelligence
information maintained in electronic files are reviewed every 5 years
for relevance and importance. Information deemed obsolete or
otherwise unreliable is deleted after 5 years. Electronic information
for which accuracy of information and reliability of source cannot be
confirmed is deleted after 1 year. Electronic Information collected
for which reliability of source and reasonable suspicion of criminal
activity has been confirmed and linked to long term, known organized
crime activity can be kept in excess of 5 years. All records are
destroyed 20 years after cut off date.
System manager(s) and address:
Assistant Inspector General for Investigations, OIG/DOL, 200
Constitution Avenue, NW., Washington, DC 20210.
Notification procedure:
Inquiries concerning this system can be directed to: Disclosure
Officer, OIG, 200 Constitution Avenue, NW, Washington, DC 20210.
Inquiries must comply with the requirements in 29 CFR part 71.
Record access procedure:
Individuals can request access to any record pertaining to him/
her by mailing a request to the Disclosure Officer listed above and
in accordance with 29 CFR 71.2.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in the system should direct their request to the Disclosure Officer
listed in 29 CFR Part 71. In addition, the request should state
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment sought for the
information. See 29 CFR part 71.
Systems exempted from certain provisions of the act:
The Secretary of Labor has promulgated regulations which exempt
information contained in this system of records from various
provisions of the Privacy Act depending upon the purpose for which
the information was gathered and for which it will be used. The
various law enforcement purposes and the reasons for the exemptions
are as follow:
(a) Criminal Law Enforcement: Information compiled for this
purpose is exempt from all of the provisions of the Act except the
following sections: (b), (c)(1) and (2), (e)(4)(A) through (F),
(e)(6), (7), (9), (10), and (11), and (i). This material is exempt
because the disclosure and other requirements of the Act would
substantially compromise the efficacy and integrity of OIG operations
in a number of ways. Indeed, disclosure of even the existence of
these files would be problematic.
Disclosure could enable suspects to take action to prevent
detection of criminal activities, conceal evidence, or escape
prosecution. Required disclosure of information contained in this
system could lead to the intimidation of, or harm to, informants,
witnesses and their respective families or OIG personnel and their
families.
Disclosure could invade the privacy of individuals other than
subjects and disclose their identity when confidentiality was
promised to them. Disclosures from these files could interfere with
the integrity of other information which would otherwise be
privileged, see, e.g., 5 U.S.C. 552(b)(5) and which could interfere
with other important law enforcement concerns, see, e.g., 5 U.S.C.
552(b)(7).
The requirement that only relevant and necessary information be
included in a criminal investigative file is contrary to good
investigative practices which require a full and complete inquiry and
exhaustion of all potential sources of information. 5 U.S.C.
552a(e)(1). Similarly, maintaining only those records which are
accurate, relevant, timely and complete and which assure fairness in
a determination is contrary to established investigative techniques.
5 U.S.C. 552a(e)(5). Requiring investigators to obtain information to
the greatest extent practicable directly from the subject individual
would be counterproductive to performance of a clandestine criminal
investigation. 5 U.S.C. 552a(e)(2). Finally, providing notice to an
individual interviewed of the authority of the interviewer, the
purpose to which the information provided may be used, the routine
uses of that information and the effect upon the individual should he
choose not to provide the information sought could discourage the
free flow of information in a criminal law enforcement inquiry. 5
U.S.C. 552a(e)(3).
(b) Other Law Enforcement: In accordance with 5 U.S.C.
552a(k)(2), investigatory material compiled for law enforcement
purposes (to the extent it is not already exempted by 5 U.S.C.
552a(j)(2)), is exempted from the following provisions of the ACT:
(c)(3), (d), (e)(1), (e)(4)(G), (H), (I) and (f). This material is
exempt because the disclosure and other requirements of the act could
substantially compromise the efficacy and integrity of OIG
operations. Disclosure could invade the privacy of other individuals
and disclose their identity when they were expressly promised
confidentiality.
Disclosure could interfere with the integrity of information
which would otherwise be subject to privileges, see, e.g., 5 U.S.C.
552(b)(5), and which could interfere with other important law
enforcement concerns. See, e.g., 5 U.S.C. 552(b)(7).
DOL/OIG-5
System name:
Audit Information, Tracking and Reporting System US DOL/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, 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/project/report number, program, findings, results, etc.);
(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.
Secretary's Order 2-90 dated January 31, 1990 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 audit projects 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 federal, state, local or professional licensing
boards. A record from a system of records may be disclosed, as a
routine use, to any governmental, professional or licensing authority
when such record reflects on qualifications, either moral,
educational or vocational, of an individual seeking to be licensed or
to maintain a license.
D. Disclosure to contractor, grantee or other direct recipient of
federal funds to allow such entity to effect corrective action in the
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 inadequacies with a
recipient's personnel, and disclosure of the record is made to permit
a recipient to take corrective action beneficial to the Government.
E. Disclosure to any source, either private or governmental, to
the extent necessary to solicit information relevant to any
investigation, audit or evaluation. A record from a system of records
may be disclosed, as a routine use, to any source, either private or
governmental, to the extent necessary to secure from such source
information relevant to and sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or foreign governmental agencies
for personnel or other action. A record from a system of records may
be disclosed, as a routine use, to a federal, state, local, foreign
or international agency, for their use in connection with such
entity's assignment, hiring or retention of an individual, issuance
of a security clearance, reporting of an investigation of an
individual, letting of a contract or issuance of a license, grant or
other benefit, to the extent that the information is relevant and
necessary to such agency's decision on the matter.
G. Disclosure to a board of contract appeals, GAO or any other
entity hearing a contractor protest or dispute. A record from a
system of records may be disclosed, as a routine use, to the United
States General Accounting Office, to a board of contract appeals, or
to the claims court in bid protest cases or contract dispute cases
involving procurement.
H. Disclosure to domestic or foreign governmental law enforcement
agency in order to obtain information relevant to an OIG or DOL
decision. A record from a system of records may be disclosed, as a
routine use, to a domestic or foreign governmental agency maintaining
civil, criminal or other relevant 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 evaluation.
I. Disclosure to OMB or DOJ regarding Freedom of Information Act
and Privacy Act advice. Information from a system of records may be
disclosed, as a routine use, to the Office of Management and Budget
or the Department of Justice in order to obtain advice regarding
statutory and other requirements under the Freedom of Information Act
or Privacy Act.
J. Disclosure pursuant to the receipt of a valid subpoena. A
record from a system of records may be disclosed, as a routine use,
in response to a facially valid subpoena for the record. Disclosure
may also be made when a subpoena or order is signed by a judge from a
court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in pursuance of an ex parte
court order to obtain taxpayer information from the IRS. A record
from a system of records may be disclosed, as a routine use, to the
Department of Treasury and the Department of Justice when the OIG
seeks an ex parte court order to obtain taxpayer information from the
Internal Revenue Service.
L. Disclosure to a consumer reporting agency in order to obtain
relevant investigatory information. A record from a system of records
may be disclosed, as a routine use, to a ``consumer reporting
agency'' as that term is defined in the Fair Credit Reporting Act (15
U.S.C. 1681a(f)) and the Federal Claims Collection Act of 1966 (31
U.S.C. 3701(a)(3)), for the purposes of obtaining information in the
course of an investigation, audit, or evaluation.
M. Disclosure in accordance with computer matching laws,
regulations and/or guidelines. A record may be disclosed to a
federal, state, or local agency for use in computer matching programs
to prevent and detect fraud and abuse in benefit programs
administered by those agencies, to support civil and criminal law
enforcement activities of those agencies and their components, and to
collect debts and overpayments owed to the agencies and their
components. This routine use does not provide unrestricted access to
records for such law enforcement and related anti-fraud activities;
each request for disclosure will be considered in light of the
applicable legal and administrative requirements for the performance
of a computer matching program or procedure.
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,
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:
Closed files are destroyed after three years.
System manager(s) and address:
Assistant Inspector General for Audit, 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 part 71.
Record source categories:
Official personnel folders; other personnel documents, activity
supervisors, audit/investigation report standard forms.
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), 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.
DOL/ILAB-1
System name:
Arbitrators/Experts/Consultant Candidates' Biographies.
Security classification:
None.
System location:
U.S. National Administrative Office, U.S. Department of Labor,
Bureau of International Labor Affairs, 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, Washington, DC
20210.
Notification procedures:
Individuals wishing to gain access to 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 71.2.
Contesting recORDS PROCEDURES:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of 29 CFR 71.9.
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/MSHA-1
System name:
Coal and Metal and Nonmetal Mine Accident, Injury, and Illness.
Security classification:
Unclassified.
System location:
Department of Labor, Mine Safety and Health Administration,
Program Evaluation and Information Resources, 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):
To maintain data to provide MSHA timely information for making
decisions on improving safety and health programs, improving
education and training efforts, and establishing priorities in
technical assistance activities in the mining industry. 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the general
prefatory statement, disclosures may be made to a federal agency
which has requested information relevant or necessary to research for
mine safety and health under appropriate security procedures.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual--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 the last four digits of the
social security number of individual(s) involved.
Safeguards:
Computer safeguards and procedures developed by MSHA under GSA
Circular E-34. Appropriate reports are marked with the Privacy Act
warning. Only authorized personnel have access to files.
Retention and disposal:
MSHA Forms 7000-1, Mine Accident, Injury, and Illness Report, are
retained for 6 years after year of record and then destroyed.
Microfiche copies of these documents are retained by the Office of
Injury and Employment Information permanently. Records in magnetic
media are transferred to NARA as permanent records immediately after
each annual close-out.
System manager(s) and address:
Chief, Office of Injury and Employment Information, Program
Evaluation and Information Resources, 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. 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. Signature
Record source categories:
Mine operators including independent contractors.
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 the Appendix for addresses.)
Categories of individuals covered by the system:
Metal and Nonmetal enforcement personnel and key officials who
conduct inspection/investigation activities at surface and
underground mines.
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
non-identified 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. 557a, 668; 30 U.S.C. 811, 813, 814.
Purpose(s):
Records are maintained in order to (a) determine workload, work
scheduling and performance of mine inspection personnel; (b) maintain
records on violations of health and safety standards and regulations;
(c) determine contaminant exposure level; and (d) maintain employment
data at metal and nonmetal mines, e.g. number or workers, etc.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure may be made (a) to
the National Institute of Occupational Safety and Health and the
Environmental Protection Agency to determine contaminant exposure
levels; (b) to state agencies to maintain records on violations of
health and safety standards and regulations, as well as to determine
contaminant exposure levels; (c) to unions and company officials to
determine contaminant exposure levels; (d) to individuals requesting
information on mines or mine exposure.
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 MSHA personnel.
Safeguards:
Computer safeguards and procedures developed by MSHA under GSA
Circular E-34. Manual-Locked file cabinets. During working hours
records are accessible only to authorized personnel.
Retention and disposal:
Computer databases are updated from source documents daily,
weekly and monthly. The active computer database contains data for
the most recent 5 years. This data is transferred to the historical
database when it is 5 years old. The historical database is retained
indefinitely.
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 as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Date of birth
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. Date of birth
c. Signature
Record source categories:
MSHA inspection personnel and individual mine operators.
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 all Coal
and Metal and Nonmetal Mine Safety and Health district offices (see
the 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, other identifying data, and
allegation information concerning complainants, mine operators,
witnesses, and third party sources. 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):
Records are maintained to determine validity and gravity of
allegations and the amount of civil penalty assessment.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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:
Records are retrieved by case number; complainant's/respondent's
name; company name; mine name, identification number (I.D.), or
address.
Safeguards:
Maintained in locked file cabinets and secured 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 except
for cases involving health issues. For those cases involving health
issues retain for 3 years, then transferred to a Federal Records
Center where they are retained for 27 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 appropriate 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 appropriate System Manager and
describe as specifically as possible the records being sought and
furnish the following information:
a. Full name.
b. Date of birth.
c. Signature.
Contesting record procedures:
Individuals requesting amendment to the record should contact the
appropriate System Manager and furnish the following information:
a. Full name.
b. Date of birth.
c. Signature.
Record source categories:
Individuals alleging discrimination, mine operators, witnesses,
and third party 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/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, miners with evidence of the
development of coal workers' pneumoconiosis (black lung disease) as
defined under 30 CFR part 90 after 1981.
Categories of records in the system:
These records contain data such as the mine identification,
including mine name and company name, mine entity number (specific
location in the mine where samples were taken), occupation and social
security number of individual sampled (pre 1981 date) and of 30 CFR
part 90 miner (after 1980), date sampled, concentration of respirable
dust measured in the miner's work environment, tons of material
produced during sampling shift, and sampling time, and social
security number of the certified person taking the sample.
