[Federal Register Volume 77, Number 7 (Wednesday, January 11, 2012)]
[Notices]
[Pages 1728-1742]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-345]
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DEPARTMENT OF LABOR
Office of the Secretary
Privacy Act of 1974; Publication of Five New Systems of Records;
Amendments to Five Existing Systems of Records
AGENCY: Office of the Secretary, Labor.
ACTION: Notice of five new systems of records; amendments to five
existing systems of records; and amendments to one universal routine
use.
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SUMMARY: The Privacy Act of 1974 requires that each agency publish
notice of all of the systems of records that it maintains. This
document proposes to add five new systems of records to the current
systems of records of the Department of Labor (Department or DOL). With
the addition of these five systems of records, the Department will be
maintaining 153 systems of records. The Department also proposes to
amend five existing systems of records and one universal routine use.
The five proposed revised systems of records include changes to their
routine uses and to the various system categories, some of which are
updates to names and locations and stylistic changes. Major changes are
summarized in the introductory portion of the Supplementary Information
section.
DATES: Persons wishing to comment on these five new systems of records,
the proposed amendments to five existing systems of records, and the
amendments to one universal routine use may do so on or before February
21, 2012.
DATES: Effective Date: Unless there is a further notice in the Federal
Register, these five new systems of records, the five revised systems
of records with their amendments, and the one universal routine use
with amendments, will become effective on March 6, 2012.
ADDRESSES: Written comments may be mailed or delivered to William W.
Thompson, II, Associate Solicitor, Division of Management &
Administrative Legal Services, 200 Constitution Avenue NW., Room N-
2428, Washington, DC 20210 or by email to [email protected].
FOR FURTHER INFORMATION CONTACT: Joseph J. Plick, Counsel for FOIA/
FACA/Privacy Act, Office of the Solicitor, Department of Labor, 200
Constitution Avenue NW., Room N-2428, Washington, DC 20210, telephone
(202) 693-5527.
SUPPLEMENTARY INFORMATION: Pursuant to section three of the Privacy Act
of 1974 (5 U.S.C. 552a(e)(4)), hereinafter referred to as the Act, the
Department hereby publishes notice of five new systems of records
currently maintained pursuant to the Act. On April 8, 2002, in Volume
67 at Page 16816 of the Federal Register, the Department published a
notice of 147 systems of records that are maintained under the Act. On
February 6, 2003, at 68 FR 6185, a new system of records was published
on behalf of the Office of the 21st Century Workforce, entitled DOL/
21st CENTURY-1, Correspondents With the Office of the 21st Century
Workforce. On September 15, 2003, at volume 68 FR 54012, the Department
amended two existing systems of records.
This current document presents five new systems of records,
bringing the Department's total number of systems of records to 153.
This notice first provides a summary of the five new and five amended
systems of records, as well as the one amended universal routine use,
and then provides the universal routine uses applicable to all systems
of records, including the amended universal routine use, followed by
the text of each of the new and amended systems of records.
1. The first new system is entitled, DOL/CENTRAL-1, Correspondents
With the Department of Labor. This system is identified by a new naming
convention, ``CENTRAL,'' that DOL has established for systems that
affect the entire Department as opposed to a specific agency within the
Department. This system contains comments by or requests from
individuals and information necessary to satisfy requests for
information, brochures, requests to subscribe to message boards, to use
Web site based programs, and requests for compliance assistance. It
includes information received from callers to the Department's call
centers. Depending on the nature of the request by the correspondent or
caller, the file may include (but is not limited to) the following
information regarding individuals who have contacted the Department:
Name, title, mailing address, telephone and fax number, email address,
area of interest(s) and other information necessary to satisfy a
request. This system will cover information maintained by all
components of the Department.
2. The second new system is entitled DOL/CENTRAL-2, Registrants for
Department of Labor Events and Activities. This system is identified by
a new naming convention, ``CENTRAL,'' that DOL has established for
systems that affect the entire Department as opposed to a specific
agency within the Department. This system contains written, telephonic,
and online requests to register for Department conferences, events,
activities, seminars, special interest Web sites, and programs,
including requests for special accommodations and meal preferences. The
file may include (but is not limited to) the following information
regarding individuals who have contacted the Department: name, title,
mailing address, telephone and fax number, email address, and requests
for special accommodations. This system will cover information
maintained by all components of the Department.