Authority for maintenance of the system:
30 U.S.C. 813(a), 842.
Purpose(s):
To maintain records to determine compliance with the mandatory
respirable coal mine dust standards.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of relevant records
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 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 magnetic 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 30 CFR
part 90 miners after 1980. This information is available on computer
printouts.
Safeguards:
Access limited to authorized personnel in regard to computerized
data. Sampling data and other 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 30 CFR part
90 miners are kept in regular file cabinets. No other manual records
are identifiable.
Retention and disposal:
Maintain magnetic tapes indefinitely. Transfer to FARC operator/
inspector dust data cards when 3 years old and destroy when 10 years
old.
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 1981 and for
30 CFR 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.
Systems exempted from certain provisions of the act:
None.
DOL/MSHA-15
System name:
Health and Safety Training and Examination Records.
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, State and Federal employees
who have taken MSHA approved training courses to attain skills to
become qualified and certified to complete mining tasks.
Categories of records in the system:
These records contain mine ID number, training course codes,
instructor's name, date of training, name and social security number
of persons who have taken training and examinations to become
qualified and/or certified.
Authority for maintenance of the system:
30 U.S.C. 825, 877(i), 952.
Purpose(s):
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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made (a) to mine operators requesting
information to verify training required by law; (b) to labor
organizations requesting information on training status of its
members; (c) to mine operators' associations which require training
for policy and programming utilization; (d) to appropriate Federal,
State, tribal governments, 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:
Training documents are microfilmed; then, they are entered into
computer files.
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.
(Note: Records have the individual names but do not contain
addresses. The social security number is used by MSHA for retrievals
because the file contains many individuals with the same names, and
there is no way to know which records belong to which individual by
using name only.)
Safeguards:
Computer safeguards and procedures developed by MSHA under GSA
Circular E-34. Reports are marked with the appropriate Privacy Act
warning. During working hours only authorized personnel have access
to files.
Retention and disposal:
Training documents are destroyed when 3 years old. Microfilm is
destroyed when 50 years old.
Computer files are updated as changes occur and used to verify
information.
System manager(s) and address:
Chief, Qualification and Certification Unit, Educational Policy
and Development, PO 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
d. Address
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
e. Address
Record source categories:
Training records are received from instructors, mining industry,
and MSHA training 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) Coal Mine Safety and Health district and field offices.
Categories of individuals covered by the system:
Coal Mine Safety and Health enforcement 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; sampling information; Coal Mine
Safety and Health enforcement personnel; and time utilization for
Coal Mine Safety and Health enforcement personnel.
Authority for maintenance of the system:
29 U.S.C. 557a, 668; 30 U.S.C. 811, 813, 814.
Purpose(s):
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;
(e) information on samples taken by inspectors; and (f) time
utilization for Coal Mine Safety and Health enforcement 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None except for those universal 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: Magnetic tape and disk units.
Retention and disposal:
Inspection reports and related documents are destroyed after 10
years. Other source documents are destroyed when no longer needed.
Active database is retained for 2 complete fiscal years; then moved
to the historical database or magnetic tape. Historical database and
magnetic tapes are retained indefinitely.
Retrievability:
By mine identification number for key mine officials; by
Authorized Representative number, organization number, inspection
event number, and violation number for enforcement personnel.
Safeguards:
Access limited to authorized personnel in regard to computerized
data. Manual records on Coal Mine Safety and Health enforcement
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 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.
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:
Coal Mine Safety and Health personnel submit inspection, time
utilization, violation, sampling, 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, as well as 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 universal 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 records are maintained in manila folders which are stored
in locked file cabinets. Computer records are maintained in a
password controlled, computerized tracking system.
Retrievability:
By name or by file number.
Safeguards:
Maintained in locked file cabinets and password controlled
computer system.
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 records, an individual must provide the request in writing
to the System Manager. It must be as specific as possible and the
following information must be furnished:
a. Full name.
b. Date of birth.
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. Date of birth.
c. Signature.
Record source categories:
Individual employees and officials of MSHA and any others
alleging misconduct.
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-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 all Coal
and Metal and Nonmetal Mine Safety and Health district offices (see
the 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 (Mine
Act) and the Coal Mine Health and Safety Act of 1969 (Coal Act);
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 allegation information of miners, mine operators, and other
individuals. Interviews and other data gathered by the investigator.
Authority for maintenance of the system:
30 U.S.C. 820.
Purpose(s):
Records are maintained 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 universal 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:
Records are filed by case number; agent's name; company name;
mine name, identification number (I.D.) or address.
Safeguards:
Maintained in locked file cabinets and secured 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 except
for cases involving health issues. For those cases involving health
issues retain for 3 years, then transferred to a Federal Records
Center where they are retained for 27 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 as
specifically as possible the records being sought and furnish the
following information:
a. Full name
b. Date of birth
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. Date of birth
c. Signature
Record source categories:
Miners and mine operators, MSHA investigators and other
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.
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.
DOL/MSHA-21
System name:
Assessments and Civil Penalty Debt Collection Activity and
Reporting System
Security classification:
Unclassified.
System location:
Office of Assessments, Civil Penalty Compliance Office, Mine
Safety and Health Administration (MSHA), U.S. Department of Labor,
4015 Wilson Boulevard, Arlington, Virginia 22203.
Categories of individuals covered by the system:
Individuals who were cited for committing violations of the
Federal Mine Safety and Health Act of 1977 (Mine Act) and mandatory
safety and health standards which resulted in their indebtedness to
the United States in the form of a civil penalty.
Categories of records in the system:
Consumer credit reports, Case files, payment installment plans,
bankruptcy case files, Employee Identification Numbers file (EIN),
Treasury cross-servicing files, Treasury offset files, financial
adjustment files, Assessments Management Information System.
Authority for maintenance of the system:
31 U.S.C. 3701, 3711-12, 3716-19, 3720A-E, 7701. (Debt Collection
Improvement Act of 1996); 30 U.S.C. 815 and 820.
Purpose(s):
The system provides information on individuals who are indebted
to the Department of Labor, Mine Safety and Health Administration,
for the purpose of assessing penalties, determining the collection 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:
None, except for those universal 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, computer files on Local Area Network (LAN) and PCS.
Retrievability:
By mine identification number; Employee Identification Number,
Name, MSHA case number, or Social Security Number (SSN).
Safeguards:
Access to computerized data is limited to authorized personnel
through use of encrypted passwords. Manual records in Office of
Assessments are kept in locked file cabinets or restricted areas.
During working hours only authorized personnel have access to files.
Retention and disposal:
Source documents are retained until case is closed and retired to
the appropriate Federal Records Center for 10 years and then
destroyed.
System manager(s) and address:
Director of Assessment, Department of Labor, Mine Safety and
Health Administration, Office of Assessments, 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 records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Signature
Contesting record procedures:
Individuals requesting amendment to the record should contact the
System Manager and furnish the following information:
a. Full name
b. Signature
c. The specific problem
Record source categories:
Information is obtained from Office of Assessments, Civil Penalty
Compliance Office, Credit Reporting Bureaus, Dun and Bradstreet
Reporting, Consumer credit reports, Case files, payment installment
plans, bankruptcy case files, Employee Identification Numbers file
(EIS), Treasury cross-servicing files, Treasury offset files,
financial adjustment files, and the Assessments Management
Information System.
System exempted from certain provisions of the act:
None.
DOL/MSHA-22
System name:
Education Policy and Development; National Mine Health and Safety
Academy Permanent Record Card.
Security classification:
Unclassified.
System location:
Office of the Superintendent, National Mine Health and Safety
Academy, Mine Safety and Health Administration, U.S. Department of
Labor, 1301 Airport Road, Beaver, West Virginia 25813.
Categories of individuals covered by the system:
Mine Safety and Health Administration personnel and other
students receiving training at the Mine Health and Safety Academy.
Categories of records in the system:
Student grade transcripts. (Records reflecting courses and grades
received)
Authority for maintenance of the system:
29 U.S.C. 557(a), 30 U.S.C. 952.
Purpose(s):
To maintain records on Mine Safety and Health inspectors to
assure that proper training is received as required under the Federal
mine Safety and Health Act of 1977, Public Law 91-173, as amended by
Public Law 95-164, Sec. 502 c.(1) (2) (3). Records are used by
students and supervisors to track training and grades.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosures may be made to (1) appropriate Federal, State, local
agencies when students transfer from one agency to another; (2)
colleges that accept training received at the Academy for
transferable credit hours; (3) supervisors of students who request
transcripts on employees to assure that proper training has been
received or completed.
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 Social Security Number or name of the student.
Safeguards:
Manual records on Academy training personnel and students are
kept in locked file cabinets.
Retention and disposal:
Instructor grade sheets are destroyed after 3 years. Academy
Permanent Records Cards (Transcripts) are retained for 50 years and
then destroyed.
System manager(s) and address:
Director for Educational Policy and Development, Mine Safety and
Health, 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 records, write the System Manager and describe
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Address
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. Address
c. Signature
d. The specific problem
Record source categories:
Educational Policy and Development, National Mine Health and
Safety instructors and students.
System exempted from certain provisions of the act:
None.
DOL/MSHA-23
System name:
Education Policy and Development; Education Field Services (EFS)
Activity Reporting System.
Security classification:
Unclassified.
System location:
(1) Office of the Director for Educational Policy and
Development, Mine Safety and Health, U.S. Department of Labor, 4015
Wilson Boulevard, Arlington, Virginia 22203;
(2) Educational Field Services for Educational Policy and
Development, Mine Safety and Health, U.S. Department of Labor,
Airport Road, Beaver, West Virginia;
(3) Educational Field Services for Educational Policy and
Development, Mine Safety and Health, U.S. Department of Labor, P.O.
Box 25367, Denver Federal Center, Denver, Colorado 80225.
Categories of individuals covered by the system:
Educational Policy and Development, Educational Field Services
training personnel.
Categories of records in the system:
Information on mine ID's visited; number of personnel contacted;
activities conducted; time spent on activities; name; AR/RE
Authorized Representative number (AR) or Right of entry number (RE)
number; organization code; and information on time utilization for
Training Specialists.
Authority for maintenance of the system:
29 U.S.C. 557(a)
Purpose(s):
(1) To determine the workload and work scheduling; (2) To assist
in budgeting and staffing of education and training specialists; (3)
To assess training needs of MSHA personnel and industry personnel;
and (4) To assist management in the monitoring of training activities
conducted by EFS Training Specialists.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None except for those universal 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 computer files.
Retrievability:
By mine identification number; Authorized Representative/Right of
Entry Representative number; organization code.
Safeguards:
Access limited to authorized personnel in regard to computerized
data. Manual records on Education Policy and Development training
personnel are kept in locked file cabinets.
Computer safeguards and procedures developed by contractors under
GSA Circular E-34. Reports are marked with a Privacy Act warning.
During working hours only authorized personnel have access to files.
Retention and disposal:
Paper records are destroyed when 3 years old. Computer records
are maintained permanently for historical purposes.
System manager(s) and address:
Director for Educational Policy and Development, Mine Safety and
Health, 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 records, write the System Manager and describe as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. AR/RE number
c. Address
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. AR/RE number
c. Signature
d. The specific problem.
Record source categories:
Educational Policy and Development, Educational Field Services
personnel.
System exempted from certain provisions of the act:
None.
DOL/MSHA-24
System name:
Radon Daughter Exposure.
Security classification:
Unclassified.
System location:
Division of Health, 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.
Categories of individuals covered by the system:
All individuals for whom mine operators were required to
calculate and record radon daughter exposure in the previous calendar
year.
Categories of records in the system:
Mine I.D. number, mine name, section, township, range, county,
and state of mine location, operator, and time period, individual's
name, social security number, current year's radon daughter exposure
and cumulative radon daughter exposure in working level months (WLM).
Authority for maintenance of the system:
30 U.S.C. 811, 961
Purpose(s):
To document exposure of miners to radon daughters, a form of
radiation which has been proven to cause cancer in humans and is well
known as a severe hazard for metal and nonmetal miners. The exposure
limit is an annual limit which requires careful documentation to
ensure that no miner is overexposed.
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:
Manual files.
Retrievability:
By year, mine name, mine operator, and individual name.
Safeguards:
Manual records are kept in locked file cabinets. During working
hours records are accessible only to authorized personnel.
Retention and disposal:
Retained until individual would have turned 75 years old or until
10 years after known death of individual.
System manager(s) and address:
Chief of Health, 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 or a letter signed by the individual or his estate
authorizing the requester to obtain the information. (As per 30 CFR
57.5040 and ANSI N13.8-1973 ``Radiation Protection in Uranium
Mines.'')
Record access procedures:
To see your records, write the System Manager and describe as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Address
c. Signature
Contesting record procedures:
To see your records, write the System Manager and describe as
specifically as possible the records sought and furnish the following
information:
a. Full name
b. Address
c. Signature
Record source categories:
Mine operators.
Systems exempted from certain provisions of the act:
None.
DOL/OSHA-1
System name:
Discrimination Complaint File.
Security classification:
None.
System location:
National and Regional Offices of the Occupational Safety and
Health Administration; see the Appendix to this document.
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. Complainants may file 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. 31105 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.). Complaints are also filed pursuant to those
additional statutes listed below under the category entitled
Authority for Maintenance of the System. Employees who are covered by
the statutes listed below may file complaints alleging discrimination
on the basis of protected activity relating to environmental laws.
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); sec. 405 of the Surface Transportation Assistance
Act (49 U.S.C. 31105); sec. 211 of the Asbestos Hazard Emergency
Response Act (15 U.S.C. 2601 et seq.); sec. 7 of the International
Safe Container Act (46 U.S.C. 1501 et seq.); the Safe Drinking Water
Act (42 U.S.C. 300j-9(i)); the Water Pollution Control Act (33 U.S.C.
1367); the Toxic Substances Control Act (15 U.S.C. 2622); the Wendell
H. Ford Aviation Investment and Reform Act for the 21st Century, 29
U.S.C. 42121; the Solid Waste Disposal Act (42 U.S.C. 6971); the
Clean Air Act (42 U.S.C. 7622); the Comprehensive Environmental
Response, Compensation and Liability Act of 1980 (42 U.S.C. 9610);
and the Energy Reorganization Act of 1974 (42 U.S.C. 5851).
Purpose(s):
The records are used to support investigative materials
discovered or created during investigation of violations of the
health and safety statutes and the environmental statutes listed in
the category in this notice for Authority. 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:
A. With respect to the first four statutes listed under the
Authority category, disclosure of the gravamen of a complaint, as
well as the name of the complainant, may be made to the employer, so
that the complaint can proceed to a resolution.
B. With respect to the eight remaining statutes listed under the
Authority category, disclosure of a copy of the actual written
complaint by the complainant, may be made to the employer so that the
complaint can proceed to a resolution.
C. With respect to complaints under the Energy Reorganization Act
(ERA), disclosure of a copy of the actual written complaint by the
complainant, may be made to the United States Nuclear Regulatory
Agency, as mandated by the ERA.
D. With respect to complaints under the environmental statutes,
disclosure of a copy of the actual written complaint by the
complainant, may be made to the United States Environmental
Protection Agency (EPA), as mandated by this Department's regulation,
29 CFR part 24.
E. With respect to complaints under the Wendell H. Ford Aviation
Investment and Reform Act for the 21st Century, disclosure of a copy
of the actual written complaint by the complainant, may be made to
the Federal Aviation Administration, as is mandated by the Act.
F. All of the above five disclosures are in addition to those
universal 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:
Director of the Office of 11(c) Programs in the National Office
and Regional Administrators at addresses in the Appendix.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the appropriate system location.
Record access procedures:
Individuals wishing to gain access to non-exempt records should
contact the system manager at the appropriate system location.
Contesting record procedures:
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 complainants who filed allegation(s) of discrimination
by employer(s) against employee(s) who have exercised job safety and
health responsibilities; information compiled in connection with
investigations. Also employers, employees and witnesses.
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-6
System name:
Program Activity File.
Security classification:
None.
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 inspections, 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 amount 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 universal 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, 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 procedures:
Individuals wishing to gain access to records should contact the
system manager at the system location listed above.
Contesting record procedures:
Individuals wishing to request amendment of any record 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:
None.
System location:
Regional offices of the Occupational Safety and Health
Administration; see the Appendix 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 universal 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 to another job.
System manager(s) and address:
Regional Administrator at address in the Appendix 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 appropriate system location listed above.
Record access procedures:
Individuals wishing to gain access to records should contact the
system manager at the system location listed above.
Contesting record procedures:
Individuals wishing to request amendment of any records should
contact the system manager at the system location listed above.
Record source categories:
Official personnel folders; certificates of training; individuals
concerned.
Systems exempted from certain provisions of the act:
Not applicable.
DOL/OSHA-10
System name:
OSHA Outreach Training Program.
Security classification:
None.
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:
Authorized OSHA Outreach Training Program trainers.
Categories of records in the system:
Each trainer's file contains the following information: Trainer's
name, title, ID number, company name, address, telephone number, fax
number, and the most recent date the individual completed an OSHA
construction and/or general industry Outreach course. Files also
contain the end date of outreach classes taught by the trainer, the
type of training conducted, and the date that OSHA student course
completion cards were sent to the trainer by OSHA. Manual files
contain documentation submitted by the trainer which includes topics
covered, students taught, and a copy of the letter sent to the
trainer for that class.
Authority for maintenance of the system:
Occupational Safety and Health Act of 1970 (29 U.S.C. 651-678); 5
U.S.C. 501.
Purpose(s):
To maintain, efficiently and accurately, information on OSHA
authorized outreach trainers.
Routine uses of records maintained in the system, including
categories of users and the PURPOSE OF SUCH USES:
None, except for those universal 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 and Automated Data Processing (ADP) Files.
Retrievability:
Records in the manual system of records are retrieved by the date
that the training class was held and by the name of the authorized
OSHA outreach trainer.
Records in the ADP system are retrieved by the name of the OSHA
authorized outreach trainer or by the trainer's system assigned I.D.
number.
Safeguards:
Locked file cabinets for manual files; computer file accessible
through password system available only to authorized OSHA personnel.
Retention and disposal:
Manual system--retained 5 years, then destroyed; ADP system--
retained indefinitely.
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, and date authorized
as trainer should be provided.
Record access procedures:
Individuals wishing to gain access should contact the system
manager at the system location listed above.
Contesting record procedures:
Individuals wishing to request amendment must contact the system
manager at the system location listed above.
Record source categories:
Trainers and any individuals attending any of the OSHA outreach
trainer courses (500, 501, 502, 503).
Systems exempted from certain provisions of the act:
None.
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 the subject of an investigation or a conduct
inquiry.
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 universal 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 the Appendix.
Notification procedure:
Inquiries should be mailed to system managers listed above at
addresses listed in the Appendix.
Record access procedures:
Individuals wishing to gain access to records should contact the
appropriate system manager at the system locations listed in the
Appendix.
Contesting recORD PROCEDURE:
Individuals wishing to request amendment of any non-exempt
records should contact the system manager at the location listed in
the Appendix.
Record source categories:
Hotline complaints received through the Office of the Inspector
General, or through the General Accounting Office; complaints or
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. 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.
Routine uses of records maintained in the system, including
categories of OF users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement of this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing or records in the system:
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
retained on the computer hard disk. Data pre-dating this time will be
backed up on floppy disks and stored 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 the
system location in Des Plaines, Illinois.
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 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 should contact the system manager at the system location
listed above.
Record source categories:
Students.
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 that involve the payment or receipt of funds.
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 obligating documents. Records also
include necessary data to track the receipt of all receivables.
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 and receivables.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 the
Categories of Records in the System category.
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 procedures:
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 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:
None.
DOL/OSHA-15
System name:
Office of Training and Education Resource Center Loan 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 INDIVIDUAL covered by the system:
Individual borrowers who have become qualified to borrow from the
Resource Center Collection of occupational safety and health
materials.
Categories of records in the system:
Records contain borrower name, company name and address or home
address, company and home telephone numbers, fax 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 Loan Program 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.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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. Automated Data Processing (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 procedures:
Any individual wishing to gain access to any 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
records pertaining to them, may apply in writing to the system
manager at the system address listed above.
Record source categories:
Individuals and information pertaining to Resource Center
materials are taken from Resource Center files.
System exempted from certain provisions of the act:
None.
DOL/PWBA-2
System name:
PWBA Enforcement Management System.
Security classification:
None.
System location:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW, Washington, DC 20210, and all PWBA field
offices as listed in the Appendix A to this document.
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
(such as the named defendants) involved in investigations and
enforcement actions.
Categories of records in the system:
Information including plan name, plan administrator's name,
service provider's name, trustee's name, and names of other
individuals (such as the named defendants) involved in investigations
and enforcement actions.
Authority for THE maintenance of the system:
29 U.S.C. 1134-37.
Purpose(s):
This system of records is used to access information related to
case files involving investigations instituted by the Department of
Labor (DOL) under the Title I of the Employee Retirement Security Act
of 1974 (ERISA). The investigative files are used in the prosecution
of violations of law, whether civil or criminal in nature.
Routine uses of records maintained in the system, including
categories of users and the purpsoes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the
Privacy Act, to a department or agency of the United States, or to
any person actually affected by any matter which may be the subject
of the investigation; except that any information obtained by the
Secretary of Labor pursuant to section 6103 of Title 26 shall be made
available only in accordance with regulations prescribed by the
Secretary of the Treasury.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are maintained in an electronic
database and in paper case files.
Retrievability:
Records are retrieved from the electronic database by the name of
the plan, service provider name, trustee name, or the name of another
individual (such as the named defendant) involved in the
investigation or enforcement action. Records are also retrieved by
case number, the plan's employer identification number (EIN) and plan
number (if known), or service provider or trustee EIN.
Safeguards:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement and PWBA field
offices. In the Office of Enforcement, manual files are maintained in
file cabinets with access limited to OE staff. In the field offices,
manual files are maintained in file cabinets with access limited to
appropriate PWBA staff. In all instances, the electronic database is
password protected and limited to use by authorized personnel.
Retention and disposal:
Investigative case files are retained in the office for one year
after completion by voluntary compliance or litigation, or related
actions following voluntary compliance or litigation. After one year,
the case files are transferred to the Federal Records Center for
seven (7) years and then destroyed. The electronic database files are
retained permanently.
System manager(s) and address:
In the national office: Director of Enforcement, Pension and
Welfare Benefits Administration, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington, DC 20210.
In the Regional offices: the Regional Director (as listed in the
Appendix to this document).
In the District Offices: the District Supervisor (as listed in
the Appendix A to this document).
Notification procedures:
Individuals wishing to inquire whether this system of records
contains information about them should contact the appropriate system
manager described above. Individuals should furnish their full name,
address, and employee benefit plan association and should identify
the employee benefit plan by name, address, and EIS (if known).
Record access procedures:
Request for access to records should follow the Notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a(j)(2) and
(k)(2). To the extent that this system of records is not subject to
exemption, it is subject to access, contest of the content of the
record, and appeal of a denial to access. A determination as to
exemption shall be made at the time a request for access is received.
Access procedures are the same as the Notification procedures
described above. Individuals requesting access must also comply with
Privacy Act regulations on verification of identity and access to
records (29 CFR 71.2).
Contesting record procedures:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the appropriate System Manager
listed above, state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought pursuant to 29 CFR 71.9.
Record source categories:
Individual complaints, witnesses, or interviews conducted during
investigations or plan participant or beneficiary information
obtained during investigations on cases opened in the Office of
Enforcement or in any of the PWBA field offices.
Systems exempted from certain provisions of the act:
a. Criminal Law Enforcement: In accordance with subsection
552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information
maintained for criminal law enforcement purposes in PWBA's Office of
Enforcement or its field offices is exempt from subsections (c)(3)
and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e)(5)
and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection
552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory
material in this system of records compiled for civil law enforcement
purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and
(4), (e)(1), (e)(4)(G) and (I), and (f) of 5 U.S.C. 552a.
DOL/PWBA-3
System name:
PWBA Correspondence Files.
Security classification:
None.
System location:
Office of Participant Assistance and Communications
Office of Exemption Determinations
Office of Regulations and Interpretations
Office of Health Plan Standards and Compliance Assistance
U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210
Atlanta Regional Office, 61 Forsyth Street, Suite 7B54, Atlanta,
GA 30303
Boston Regional Office, J.F.K. Building, Room 575, Boston, MA
02203
San Francisco Regional Office, 71 Stevenson Street, Suite 915,
P.O. Box 190250, San Francisco, CA 94119-250
Seattle District Office, 1111 Third Avenue, MIDCOM Tower, Suite
860, Seattle, WA 98101-3212.
Categories of individuals covered by the system:
Correspondents.
Categories of records in the system:
Letters requesting information, advisory opinions, FOIA requests,
Privacy Act Requests, or submitting comments, the Department's
replies thereto, and related internal memoranda, including notes
pertaining to meetings and telephone calls.