3. The third new system is entitled DOL/CENTRAL-3, Internal
Investigations of Harassing Conduct. This system is identified by a new
naming convention, ``CENTRAL,'' that DOL has established for systems
that affect the entire Department as opposed to a specific agency
within the Department. This system of records is maintained by the
Office of the Secretary, and it is for the purpose of conducting
internal investigations into allegations of harassment brought against
Department employees, former Department employees, Department interns,
or other such agents of the Department, and for taking appropriate
action in accordance with the Department's policy to prevent harassing
conduct in the workplace. This is an exempt system of records; a
separate notice will be published regarding the exempt status of this
system of records.
4. The fourth new system is entitled DOL/ESA-52, Wage-Hour
Financial Accounting System (WFAS). This system of records, maintained
by and for the Wage-Hour Division, contains records of persons or
entities who receive or who owe a payment for back wages as a result of
the enforcement of the Fair Labor Standards Act. These persons and
entities are listed in the Back Wage Disbursement and Collection
System. A second category of records includes employers who owe a debt
to the Government for violating one or more of the laws enforced by the
Wage-Hour Division. These employers are
[[Page 1729]]
listed in the Civil Money Penalty System.
Note: The Employment Standards Administration (ESA) was
dissolved on November 8, 2009. ESA's four sub-agencies: the Office
of Federal Contract Compliance Programs, the Office of Labor
Management Standards, the Wage and Hour Division, and the Office of
Workers' Compensation Programs are now independent agencies that
report directly to the Secretary of Labor. For the present time DOL
is retaining the nomenclature identifying system of records notices
of the four former ESA sub-agencies with the heading DOL/ESA.
Looking forward, DOL intends to do a comprehensive review and
republication of all DOL systems of records. As part of that
republication, DOL will retire the use of ``ESA'' in the systems of
records titles.
5. The fifth new system is entitled DOL/ETA-28, Senior Community
Service Employment Program Information Files. This system is a new
management information system designed to facilitate the uniform
compilation and analysis of programmatic data necessary for reporting,
monitoring, and evaluation purposes.
6. The Department proposes to amend an existing system of records,
DOL/OSHA-1, Discrimination Complaint File, by renaming the system
Retaliation Complaint File; by amending the ``Authority'' category; and
by amending the ``Routine uses'' category. These amendments are needed
so that nine additional whistleblower protection statutes can be added
to this existing system of records. These are the Pipeline Safety
Improvement Act of 2002 (PSIA); the Corporate and Criminal Fraud
Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act (SOX);
the Federal Railroad Safety Act (FRSA), as amended by the Implementing
Recommendations of the 9/11 Commission Act of 2007; the National
Transit Systems Security Act of 2007 (NTSSA); the Consumer Product
Safety Improvement Act of 2008 (CPSIA); The Affordable Care Act; the
Consumer Financial Protection Act of 2010 (CFPA), Section 1057 of the
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010; the
Seaman's Protection Act (SPA); and the FDA Food Safety Modernization
Act (FSMA). Each of these statutes includes whistleblower protections
for employees who provide evidence of violations of law by their
employers. In addition, a number of the routine uses have been
consolidated and a routine use has been added so that appropriate
investigatory records can be disclosed to law enforcement entities. The
additions to the category for ``Routine uses'' cannot be made
administratively since the Privacy Act at 5 U.S.C. 552a(e)(4)(11)
requires that comment be allowed for any new routine use. Amendments to
several other categories are proposed in order to describe the system
more accurately.
7. The Department proposes to amend DOL/OCFO-1, Attendance, Leave,
and Payroll File, by revising the categories for ``System location,''
``Categories of individuals covered by the system,'' ``Categories of
records in the system,'' ``Routine uses,'' ``Retention,'' and ``System
manager'' as well as minor changes to the other categories to read as
set forth below. The new routine use will cover disclosure of records
to the payroll provider for the Department, which is currently the U.S.