Authority for maintenance of the system:
5 U.S.C. 1135.
Purpose(s):
These records are maintained to take action on or to respond to a
complaint, inquiry or comment concerning certain aspects of Title I
of ERISA or to respond to requests under FOIA or Privacy Act and to
track the progress of such correspondence through the office.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 electronic tracking system.
Retrievability:
Files are retrieved by an individual name or 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:
The retention schedule for FOIA and Privacy Act request files
follows General Records Schedule 14 and are retained two years after
date of reply or six years after issuance of the appeal
determination. If there is litigation in the underlying matter, the
file is retained for three years after the litigation is completed.
Requests for advisory opinions and the replies thereto are retained
indefinitely, requests for information are destroyed one year after
completion of project. Electronic index is destroyed six years after
date of last entry.
System manager(s) and address:
Director of the Office of Participant Assistance and
Communications
Director of the Office of Exemption Determinations
Director of the Office of Regulations and Interpretations
Director of the Office of Health Plan Standards and Compliance
Assistance
Pension and Welfare Benefits Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Regional Directors in the following offices:
Atlanta Regional Office, 61 Forsyth Street, Suite 7B54, Atlanta,
GA 30303
Boston Regional Office, J.F.K. Building, Room 575, Boston, MA
02203
San Francisco Regional Office, 71 Stevenson Street, Suite 915, PO
Box 190250, San Francisco, CA 94119-250
District Supervisor, Seattle District Office, 1111 Third Avenue,
MIDCOM Tower, Suite 860, Seattle, WA 98101-3212.
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 business hours.
Record access procedures:
Same as notification procedure. Individuals requesting access
must also comply with U.S. Department of Labor Privacy Act
regulations on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Correspondence from individuals and responses thereto.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-4
System name:
Technical Assistance and Inquiries System.
Security classification:
None.
System location:
Division of Technical Assistance and Inquiries in the National
office, all regional and district offices.
Categories of individuals covered by the system:
Correspondents and callers requesting information and assistance.
Categories of records in the system:
General and congressional telephone inquiries and correspondence
regarding all aspects of pension and welfare benefit plans and
records which provide the status of individuals under these plans.
Authority for THE maintenance of the system:
29 U.S.C. 1135.
Purpose(s):
These records are used to take action on or respond to inquiries
from Members of Congress and private citizens.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, records in this system may be
disclosed to the relevant employee benefit plan administrator, third
party administrator, insurance carrier or other party as necessary to
facilitate a resolution to the circumstance presented by the
individual seeking assistance from the agency.
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:
By name of individual.
Safeguards:
In the National office, manual files are maintained in file
cabinets with access limited to staff of the Division of Technical
Assistance and Inquiries. In the regional and district offices,
manual files are maintained in file cabinets with access limited to
appropriate PWBA staff. Computer system is password protected and
limited to use by authorized personnel.
Retention and disposal:
Manual records are maintained for one year after closing the
file, then destroyed. Computer files are maintained for the same
period as the manual records or deleted when no longer needed which
ever is later.
System manager(s) and address:
In the national office: Director of the Office of Participant
Assistance and Communications, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue,
NW, Washington, DC 20210.
In the Regional offices: the Regional Director
In the District Offices: the District Supervisor.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact a 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 U. S. Department of Labor Privacy Act
regulations on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals seeking technical assistance or information.
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, PWBA, Public Disclosure Room, U.S.
Department of Labor, Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who request documents.
Categories of records in the system:
Data regarding the request for copies of plan filings made with
the Department of Labor or the Internal Revenue Service. Data
includes individual requester's name, street address, city, state,
zip code, and telephone number, the Employer Identification Number
and Plan Number of the plan for which information has been requested
and the documents requested.
Authority for THE maintenance of the system:
5 U.S.C. 1021 et seq.
Purpose(s):
These records are used by authorized PWBA disclosure personnel to
process requests made to the Public Disclosure Room and by PWBA
managers to compile statistical reports regarding such requests for
management information purposes.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 computer storage.
Retrievability:
By individual name, control number or EIN/PN of requested plan.
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 files are destroyed after three months, the electronic
index is deleted on the same schedule as the manual files or when no
longer needed whichever is later.
System manager(s) and address:
Director of the Office of Participant Assistance and
Communications, Pension and Welfare Benefits Administration, 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 U. S. Department of Labor Privacy Act
regulations on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals requesting documents from the Public Disclosure Room.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-6
System name:
PWBA Debt Collection/Management System.
Security classification:
None.
System location:
Pension and Welfare Benefits Administration, Office of Program
Planning, Evaluation and Management, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who have been assessed fines or penalties under
provisions of ERISA sections 502(c)(2), 502(i) and 502(l).
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:
29 U.S.C. 1132, 31 U.S.C. 3711(a) 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 the purposes of such uses:
Relevant records may be disclosed to private collection agencies
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 in the system:
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, 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
additional personal identifiers for their records to be located and
identified.
Record access procedures:
See notification procedure above. Individuals requesting access
must also comply with Privacy Act regulations on verification of
identity and access to records. (29 CFR 71.2.).
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 pursuant to 29 CFR 71.9.
Record source categories:
Investigators and auditors.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-7
System name:
PWBA Employee Conduct Investigations.
Security classification:
None.
System location:
U.S. Department of Labor, Pension and Welfare Benefits
Administration, Office of Program Planning, Evaluation and
Management, 200 Constitution Avenue, NW., Washington, DC 20210.
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 int he system, including
cateogries categories of users and the purposes of such uses:
None, except for those universal 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.
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.
Individuals requesting access must also comply with the Privacy
Act regulations regarding verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
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.
DOL/PWBA-8
System name:
PWBA Consolidated Training Record.
Security classification:
Unclassified.
System location:
Office of Program Planning, Evaluation & Management, Pension and
Welfare Benefits Administration, 200 Constitution Avenue, NW.,
Washington, DC 20210.
Categories of individuals covered by the system:
Employees of the Pension and Welfare Benefits Administration.
Categories of records in the system:
Records reflect educational attainment levels (to include areas
of study), professional certifications, date of accession to PWBA,
in-house (PWBA) technical training courses and Federal Law
Enforcement Training Center programs completed by employees of the
Pension and Welfare Benefits Administration.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are used to identify which employees have completed
certain of the courses, and the number of employees awaiting
training. This information, in the aggregate, helps project the
number of courses to schedule for succeeding years. The prior formal
education information is used to respond to Congressional and other
inquiries regarding the educational attainment level of our
workforce. Finally, a combination of the data elements is used to
identify employees with specific educational backgrounds and current
skill levels who may be considered as Instructors for the several
agency-sponsored courses.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 Files.
Retrievability:
By name of the individual employee.
Safeguards:
System is password protected and limited to use by authorized
personnel in the Office of Program Planning, Evaluation and
Management.
Retention and disposal:
Destroyed when 5 years old or when no longer needed, whichever is
later.
System manager(s) and address:
PWBA Training Coordinator, Office of Program Planning, Evaluation
and Management, PWBA, 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 procedures:
Same as notification procedure. Individuals requesting access
must also comply with U.S. Department of Labor Privacy Act
regulations on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Individual employees, SF171s, or resume(s) submitted at time of
accession to PWBA and individual training course records.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-9
System name:
Office of Enforcement Correspondence Tracking System.
Security classification:
None.
System location:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW., Washington, DC 20210.
Categories of individuals covered by the system:
Correspondents, such as employee benefit plan professionals, 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's name, trustee's name, and names of other
individuals (such as the named defendants) involved in investigations
and enforcement actions. Letters from the general public requesting
information under the Freedom of Information Act or relating to all
aspects of pension and welfare benefit plans covered by Title I of
the Employee Retirement Income Security Act of 1974 (ERISA), the
status of individuals under these plans, the Department's replies to
the inquiries, and related internal memoranda, including notes
pertaining to meetings and telephone calls.
Authority for THE maintenance of the system:
29 U.S.C. 1134-37.
Purpose(s):
This system of records is used to track the progress of
correspondence through the Office of Enforcement, including a record
of action taken on or response to an inquiry received from the
general public or others, and to access investigative information
related to field office correspondence regarding investigations
instituted by the Department of Labor (DOL) under the Title I of the
Employee Retirement 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 purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the
Privacy Act, to a department or agency of the United States, or to
any person actually affected by any matter which may be the subject
of the investigation; except that any information obtained by the
Secretary of Labor pursuant to section 6103(g) of Title 26 shall be
made available only in accordance with regulations prescribed by the
Secretary of the Treasury.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are maintained in an electronic
database.
Retrievability:
Records are retrieved from the electronic database by the name of
the plan, service provider name, trustee name, the name of another
individual (such as the named defendant) involved in the
investigation or enforcement action, or the name of the
correspondent. Records are also retrieved by case number, the plan's
employer identification number (EIN).
Safeguards:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement. General
correspondence are maintained in file cabinets with access limited to
OE staff. The electronic database is password protected and limited
to use by authorized personnel.
Retention and disposal:
General correspondence files are destroyed after three years. The
electronic database files are deleted when no longer needed.
System manager(s) and address:
Director of Enforcement, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue,
NW, Washington, DC 20210.
Notification procedures:
Individuals wishing to inquire whether this system of records
contains information about them should contact the System Manager.
Individuals should furnish their full name, address, and employee
benefit plan association and should identify the employee benefit
plan by name, address, and EIN (if known).
Record access procedures:
Request for access to records should follow the notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a (j)(2) and
(k)(2). To the extent that this system of records is not subject to
exemption, it is subject to access, contest of the content of the
record, and appeal of a denial to access. A determination as to
exemption shall be made at the time a request for access is received.
Access procedures are the same as the Notification procedures
described above. Individuals requesting access must also comply with
Privacy Act regulations regarding verification of identity and access
to records (29 CFR 71.2).
Contesting record procedures:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the appropriate System Manager
listed above, state clearly and concisely what information is being
contested, the reasons for contesting it, and the proposed amendment
to the information sought pursuant to 29 CFR 71.9.
Record source categories:
Correspondence from individuals, individual complaints,
witnesses, or interviews conducted during investigations or plan
participant or beneficiary information obtained during investigations
on cases opened in the Office of Enforcement or in any of the PWBA
field offices.
Systems exempted from certain provisions of the act:
a. Criminal Law Enforcement: In accordance with subsection
552a(j)(2) of the Privacy Act, 5 U.S.C. 552a(j)(2), information
maintained for criminal law enforcement purposes in PWBA's Office of
Enforcement or its field offices is exempt from subsections (c)(3),
and (4), (d), (e)(1), (2), and (3), (e)(4)(G), (H), and (I), (e) (5)
and (8), (f), and (g) of 5 U.S.C. 552a.
b. Other Law Enforcement: In accordance with subsection
552a(k)(2) of the Privacy Act, 5 U.S.C. 552a(k)(2), investigatory
material in this system of records compiled for civil law enforcement
purposes is exempt from subsections (c)(3), (d)(1), (2), (3), and
(4), (e)(1), (e)(4)(G) and (I), and (f) of 5 U.S.C. 552a.
DOL/PWBA-10
System name:
PWBA Civil Litigation Case Information System.
Security classification:
None.
System location:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW, Washington, DC 20210.
Categories of individuals covered by the system:
The named defendants in the civil actions, and the names of other
individuals involved in investigations and enforcement actions
resulting in civil litigation with PWBA.
Categories of records in the system:
Documents such as litigation memoranda, legal documents, press
releases, judgements, consent orders and other documents which relate
information about a case in civil litigation. Information includes
plan name, plan administrator's name, service provider's name,
trustee's name, the named defendants, and the names of other
individuals involved in investigations and enforcement actions
resulting in civil litigation with PWBA.
Authority for THE maintenance of the system:
29 U.S.C. 1134-37.
Purpose(s):
This system of records is used to access information related to
civil litigation case files involving investigations instituted by
the Department of Labor (DOL) under the Title I of the Employee
Retirement Security Act of 1974 (ERISA). The civil litigation case
files are used in the prosecution of violations of law.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the
Privacy Act, to a department or agency of the United States, or to
any person actually affected by any matter which may be the subject
of the investigation; except that any information obtained by the
Secretary of Labor pursuant to section 6103(g) of Title 26 shall be
made available only in accordance with regulations prescribed by the
Secretary of the Treasury.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are maintained in an electronic
database and in manual files.
Retrievability:
Records are retrieved by the name of the plan, service provider
name, trustee name, and/or the named defendants in the investigation
or enforcement action.
Safeguards:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement (OE). The civil
litigation case files are maintained in file cabinets with access
limited to OE staff. The electronic database is password protected
and limited to use by authorized personnel.