Department of Agriculture's National Finance Center, in order to effect
all financial transactions on behalf of the Department related to
employee pay.
8. The Department proposes to amend DOL/GOVT-1, Office of Workers'
Compensation Programs, Federal Employees' Compensation Act File, by
adding an additional routine use. The new routine use will permit the
Department to disclose information to the National Institutes for
Occupational Safety and Health for the purpose of performing
statistical analyses of injury and illness patterns. These statistical
analyses will assist the Department's Office of Workers' Compensation
Programs and the Occupational Safety and Health Administration in their
respective missions.
9. The Department proposes to amend DOL/ETA-7, Employer Application
and Attestation File for Permanent and Temporary Alien Workers, by
revising the ``Categories of individuals covered by the system'' to
more accurately describe that the only employers who are covered by the
system of records are household employers of permanent or temporary
alien workers. In addition, minor changes are proposed for amendment,
in the categories for ``System location,'' ``Storage,''
``Retrievability,'' and ``Record source.''
10. The Department proposes to amend DOL/OSEC-1, Supervisor's/Team
Leader's Records of Employees, by adding an additional routine use.
This will permit information to be provided to professional licensing
organizations such as those for attorneys, accountants, and physicians.
In addition, minor changes are proposed to the categories for ``System
location,'' ``Categories of records in the system,'' ``Record source,''
``Authority,'' and ``Purpose.''
11. The Department proposes to amend universal routine use 12 by
clarifying the language contained in section three in order to more
accurately describe the applicability of the routine use.
The public, the Office of Management and Budget (OMB) and the
Congress are invited to submit written comments on the five new
systems, on the proposed amendments to five existing systems, and on
the proposed amendments to one universal routine use. A report on the
five new systems, the proposed amendments to five existing systems, and
on the proposed amendments to one universal routine use has been
provided to OMB and the Congress as required by OMB Circular A-130,
Revised, and 5 U.S.C. 552a(r).
In its April 8, 2002, publication, the Department gave notice of 12
routine uses that apply to all of its systems of records, except for
DOL/OASAM-5 and DOL/OASAM-7. These 12 routine uses were presented in
the General Prefatory Statement for that document, and it appeared at
Page 16825 of Volume 67 of the Federal Register. At this time, as a
convenience to the reader of this document, we are republishing this
General Prefatory Statement updated to include the amendments to
universal routine use 12. This republication includes the statement,
also contained in the 2002 publication, that pursuant to the Flexiplace
Program, the system location for all systems of records may be
temporarily located at alternate worksites, including employees' homes
or at geographically convenient satellite offices for part of the
workweek.
Signed at Washington, DC this 22nd day of September, 2011.
Hilda L. Solis,
Secretary of Labor.
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, or to DOL/OASAM-7, Employee Medical
Records.
1. To disclose the records to the Department of Justice when: (a)
The agency or any component thereof; or (b) any employee of the agency
in his or her official capacity; 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
[[Page 1730]]
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: 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 (42 U.S.C. 653(c)) 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, 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, provided the Solicitor of Labor determines in any of these
situations that the public interest in disclosure of specific
information in the context of a particular case outweighs the resulting
invasion of personal privacy.
B. System Location--Flexiplace Programs
The following paragraph applies to and is incorporated by reference
into all of the Department's systems of records under the Privacy Act,
within the category entitled, SYSTEM LOCATION:
Pursuant to the Department of Labor's Flexiplace Programs,
copies of records may be temporarily located at alternative
worksites, including employees' homes or at geographically
convenient satellite offices for part of the workweek. All
appropriate safeguards will be taken at these sites.
I. Publication of a New System of Records
DOL/CENTRAL-1
System Name:
Correspondents with the Department of Labor.
Security classification:
None.
System location:
At the offices of each component agency within the U.S. Department
of Labor, including national, regional, and contractor offices, and at
the offices of call centers serving the Department including the
Department's national call center currently located at the contractor's
site in Chantilly, Virginia.