Retention and disposal:
Manual files are destroyed after three years, the electronic
index is deleted on the same schedule as the manual files or when no
longer needed whichever is later.
System manager(s) and address:
Director of Enforcement, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue,
NW., Washington, DC 20210.
Notification procedures:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager.
Individuals should furnish their full name, address, and employee
benefit plan association and should identify the employee benefit
plan by name and address.
Record access procedures:
Request for access to records should follow the Notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a. To the
extent that this system of records is not subject to exemption, it is
subject to access, contest of the content of the record, and appeal
of a denial to access. A determination as to exemption shall be made
at the time a request for access is received. Access procedures are
the same as the Notification procedures described above. Individuals
requesting access must also comply with Privacy Act regulations on
verification of identity and access to records (29 CFR 71.2).
Contesting record procedures:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the System Manager, state
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought pursuant to 29 CFR 71.9.
Record source categories:
Investigators, individual defendants, witnesses, and other
individuals who have relevant information.
Systems exempted from certain provisions of the act:
In accordance with subsection 552a(k)(2) of the Privacy Act, 5
U.S.C. 552a(k)(2), investigatory material in this system of records
compiled for civil law enforcement purposes is exempt from
subsections (c)(3), (d)(1), (2), (3), and (4), (e)(1), (e)(4)(G) and
(I), and (f) 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.
DOL/PWBA-11
System name:
PWBA Criminal Case Information System.
Security classification:
None.
System location:
Office of Enforcement, PWBA, U.S. Department of Labor, 200
Constitution Ave., NW, Washington, DC 20210.
Categories of individuals covered by the system:
Defendants in criminal actions involving private sector employee
benefit plans.
Categories of records in the system:
Court and other documents which transmit information about the
progress and/or disposition of criminal cases involving private
sector employee benefit plans and written summaries of same.
Documents include media articles, press releases, indictments, plea
agreements, judgements, appellate documents and documents bearing
evidence of restitution.
Authority for THE maintenance of the system:
29 U.S.C. 1134-37.
Purpose(s):
This system of records is used to access information related to
criminal actions involving investigations conducted by the Department
of Labor (DOL). The criminal information files are used in the
prosecution of violations of law.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, pursuant to 29 U.S.C. 1134, a
record from this system of records may be disclosed, subject to the
restrictions imposed by various statutes and rules, such as the
Privacy Act, to a department or agency of the United States, or to
any person actually affected by any matter which may be the subject
of the investigation; except that any information obtained by the
Secretary of Labor pursuant to section 6103(g) of Title 26 shall be
made available only in accordance with regulations prescribed by the
Secretary of the Treasury.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
The records in this system are maintained in an electronic
tracking system and in manual files.
Retrievability:
Manual files are retrieved by the name of the defendant. Records
in electronic index may be retrieved by court, defendant's name,
violation, type of plan, etc.
Safeguards:
Direct access to and use of these records is restricted to
authorized personnel in the Office of Enforcement. The electronic
system is password protected and limited to use by authorized
personnel.
Retention and disposal:
Manual files are destroyed after three years after case is
closed, the electronic index is deleted on the same schedule as the
manual files or when no longer needed whichever is later.
System manager(s) and address:
Director of Enforcement, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue,
NW, Washington, DC 20210.
Notification procedures:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager.
Individuals should furnish their full name, address, and employee
benefit plan association and should identify the employee benefit
plan by name and address.
Record access procedures:
Request for access to records should follow the Notification
procedure described above. Specific materials in the system have been
exempted from Privacy Act provisions under 5 U.S.C. 552a(j)(2). To
the extent that this system of records is not subject to exemption,
it is subject to access, contest of the content of the record, and
appeal of a denial to access. A determination as to exemption shall
be made at the time a request for access is received. Access
procedures are the same as the Notification procedures described
above. Individuals requesting access must also comply with Privacy
Act regulations on verification of identity and access to records (29
CFR 71.2).
Contesting record procedures:
Same as the Notification procedure above, except individuals
desiring to contest or amend information maintained in the system
should direct their written request to the System Manager, state
clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought pursuant to 29 CFR 71.9.
Record source categories:
Individual defendants, witnesses, and other individuals who have
relevant information.
Systems exempted from certain provisions of the act:
In accordance with subsection 552a(j)(2) of the Privacy Act, 5
U.S.C. 552a(j)(2), information maintained for criminal law
enforcement purposes in PWBA's Office of Enforcement or its field
offices is exempt from subsections (c)(3) and (4), (d), (e)(1), (2),
and (3), (e)(4)(G), (H), and (I), (e) (5) and (8), (f), and (g) of 5
U.S.C. 552a.
DOL/PWBA-12
System name:
Publication Hotline Requests
Security classification:
None.
System location:
GMR, Inc. 7203 Gateway Court, Manassas, VA 20109.
Categories of individuals covered by the system:
Individuals requesting PWBA publications via the toll free
telephone number.
Categories of records in the system:
Data regarding requests for copies of PWBA publications that are
received through the toll free publication request line. Data
includes individual requester's name, street address, city, state,
zip code, telephone number, the publication(s) ordered and the
quantity, the date the order was placed and the date it was filled.
Authority for THE maintenance of the system:
5 U.S.C. 1135.
Purpose(s):
These records are maintained to process requests made to the PWBA
Toll Free Publication Hotline for publications.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None except those mentioned 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 storage.
Retrievability:
Records on this system are retrieved electronically by using the
name of requestor.
Safeguards:
Computer system is password protected and accessible only to
personnel creating and maintaining the database.
Retention and disposal:
Destroyed when three months old or when no longer needed,
whichever is later.
System manager(s) and address:
Director of the Office of Participant Assistance and
Communications, Pension and Welfare Benefits Administration, 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
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 (29 CFR 71.2).
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals requesting publications.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-13
System name:
Office of Exemption Determination ERISA Sec. 502(l) Files.
Security classification:
None.
System location:
Office of Exemption Determinations, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Avenue,
NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individuals who have petitioned the Secretary of Labor for relief
from the monetary penalties imposed under ERISA Sec. 502(l).
Categories of records in the system:
Letters from individuals seeking relief from the 502(l)
penalties, attachments supporting their petitions for relief, the
Department's replies thereto, and related internal memoranda,
including notes pertaining to meetings and telephone calls.
Authority for maintenance of the system:
29 U.S.C. 1135.
Purpose(s):
These records are maintained to document the Department's
response to petitioners' requests for relief from the section 502(l)
penalties. Such penalties are imposed upon those who are found to
have violated the fiduciary and prohibited transaction provisions of
Part 4 of Title I of ERISA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 computerized index.
Retrievability:
Files are retrieved by name of requester using a computerized
index.
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 in the Office of Exemption
Determinations for up to two years after case closure, then
transferred to the Federal Records Center for retention for an
additional 23 years. Electronic records are destroyed on the same
schedule as the manual files or when no longer needed, whichever is
later.
System manager(s) and address:
Director of Exemption Determinations, Pension and Welfare
Benefits Administration, 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
indicated above. All requests must be in writing and mailed or
presented in person during the Department's normal business hours.
Record access procedures:
Same as notification procedures. Individuals requesting access
must also comply with Privacy Act regulations on verification of
identity and access to records (29 CFR 71.2).
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals requesting a 502(l) exemption and the responses
thereto.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-14
System name:
Investment Advisor Registration Data Base.
Security classification:
None.
System location:
Department of Labor, PWBA Public Disclosure Room, U.S. Department
of Labor, Washington, DC 20210.
Categories of individuals covered by the system:
Investment advisers who manage less than $25 million in assets
and wish to obtain investment advisor status under the Employee
Retirement Income Security Act.
Categories of records in the system:
Copies of state registration forms. Such forms vary from state to
state, but typically include name, SEC file number, Employer
Identification number, social security number, business address, etc.
Authority for THE maintenance of the system:
29 U.S.C. 1002(38).
Purpose(s):
To develop a listing of individuals who have status as an
investment advisors under ERISA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records must be publicly available in accordance with ERISA.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual records and electronic listing.
Retrievability:
Records on this system are retrieved electronically by the name
of investment advisor. A list of the name, location, state of
registration, and date filed is available on the PWBA web-site.
Safeguards:
Computer system is password protected and accessible only to
personnel creating and maintaining the database. Manual files are
stored off site and are only available to authorized personnel.
Retention and disposal:
Manual files are destroyed when six years old. Electronic version
is deleted on the same schedule as the manual files or when no longer
needed, whichever is later.
System manager(s) and address:
Director of the Office of Participant Assistance and
Communications, Pension and Welfare Benefits Administration, 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
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 (29 CFR 71.2).
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 pursuant to 29 CFR 71.9.
Record source categories:
Investment advisors who request investment advisor status under
ERISA.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-15
System name:
PWBA Inventory Management Data Base.
Security classification:
None.
System location:
U.S. Department of Labor, Office of Information Management,
Pension and Welfare Benefits Administration, 200 Constitution Avenue,
NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individuals assigned custody of PWBA-owned ADP equipment.
Categories of records in the system:
Electronic records of PWBA-owned ADP hardware, its assigned
location, the individual assigned custody of equipment, acquisition/
disposal and warranty data.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To identify the makes and models of all PWBA owned ADP hardware,
the equipment's current location within the agency and the individual
to whom it is assigned.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 database.
Retrievability:
Files are retrieved using individual's name.
Safeguards:
Access to these records is limited to authorized PWBA staff. The
computer system provides security with: (1) Mapping rights on the
network, (2) network user logon passwords, and (3) database
passwords.
Retention and disposal:
Records are destroyed when no longer needed for administrative,
legal, audit, or other operational purposes.
System manager(s) and address:
Director of Information Management, Pension and Welfare Benefits
Administration, U.S. Department of Labor, 200 Constitution Ave., 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. All requests must be in writing and mailed or
presented in person during the Department's normal business hours.
Record access procedures:
Same as notification procedure. Individuals requesting access
must also comply with US Department of Labor Privacy Act regulations
on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals assigned computer equipment and individuals assigning
the computer equipment.
Systems exempted from certain provisions of the act:
None.
DOL/PWBA-16
System name:
Form 5500EZ Filings.
Security classification:
None.
System location:
U.S. Department of Labor, Pension and Welfare Benefits
Administration, Attention: EFAST 3833 Greenway Drive, Lawrence, KS
66046-1290.
Categories of individuals covered by the system:
Individuals who have filed a Form 5500EZ with the Department of
Labor for plan years beginning on or after January 1, 1999.
Categories of records in the system:
Forms 5500EZ filed with the Department of Labor for plan years
beginning on or after January 1, 1999.
Authority for maintenance of the system:
26 U.S.C. 6058(a); 29 U.S.C. 1135, 1137, 1143.
Purpose(s):
These records satisfy the reporting and disclosure requirements
mandated by the Employee Retirement Income Security Act of 1974, as
amended, and the Internal Revenue Code.
Note: This system of records is maintained by the Department of
Labor for the benefit of the Internal Revenue Service (IRS).
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:
Original paper filings, electronic image files of the filings,
and electronic data files extracted from the filing.
Retrievability:
Retrieved using personal name, taxpayer identification number, or
Social Security number; plan number; and plan year.
Note: Only the IRS can retrieve this data.
Safeguards:
Accessible only to authorized personnel. Safeguards include both
electronic safeguards, including C2 compliant systems and password-
protected files, and physical safeguards, including a restricted-
access facility.
Retention and disposal:
Paper filings are retained by the system manager for 6 months,
after which time they are retained off-site for a period of fifty
years. Electronic files are retained by the system manager for a
period of fifty years. At the end of their respective retention
periods, the paper and electronic files are destroyed.
System manager(s) and address:
Director, Office of Information Management, Pension and Welfare
Benefits Administration, 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
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 U.S. Department of Labor Privacy Act
regulations on verification of identity at 29 CFR 71.2.
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 pursuant to 29 CFR 71.9.
Record source categories:
Individuals filing Form 5500EZ filings.
Systems exempted from certain provisions of the act:
None.
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; 5 U.S.C. Chapter 6.
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 purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, relevant records may be
disclosed to the Small Business Administration (SBA) in response to a
referral from the SBA of a complaint filed against this Department by
a small entity.
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 after case is closed.
System manager(s) and address:
Director, Office of Small Business Programs, U.S. Department of
Labor, 200 Constitution Ave., NW, Washington, DC 20210.
Notification procedures:
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 complaint or incident.
Contesting record procedures:
A petition for amendment shall be addressed to the system
manager.
Record source categories:
From the concerned individuals and entities.
Systems exempted from certain provisions of the act:
None.
DOL/OSBP-2
System name:
Department of Labor Advisory Committees Members Files.
Security classification:
None.
System location:
Offices in various components within the Department of Labor, and
also at the Office of Small Business Programs, U.S. Department of
Labor, Frances Perkins Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
Categories of individuals covered by the system:
Present and former members of the advisory committees established
by the Department of Labor 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.
Also, the biographical information on individuals who have been
nominated for membership on advisory committees.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To ensure that all appropriate personal records on advisory
committee members, and nominees, 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:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, 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 media or in a manual file, both of
which are secured at all times.
Retrievability:
Retrieved by member name, nominee name or committee name, and via
identification number if electronically maintained.
Safeguards:
Access is limited to authorized employees.
Retention and disposal:
After a Committee terminates, its records are transferred to the
National Archives and Records Administration for permanent retention.
System manager(s) and address:
The system manager is the Director, Office of Small Business
Programs, U.S. Department of Labor, Frances Perkins Building, 200
Constitution Ave., NW, Washington, DC 20210.
Notification procedure:
Mail all inquiries or present in writing to the system manager.
Record access procedures:
A request for access should be addressed to the system manager.
The request should include the name of the Committee.
Contesting record procedures:
Individuals wanting to contest or amend information maintained in
this system should direct their written request to the system
manager.
Record source categories:
Individual members of the committees and those persons making
nominations to the committee.
Systems exempted from certain provisions of the act:
None.
DOL/SOL-3
System name:
Tort Claim Files.
Security classification:
Unclassified.
System location:
Office of the Solicitor, Division of Employee Benefits, 200
Constitution Avenue, NW, Washington, DC 20210-0002; Offices of the
Regional Solicitors and Associate Regional Solicitors at various
field locations set forth in the Appendix.
Categories of individuals covered by the system:
Individuals filing claims for damages under the Federal Tort
Claims Act.
Categories of records in the system:
Federal Tort Claim Act files, including claims forms and
supporting documents filed by claimants, agency records,
administrative reports and supporting documents prepared by the
agency involved, internal memoranda, legal pleadings, decisions, and
other documents received in connection with Federal Tort Claims Act
administrative claims and litigation.
Authority for maintenance of the system:
28 U.S.C. 2671 et seq.
Purpose(s):
To maintain records necessary for adjudication of claims and
defense of litigation 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:
In addition to those universal routine uses contained in the
General Prefatory Statement to this document, where an administrative
claim or litigation under the Federal Tort Claims Act is filed with
or involves allegations concerning more than one federal agency,
relevant information in this system of records, including documents
submitted in support of the administrative claim, may be disclosed to
the relevant agency or agencies for their input and independent
adjudication of the claim.
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 suites that are locked after working
hours.
Retention and disposal:
These records are maintained as long as a case is open. Upon
conclusion of the matter, files are maintained for two years then
transferred to the Federal Records Center for two years and then
destroyed.
System manager(s) and address:
Associate Solicitor for Employee Benefits in Washington, DC, and
Regional Solicitors and Associate Regional Solicitors in various
locations in the field.
Notification procedure:
See system managers and addresses.
Record access procedures:
To see your records, write to the office responsible for
adjudicating your claim and describe as specifically as possible the
records sought. The inquirer should furnish the following
information:
a. Full name and address
b. Date and place of the incident or accident
c. Claim number assigned to claim (if known)
d. Signature
Contesting record procedures:
See record access procedures.
Record source categories:
Claimants, current and former employers, witnesses, physicians
and/or medical providers, insurance companies attorneys, police,
hospitals, and other persons.
Systems exempted from certain provisions of the act:
None.
DOL/SOL-5
System name:
Workforce Investment Act Tort Claim Files.
Security classification:
Unclassified.
System location:
Offices of the Regional Solicitors, U.S. Department of Labor.
Categories of individuals covered by the system:
Claimants.
Categories of records in the system:
Tort claims, including negligence, medical, personnel and legal
reports, summaries, correspondence, and memoranda.
Authority for maintenance of the system:
29 U.S.C. 1501 et seq. and the Workforce Investment Act, 29
U.S.C. 2801 et seq.
Purpose(s):
To allow adjudication of claims filed under the Workforce
Investment Act.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses contained 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:
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, then retired to the appropriate
Federal Records Center for three years and then destroyed.
System manager(s) and address:
Regional Solicitors and Associate Regional Solicitors, U.S.
Department of Labor. See the Appendix of this document for the
regional addresses.
Notification procedure:
See system manager(s) and addresses set forth in the Appendix to
this document.
Record access procedures:
Inquirer should provide his or her 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.
Security classification:
Unclassified.
System location:
Office of the Solicitor, Division of Employee Benefits, 200
Constitution Avenue, NW, Washington, DC 20210-0002; Offices of the
Regional Solicitors and Associate Regional Solicitors at various
regional locations set forth in the Appendix to this document.
Categories of individuals covered by the system:
Current or former employees of the Department of Labor filing
claims under the Military Personnel and Civilian Employees' Claims
Act to recover for the loss of or damage to personal property
incident to their service.
Categories of records in the system:
Claim files, including claim forms, accident, investigative,
medical or personnel reports, witness statements, summaries,
correspondence and memoranda.
Authority for maintenance of the system:
31 U.S.C. 240-243.
Purpose(s):
To maintain records necessary for 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, except for those universal routine uses contained 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:
Name of claimant.
Safeguards:
Files are kept in office suites that are locked after working
hours.
Retention and disposal:
These records are maintained as long as the case is open in the
office handling the claim. Upon conclusion of the matter, files are
retained for two years and then transferred to the Federal Records
Center for three years and then destroyed.
System manager(s) and address:
Associate Solicitor for Employee Benefits in Washington, DC, and
Regional Solicitors and Associate Regional Solicitors at various
regional locations set forth in the Appendix to this document.
Notification procedures:
Individuals, wishing to inquire whether this system of records
contains information about them, should contact the appropriate
system manager. Such person should provide his or her full name, date
of birth, and signature.
Record access procedures:
To see your records, write the office responsible for
adjudicating your claim and describe as specifically as possible the
records sought. The inquirer should furnish the following
information:
a. Full name and address
b. Date and place of the loss
c. Claim number assigned to claim (if known)
d. Signature
Contesting recORD PROCEDURE:
See Record Access Procedures.
Record source categories:
Claimants, current and former employers, witnesses, physicians
and/or medical providers, insurance companies, attorneys, police,
hospitals, and other persons.
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 and
Associate Regional Solicitors Offices. See the Appendix to this
document for the regional office addresses.
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 opinions, 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:
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.
Retention and disposal:
Records are retained for five years.
System manager(s) and address:
Director, Office of Administration, Management and Litigation
Support/Office of the Solicitor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedures:
Inquiries should be mailed or presented to the system manager at
the address listed above.
Record access procedures:
A request for access shall be mailed or presented to the system
manager at the address listed above.
Contesting record procedures:
A request for amendment should be addressed to the system manager
noted above and must meet the requirements of 29 CFR 71.9.
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-9
System name:
Freedom of Information Act and Privacy Act Appeal 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 appeal 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 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.
b. 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.
c. 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.
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 and the electronic records are retrieved by the name of
the individual making the appeal. Electronic records are retrieved by
the name of the appellant, the appellant's law firm, the original
requester, the subject, the denying officer, the disposition date,
and the case number.
Safeguards:
These records, are located in metal filing cabinets in a lockable
room with access limited to personnel whose duties require access.
The electronic records are located in a computer data base.
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 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 the Freedom of Information or Privacy Act
Appeal and the approximate date of the determination by the
Department (if issued).
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
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 responded initially to the 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 Act 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-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 and Associate Regional Offices of the
Solicitor.
Categories of individuals covered by the system:
Employee(s) against whom any allegations of misconduct have been
made or violations of law.
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 or violations of law.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 inthe 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.
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 sent 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
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-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 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 law suits and
claims brought against the Department of Labor.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 are maintained in manual files.
Retrievability:
By name.
Safeguards:
Files are kept in office suites which are locked after working
hours.
Retention and disposal:
Litigation files are maintained for two (2) years after final
court determination, then transferred to the FRC where they are kept
for an additional three (3) years and then destroyed.
However:
Significant litigation files in the Civil Rights Division:
Cases which (1) resulted in a major legal precedent, or (2)
involved a complex and/or novel issue, or (3) involved intense public
interest or controversy that usually is reflected in a high degree of
media attention are retained permanently.
Litigation files involving OSHA:
OSHA litigation files are destroyed one year after all rights of
appeals have expired.
Matters in which the Department obtained an injunction are
maintained in SOL for two years after the matter is closed and then
transferred to the FRC for twenty (20) years and then destroyed.
Briefs and significant motions are retained in the office for twenty
(20) years and then destroyed.
Freedom of Information Act and Privacy Act litigation files:
Files are maintained for six years after final agency action or
three (3) years after final court determination, whichever is later.
Black Lung files:
Files for cases before the Administrative Law Judges are
maintained for one (1) year after the case is closed and then
destroyed. Cases adjudicated before the Benefit Review Board are
maintained for two (2) years after the final decision is issued and
then destroyed. Court of Appeal and Supreme Court cases are
maintained for five years after the final decision is issued and then
destroyed.
System manager(s) and address:
The appropriate Associate Solicitor or the Regional Solicitor or
Associate Regional 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.
Contesting record procedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of 29 CFR 71.9.
Record source categories:
Component agency investigative files; investigators; other law
enforcement personnel; attorneys; witnesses, informants; other
individuals; federal, states and local agencies; 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-17
System name:
Solicitor's Office Equipment Files.
Security classification:
None.
System location:
Office of the Solicitor, Office of Administration, Management &
Litigation Support (OAMLS), U.S. Department of Labor, 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, including National and Regional
Offices.
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. The
information is also used to track items assigned to individuals
within the Solicitor's Office.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal 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 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 annually and earlier records are destroyed.
System manager(s) and address:
Director, Office of Administration, Management & Litigation
Support, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedures:
Inquiries should be directed 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. Individuals requesting access must also comply with the
Privacy Act regulations regarding verification of identity to records
at 29 CFR 71.4.
Contesting record procedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of 29 CFR 71.9.
Record source categories:
Agency personnel files, information submitted by the employee,
and records from the Office of Administration, Management and
Litigation Support.
System exempted from certain provision of the Act:
None.
DOL/21st Century-1
System name:
Correspondents with the Office of the 21st Century Workforce.
Security classification:
None.
System location:
Office of the 21st Century Workforce, U.S. Department of Labor,
200 Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individual correspondents with the Office of the 21st Century
Workforce who contact, by telephone, U.S. Mail or E-Mail, the Office
of the 21st Century Workforce for various reasons such as, but not
limited to, requests for information, brochures, registration for
events, activities, and programs and requests for related reasons.
Categories of records in the system:
Information necessary to satisfy requests for information,
brochures, or requests to register for events, activities and /or
programs. Depending on the nature of the request, the file may
include (but is not limited to) the following information on the
individuals who have contacted DOL: name, title, mailing address,
telephone and fax numbers, E-Mail addresses.
Authority for maintenance of the system:
Executive Order 13218 of June 20, 2001, 66 FR 33627, 3 CFR, 2001
Compilation, p.776.
Purpose(s):
To enhance information exchange by improving the availability of
the Office of the 21st Century Workforce and DOL component
information on automated systems; to facilitate sending information
about events, activities and programs to correspondents with the
Office of the 21st Century Workforce with the public access Internet
site, and to provide a frame from which to select an unbiased sample
of individuals for surveys. Maintaining the names, addresses, etc. of
individuals requesting data/publications will streamline the process
for handling subsequent inquiries and requests by eliminating
duplicative gathering of mailing information, data and material to
individuals with corresponding interests; to provide usage statistics
associated with the DOL public access Internet site, and to provide a
frame from which to select an unbiased sample of users for users
service surveys.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A record from this system of records may be disclosed to the
United States Small Business Administration. The Routine Uses listed
at paragraphs 3, 4, 5, 7, 8, 9, 10, 11, and 12 in the General
Prefatory Statement to this document are not applicable to this
system of records. The Routine Uses listed at paragraphs 1, 2, and 6
are applicable to this system of records, and 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:
Files are stored electronically and/or on paper.
Retrievability:
By name, telephone or fax number (including the telephone number
from which the individual dials), E-Mail address or other identifying
information in the System.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for
paper files.
Retention and disposal:
Current correspondent information files are updated as necessary
and are destroyed when no longer needed.
System manager(s) and address:
Director, Office of the 21st Century Workforce, U.S. Department
of Labor, 200 Constitution Avenue, NW., Washington, DC 20210.
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:
Correspondents with the Office of the 21st Century Workforce.
Systems exempted from certain provisions of the act:
None.
DOL/VETS-1
System name:
Uniformed Services Employment and Reemployment Rights Act
(USERRA) Complaint File.
Security classification:
None.
System location:
Veterans' Employment and Training Service (VETS') State Offices,
Regional Offices, and National Office.
Categories of individuals covered by the system:
Complainants who are veterans, enlistees, examinees, reservists
or members of the National Guard of the U.S. Armed Forces on active
or reserve service or training duty, and other complainants.
Categories of records in the system:
The system of records contains data related to civil
investigations which include: Initial investigative complaint form,
background, investigators' fact finding records, witness statements,
supporting documents provided by claimants and employers, other
information relevant to a determination of veterans reemployment
rights.
Authority for maintenance of the system:
38 U.S.C. 4301 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:
In addition to those universal routine uses listed in the General
Prefatory Statement, relevant records and information may be
disclosed to the employer against whom a complaint has been made so
that the complaint can proceed to a resolution. Disclosure may also
be made when relevant and necessary to the Department of Veterans
Affairs, to the Department of Defense, to the Department of Justice,
and to the Office of Special Counsel when complaints have proceeded
to an advanced stage.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic and manual records.
Retrievability:
By name of complainant or name of employer.
Safeguards:
Locked room or locked cabinets, and passwords for electronic
system.
Retention and disposal:
Cutoff and removal from active file in fiscal year when
litigation is completed, transfer to Federal Records Center five (5)
years after cutoff. Destroy when ten (10) years old.
System manager(s) and address:
Chief of Investigations and Compliance, United States Department
of Labor, Veterans' Employment and Training Service, 200 Constitution
Avenue, NW, Washington, DC 20210.
Notification procedures:
Inquiries should be directed 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.
Contesting record procedures:
A petition for amendment should be addressed to the System
Manager.
Record source categories:
Veterans, Reserve and National Guard members, employees,
employers, former employees, Departments of Defense, Department of
Veterans Affairs, physicians, union officers and maybe the public.
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/VETS-2
System name:
Veterans' Preference Complaint File under the Veterans Equal
Opportunities Act of 1998 (VEOA).
Security classification:
None.
System location:
Veterans' Employment and Training Service (VETS') State Offices,
Regional Offices, and National Office.
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:
The system of records contains materials related to civil
investigations which include: Initial investigative complaint form,
background, investigators' fact finding records, witness statements,
supporting documents provided by claimants and employers, other
information relevant to a determination of veterans preference
consideration related to employment with Federal agencies.
Authority for maintenance of the system:
5 U.S.C. 3330a.
Purpose(s):
Records are maintained for investigation of possible violations
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:
In addition to those universal routine uses listed in the General
Prefatory Statement, records and information may be disclosed to the
Federal employing agency against whom a complaint has been made so
that the complaint can proceed to a conclusion. Disclosure of
information that is relevant and necessary may also be made to the
Office of Personnel Management and to the Merit Systems Protection
Board.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic and manual records.
Retrievability:
By name of complainant or name of Federal agency.
Safeguards:
Secured room, or locked cabinets, and passwords for electronic
system.
Retention and disposal:
Cutoff and removed from active file in fiscal year when
litigation is completed. Transferred to Federal Records Center five
(5) years after cutoff. Destroy when ten (10) years old.
System manager(s) and address:
Chief of Investigations and Compliance, United States Department
of Labor, Veterans' Employment and Training Service, 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 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
Record source categories:
Veterans, Federal employment applicants or employing Federal
agencies, former agency employees, Department of Defense, Department
of Veterans Affairs, Office of Personnel Management, union officers
and members of the public.
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/VETS-3
System name:
Veterans' Transition Assistance Program (TAP) Registration
System.
Security classification:
None
System location:
Veterans' Employment and Training Service (VETS) State Directors'
Offices, Regional Offices, National Office.
Categories of individuals covered by the system:
Service members, 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 Transition Assistance
Program (TAP) orkshops including the name, address, social security
number, and duty station.
Authority for maintenance of the system:
10 U.S.C. 1144.
Purpose(s):
Records are maintained to house achievement levels in TAP Program
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:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, disclosure of records and
information may be made to the Department of Defense, Department of
Transportation, and to the Department of Veterans Affairs so that
they may they assist the TAP participant by sharing information.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Electronic and manual records.
Retrievability:
By name, state, military base, or VETS region.
Safeguards:
Locked room or locked cabinets, and passwords for electronic
system.
Retention and disposal:
Records are transferred to the Federal Records Center three years
after the end of the fiscal year when they were created, and they are
destroyed ten years thereafter.
System manager(s) and address:
Director of Operations and Programs, United States Department of
Labor, Veterans' Employment and Training Service, Room, 200
Constitution Avenue, NW, Washington, DC 20210, and Regional Offices.
Notification procedures:
Inquiries should be mailed or presented to the appropriate system
manager 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.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR 71.9.
Record source categories:
Participants in TAP workshops.
System exempted from certain provisions of the act:
None.
Appendix--Responsible Officials
National Office
The titles of the responsible officials of the various component
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.
Office of the Secretary
Secretary of Labor, ATTENTION: Assistant Secretary for
Administration and Management (OASAM)
Office of the Solicitor
Deputy Solicitor, Office of the Solicitor
Office of the Administrative Law Judges (OALJ)
Chief Administrative Law Judge, Office of
Administrative Law Judges, OALJ
Legal Counsel, OALJ
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.
Office of the Assistant Secretary of Administration and
Management (OASAM)
Assistant Secretary for Administration and Management,
OASAM
Deputy Assistant Secretary for Administration and
Management, OASAM
Director, Business Operations Center, OASAM
Director, Procurement Service Center, OASAM
Director, Civil Rights Center, OASAM
Director, Human Resources Center, OASAM
Director, Information Technology Center, OASAM
Director, Worklife Center, OASAM
Director, Human Resource Services Center, OASAM
Director, Office of Budget, OASAM
Director, Conference and Services Center, OASAM
Director, Safety and Health Center, OASAM
Office of the Chief Financial Officer (OCFO)
Chief Financial Officer, OCFO
Office of Small Business Programs
Director, Office of Small Business Programs
Employees' Compensation Appeals Board (ECAB)
Chairperson, Employees' Compensation Appeals Board,
ECAB
Associate Deputy Secretary for Adjudication
Executive Director, Office of Adjudicatory Services
Administrative Review Board (ARB)
Chairperson, Administrative Review Board, ARB
Benefits Review Board (BRB)
Chief Administrative Appeals Judge, Benefits Review
Board, BRB
Director, Women's Bureau, Office of the Secretary
Office of Congressional and Intergovernmental Affairs (OCIA)
Assistant Secretary, Office of Congressional and
Intergovernmental Affairs, OCIA
Deputy Assistant Secretary, OCIA
Office of the Assistant Secretary for Policy (ASP)
Assistant Secretary for Policy, ASP
Deputy Assistant Secretary, ASP
Office of the Assistant Secretary for Public Affairs (OPA)
Assistant Secretary, Office of Public Affairs, OPA
Deputy Assistant Secretary, OPA
Administrative Review Board (ARB)
Director, Office of Administrative Review Board, ARB
Office of the Inspector General (OIG)
Disclosure Officer, OIG
Bureau of International Labor Affairs (ILAB)
Deputy Under Secretary, ILAB
Associate Deputy Under Secretary, ILAB
Secretary of the National Administrative Office, ILAB
Employment Standards Administration (ESA)
Assistant Secretary for Employment Standards, ESA
Director, Equal Employment Opportunity Unit, ESA
Director, Office of Management, Administration and
Planning (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, Division of Planning, Policy and Standards,
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
Programs, (OLMS), ESA
Employment and Training Administration (ETA)
Assistant Secretary of Labor, ETA
Deputy Assistant Secretary of Labor, ETA
Administrator, Office of Financial and Administrative
Management, ETA
Director, Office of Financial and Administrative
Services, ETA
Director, Office of Human Resources, ETA
Director, Divisions of Federal Assistance and Contract
Services, ETA
Administrator, Office of Policy and Research, ETA
Director, Office of Grants and Contracts Management,
ETA
Administrator, Office of Technology and Information
Services, ETA
Administrator, Office of Workforce Security, ETA
Director, Office of Income Support, ETA
Director, Office of Career Transition Assistance, ETA
Director, Division of U.S. Employment Service and
Americans Labor Information Market System (ALMIS)
Chief, Division of Foreign Labor Certifications, ETA
Administrator, Office of Adult Services, ETA
Director Office of National Programs, ETA
Director, Division of Systems Support, ETA
Director, Office of Adults, Dislocated Workers and
Trade Adjustment Assistance, ETA
Director, Division of Trade Adjustment Assistance, ETA
Administrator, Office of Youth Services, ETA
Director, Office of Youth Opportunities, ETA
Director, Office of School to Work, ETA
Director, Office of Job Corps, ETA
Director, Office of Apprenticeship Training, Employer
and Labor Services, ETA
Director, Office of Equal Employment Opportunity, ETA
Occupational Safety and Health Administration (OSHA)
Assistant Secretary, OSHA
Director, Office of Public Affairs, OSHA
Director, Directorate 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
Pension and Welfare Benefits Administration (PWBA)
Director, Office of Participant Assistance and
Communications, PWBA
Office of the Assistant Secretary for Veterans' Employment and
Training (VETS)
Assistant Secretary, VETS
Deputy Assistant Secretary, VETS
Director, Office of Operations and Programs, VETS
Director, Office of Agency Management and Budget, VETS
Disclosure Officer, VETS
Bureau of Labor Statistics (BLS)
Commissioner, 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.
Mine Safety and Health Administration (MSHA)
Assistant Secretary, MSHA
Deputy Assistant Secretary, MSHA
Chief, Office of Congressional and Legislative Affairs,
MSHA
Chief, Office of Information and Public Affairs, MSHA
Director of Administration and Management, MSHA
Administrator, Coal Mine Safety and Health (CMS&H),
MSHA
Chief, Technical Compliance & Investigation Division,
CMS&H, MSHA
Chief, Health Division, CMS&H, MSHA
Chief, Safety Division, CMS&H, MSHA
Accident Investigation Program Manager, CMS&H, MSHA
Administrator, Metal and Nonmetal Mine Safety and
Health (M/NM), MSHA
Chief, Technical Compliance & Investigation Division,
M/NM, MSHA
Chief, Health Division, M/NM, MSHA
Chief, Safety Division, M/NM, MSHA
Accident Investigation Program Manager, M/NM, MSHA
Director of Assessments, MSHA
Director of Technical Support, MSHA
Director of Educational Policy and Development, MSHA
Director of Standards, Regulations, and Variances, MSHA
Director of Program Evaluation and Information
Resources, MSHA
The mailing address for the responsible officials in the Mine
Safety and Health Administration (MSHA) is: 4015 Wilson Boulevard,
Arlington, Virginia 22203.
Regional Offices
The titles of the responsible officials in the regional offices
of the various component 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)
Region II
201 Varick Street, New York, New York 10014 (For Wage
and Hour only: Contact Region III)
Region III
The Curtis Center, 170 South Independence Mall West,
Suite 825 East, Philadelphia, Pennsylvania 19106-3315
Region IV
U.S. Department of Labor, Atlanta Federal Center, 61
Forsyth Street, SW, Atlanta, Georgia 30303
(OWCP Only) 214 N. Hogan Street, Suite 1006,
Jacksonville, Florida 32202
Region V
Kluczynski Federal Building, 230 South Dearborn Street,
Chicago, Illinois 60604
(FEC only) 1240 East Ninth Street, Room 851, Cleveland,
Ohio 44199
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)
(OFCCP only) 801 Walnut Street, Room 200, Kansas City,
Missouri 64106
Region VIII
1999 Broadway Street, Denver, Colorado 80202, (For Wage
and Hour and OFCCP: Contact Region VI)
(OWCP only) 1801 California Street, Suite 915, Denver,
Colorado 80202
The mailing address for the Regional Director, Bureau of
Apprenticeship and Training in Region VIII is: U.S. Custom House,
721--19th Street, Room 465, 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) (For the following regions:
Boston, New York, Philadelphia, Atlanta, Dallas,
Chicago and San Francisco)
Associate Regional Administrator for ETA (For the
following regions: Denver, Kansas City and Seattle)
Regional Director, Job Corps, ETA
Director, Regional Office of Apprenticeship and
Training, Employer and Labor Services, ETA
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
The Curtis Center, 170 South Independence Mall West,
Philadelphia, Pennsylvania 19106-3315
61 Forsyth Street, S.W., Suite 7B75, Atlanta, Georgia
30303
Klucynski Federal Building, 230 South Dearborn Street,
Room 570, Chicago, Illinois 60604
Federal Building, 525 South Griffin Street, Room 840
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, Room E-260, Boston,
Massachusetts 02203 (FECA and LHWCA Only)
201 Varick Street, Seventh Floor, Room 750, New York,
New York 10014 (FECA and LHWCA only)
The Curtis Center, 170 South Independence Mall West,
Suite 790 West, Philadelphia, Pennsylvania 19106-3313
(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, Suite 405,
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)
500 Quarrier Street, Suite 110, Charleston, West
Virginia 25301 (BLBA Only)
425 Juliana Street, Suite 3116, Parkersburg, West
Virginia 26101 (BLBA Only)
800 North Capitol Street, NW., Washington, DC 20211
(FECA Only)
77 P Street, NE., 2nd Floor, Washington, DC 20002
(LHWCA Only)
1200 Upshur Street, NW., Washington, DC 20210 (DC
Claims Only)
164 Main Street, Suite 508, Pikeville Kentucky 41501
(BLBA only)
500 Springdale Plaza, Spring Street, Mt. Sterling,
Kentucky 40353 (BLBA Only)
214 N. Hogan Street, 10th Floor, Room 1006,
Jacksonville, Florida 32201 (FECA and LHWCA only)
230 South Dearborn Street, Room 578, Chicago, Illinois
60604 (FECA and LHWCA)
1240 East 9th Street, Room 851, Cleveland, Ohio 44199
(FECA Only)
1160 Dublin Road, Suite 300, Columbus, Ohio 43214 (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, Suite 915, Denver, Colorado
80202 (FECA and BLBA Only)
71 Stevenson Street, 2nd Floor, PO Box 193770, 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, Suite 615, Seattle, Washington 98101-
3212 (LHWCA and FECA only)
Mine Safety & Health Administration Field Offices And Responsible
Officials
Coordinator, Small Mines/Mine Emergency Unit
Superintendent, National Mine Health and Safety
Academy, 1301 Airport Road, Beaver, WV 25813-9426
Chief, Safety and Health Technology Center, PO Box
18233, Pittsburgh, PA 15236
Chief, Approval and Certification Center, R.R. 1, Box
251, Industrial Park Road, Triadelphia, WV 26059
Chief, Information Resource Center
Chief, Office of Injury and Employment Information, PO
Box 25367, Denver, CO 80225-0367
District Manager, Coal Mine Safety and Health
The Stegmaier Bldg., Suite 034, 7 N. Wilkes-Barre
Blvd., Wilkes-Barre, PA 18702
R.R. 1, Box 736, Hunker, PA 15639
5012 Mountaineer Mall, Morgantown, WV 26505
100 Bluestone Road, Mt. Hope, WV 25880
PO Box 560, Norton, VA 24273
4159 North Mayo Trail, Pikeville, KY 41501
HC 66, Box 1699, Barbourville, KY 40906
Suite 200, 2300 Old Decker Road, Vincennes, IN 47591
PO Box 25367, Denver, CO 80225-0367
100 YMCA Drive, Madisonville, KY 42431-9019
Suite 213, 135 Gemini Circle Birmingham, AL 35209
District Manager, Metal and Nonmetal Mine Safety and Health
Assistant District Manager, Metal and Nonmetal Mine
Safety and Health:
Thornhill Industrial Park, 547 Keystone Drive, Suite 4,
Warrendale, PA 15086-7573
Suite 212, 135 Gemini Circle, Birmingham, AL 35209
Suite 333, 515 W. First Street, Duluth, MN 55802-1302
Rm. 4C50, 1100 Commerce Street, Dallas, TX 75242-0499
P.O. Box 25367, Denver, CO 80225-0367
2060 Peabody Road, Suite 610, Vacaville, CA 95687-6696
Regional Administrator, Occupational Safety and Health
Administration (OSHA)
Area Director, OSHA:
Valley Office Park, 13 Branch Street, Methuen, MA 01844
639 Granite Street, 4th Floor, Braintree, MA 02184
1441 Main Street, Room 550, Springfield, MA 01103-1493
One Lafayette Square, Suite 202, Bridgeport, CT 06604
Federal Building, 450 Main Street, Room 613, Hartford,
CT 06103
40 Western Avenue, Room 608, Augusta, ME 04330
202 Harlow Street, Room 211, Bangor, ME 04401
279 Pleasant Street, Suite 201, Concord, NH 03301
Federal Office Building, 380 Westminster Mall, Room
243, Providence, RI 02903
401 New Karner Road, Suite 300, Albany, NY 12205-3809
42-40 Bell Boulevard, Bayside, NY 11361
5360 Genesee Street, Bowmansville, NY 14026
1400 Old Country Road, Suite 208, Westbury, NY 11590
201 Varick Street, Room 670, New York, NY 10048
3300 Vickery Road, North Syracuse, NY 13212
660 White Plains Road, 4th Floor, Tarrytown, NY 10591-
5107
1030 St. Georges Avenue, Plaza 35, Suite 205, Avenel,
NJ 07001
500 Route 17 South, 2nd Floor, Hasbrouck Heights, NJ
07604
299 Cherry Hill Road, Suite 304, Parsippany, NJ 07054
Marlton Executive Park, Building 2, 701 Route 73 South,
Suite 120, Marlton, NJ 08053
BBV Plaza Building, 1510 F.D. Roosevelt Avenue,
Guaynabo, PR 00968
850 North 5th Street, Allentown, PA 18102
3939 West Ridge Road, Suite B12, Erie, PA 16506-1857
Progress Plaza, 49 North Progress Avenue, Harrisburg,
PA 17109-3596
U.S. Custom House, Room 242, Second & Chestnut Street,
Philadelphia, PA 19106
Federal Office Building, 1000 Liberty Avenue, Room
1428, Pittsburgh, PA 15222-4101
The Stegmaier Building, Suite 410, 7 North Wilkes-Barre
Boulevard, Wilkes-Barre, PA 18702-5241
844 North King Street--Room 2209, Wilmington, DE 19801
1099 Winterson Road, Suite 140, Linthicum, MD 21090
Federal Office Building, 200 Granby Street, Room 835,
Norfolk, VA 23510-1811
405 Capitol Street, Suite 407, Charleston, WV 25301-
1727
LaVista Perimeter Office Park, 2183 N. Lake Parkway,
Building 7, Suite 110, Tucker, GA 30084-4154
2400 Herodian Way, Suite 250, Smyrna, GA 30080-2968
450 Mall Boulevard, Suite J, Savannah, GA 31406
2047 Canyon Road--Todd Mall, Birmingham, AL 35216-1981
3737 Government Boulevard, Suite 100, Mobile, AL 36693-
4309
8040 Peters Road, Building H-100, Fort Lauderdale, FL
33324
Ribault Building, Suite 227, 1851 Executive Center
Drive, Jacksonville, FL 32207
5807 Breckenridge Parkway, Suite A, Tampa, FL 33610-
4249
John C. Watts Federal Office Building, 330 West
Broadway, Room 108, Frankfort, KY 40601-1922
3780 I-55 North, Suite 210, Jackson, MS 39211-6323
Century Station Federal Office Building, 300
Fayetteville Street Mall, Room 438, Raleigh, NC 27601-
9998
1835 Assembly Street, Room 1468, Columbia, SC 29201-
2453
2002 Richard Jones Road, Suite C-205, Nashville, TN
37215-2809
1600 167th Street, Suite 12, Calumet City, IL 60409
O'Hara Lake Plaza, 2360 East Devon Avenue, Suite 1010,
Des Plaines, IL 60018
11 Executive Drive, Suite 11, Fairview Heights, IL
62208
344 Smoke Tree Business Park, North Aurora, IL 60542
2918 W. Willow Knolls Road, Peoria, IL 61614
46 East Ohio Street, Room 423, Indianapolis, IN 46204
Lansing Area Director, 801 South Waverly Road, Suite
306, Lansing, MI 48917-4200
300 South 4th Street, Room 1205, Minneapolis, MN 55415
36 Triangle Park Drive, Cincinnati, OH 45246
Federal Office Building, 1240 East 9th Street, Room
899, Cleveland, OH 44199
Federal Office Building, 200 North High Street, Room
620, Columbus, OH 43215
Ohio Building, 420 Madison Avenue, Suite 600, Toledo,
OH 43604
Federal Building, U.S. Courthouse 500, Barstow Street,
Room B-9, Eau Claire, WI 54701
1648 Tri Park Way, Appleton, WI 54914
4802 E. Broadway, Madison, WI 53716
Henry S. Reuss Building, 310 W. Wisconsin Ave, Suite
1180, Milwaukee, WI 53202
903 San Jacinto Boulevard, Suite 319, Austin, TX 78701
Wilson Plaza, 606 N. Carancahua, Suite 700, Corpus
Christi, TX 78476
834 East R.L. Thornton Freeway, Suite 420, Dallas, TX
75228
700 East San Antonio Street, Room C408, El Paso, TX
79901
North Starr II, Suite 430, 8713 Airport Freeway, Fort
Worth, TX 76180-7604
350 N. Sam Houston Parkway, Suite 120, Houston, TX
77060
17625 El Camino Real, Suite 400, Houston, TX 77058
Federal Office Building, 1205 Texas Avenue, Room 804,
Lubbock, TX 79401
TCBY Building, Suite 450, 425 West Capitol Avenue,
Little Rock, AR 72201
9100 Bluebonnet Centre Boulevard, Suite 201, Baton
Rouge, LA 70809
Western Bank Building, Suite 820, 505 Marquette, NW.,
Albuquerque, NM 87102
420 West Main, Suite 300, Oklahoma City, OK 73102
6200 Connecticut Avenue, Suite 100, Kansas City, MO
64120
911 Washington Avenue, Room 420, St. Louis, MO 63101
210 Walnut Street, Room 815, Des Moines, IA 50309
8600 Farley--Suite 105, Overland Park, KS 66212
300 Epic Center, 301 North Main, Wichita, KS 67202
Overland--Wolf Building, 6910 Pacific Street, Room 100,
Omaha, NE 68106
1391 Speer Boulevard, Suite 210, Denver, CO 80204-2552
7935 East Prentice Avenue, Suite 209, Englewood, CO
80111-2714
2900 4th Avenue North, Suite 303, Billings, MT 59101
3rd & Rosser, Room 348, PO Box 2439, Bismark, ND 58502
1781 South 300 West, Salt Lake City, UT 84115-1802
101 El Camino Plaza, Suite 105, Sacramento, CA 95815
5675 Ruffin Road, Suite 330, San Diego, CA 92123
3221 North 16th Street, Suite 100, Phoenix, AZ 85016
300 Ala Moana Boulevard, Suite 5-146, Honolulu, HI
96850
705 North Plaza, Room 204, Carson City, NV 89701
505 106th Avenue, NE., Suite 302, Bellevue, WA 98004
301 W. Northern Lights Boulevard, Suite 407, Anchorage,
AK 99503-7571
1150 North Curtis Road, Suite 201, Boise, ID 83706
Federal Office Building, 1220 Southwest 3rd Avenue,
Room 640, Portland, OR 97204
Pension and Welfare Benefits Administration Regional Director or
District Supervisor
Regional Director, J.F.K. Federal Bldg., Room 575,
Boston, Massachusetts 02203
Regional Director, 201 Varick Street, New York, NY
10014
Regional Director, The Curtis Center, 170 South
Independence Mall West, Philadelphia, Pennsylvania
19106-3315
District Supervisor, Silver Spring Metro Center,
Building One, Second Floor, 1335 East-West Highway,
Silver Spring, MD 20901
Regional Director, 61 Forsyth Street, SW, 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, PO
Box 190250, San Francisco, California 94119-0250
District Director, 1111 Third Avenue, Room 860,
Seattle, Washington 98101-3212
Regional Director, 790 E. Colorado Blvd., Suite 514,
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
The Curtis Center, 170 S. Independence Mall West, Suite
770 West, Philadelphia, Pennsylvania 19106
Region IV
Sam Nunn 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
City Center Square Building, 1100 Main Street, Suite
850, Kansas City, Missouri 64105-2112
Region VIII
1999 Broadway, Suite 1730, Denver, Colorado 80202-5716
Region IX
71 Stevenson Street, Suite 705, San Francisco,
California 94105
Region X
1111 Third Avenue, Suite 900, Seattle, Washington
98101-3212
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 Sec. Sec. 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