Categories of individuals covered by the system:
Individual correspondents with the various components of the
Department who contact, by telephone, U.S. Mail or other mail/delivery
service, online, email, or phone bank, components within the Department
for various reasons such as, but not limited to, requests for
information, brochures, requests for compliance assistance, requests to
subscribe to message boards, and/or to use Web site based programs. It
includes callers to the Department's call center and contractors
providing mail and public information services to the Department.
Categories of records in the system:
This system contains comments by, or requests from, individuals and
information necessary to satisfy requests for information or brochures,
requests for compliance assistance, requests to subscribe to message
boards, or email management systems, and/or to use Web site based
programs. It includes information received from callers to the
Department's call centers. Depending on the nature of the request, the
file may include (but is not limited to) the following information
regarding individuals who have contacted the Department: Name, title,
mailing address, telephone and fax number, email address, area of
interest, and other information necessary to respond to a request.
Authority for maintenance of the system:
5 U.S.C. 301.
[[Page 1731]]
Purpose(s):
To enhance information exchange by improving the availability of
Departmental component information on automated systems; to facilitate
sending information on compliance assistance to correspondents; to use
Web site based programs; to provide usage statistics associated with
the Department's public access Internet site; and to provide a
framework from which to select an unbiased sample of individuals for
surveys. Among other things, 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 on
individuals who correspond with the Department.
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 individual dials), email 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 after three months, or in the case of Web site based
programs, message boards, or email management systems, when no longer
needed.
System manager(s) and address:
The relevant agency head for the applicable component agency within
the 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.
Individuals must furnish in writing the following information for their
records to be located and identified:
a. Full name and mailing address.
b. Signature.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Correspondents with the relevant component agency within the
Department.
Systems exempted from certain provisions of the Act:
None.
II. Publication of a Second New System of Records
DOL/CENTRAL-2
System name:
Registrants for Department of Labor Events and Activities.
Security classification:
None.
System location:
At the offices of each component agency within the Department of
Labor, including national, regional and contractor offices.
Categories of individuals covered by the system:
Individual correspondents with the various components of the
Department who contact, by telephone, fax, U.S. Mail or other mail/
delivery services, on-line, or email, components within the Department
to register for conferences, events, activities, seminars, special
interest Web sites, and programs.
Categories of records in the system:
This system contains information necessary to satisfy requests by
individuals to register for Department conferences, events, activities,
seminars, programs and special interest Web sites, including their
requests for special accommodations and items such as meal preferences.
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 the Department: name, title, mailing address, telephone and
fax number, and email address.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To permit persons to register, by mail, telephone, fax, email and
on-line, for Departmental conferences, events, activities, seminars,
special interest Web sites, and programs; to enhance information
exchange by improving the availability of Departmental component
information on automated systems; to provide a framework from which to
select an unbiased sample of individuals for surveys; and to maintain
the names, addresses, etc. of individuals who register for conferences
and seminars.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
In addition to the universal routine uses listed in the General
Prefatory Statement to this document, a record from this system of
records may be disclosed to private entities and/or State or other
Federal agencies that co-sponsor or have a statutory interest in the
subject of a particular conference or Web site. A record from this
system may be disclosed to hotels, conference centers, caterers,
interpreters and other entities that provide services for the purpose
of holding the conferences and seminars, including services to persons
with disabilities.
The names and business addresses of attendees may be disclosed to
conference attendees and/or the public, where appropriate. 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), email 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.
[[Page 1732]]
System manager(s) and address:
The relevant agency head for the applicable component agency within
the 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 in writing the following information for their
records to be located and identified:
a. Full name and address.
b. Signature.
Record access procedures:
As in notification procedure.
Contesting record procedures:
As in notification procedure.
Record source categories:
Correspondents with the relevant component agency within the
Department.
Systems exempted from certain provisions of the Act:
None.
III. Publication of a Third New System of Records
DOL/CENTRAL-3
System name:
Internal Investigations of Harassing Conduct.
Categories of individuals covered by the system:
Current or former Department employees, Department interns, or
other such agents of the Department, nationwide, who have filed a
complaint or report of harassment, or have been accused of harassing
conduct under the Department's Policy to Prevent Harassing Conduct in
the Workplace (the Policy).
System location:
Records on covered individuals are located at the Department of
Labor, Office of the Assistant Secretary for Administration and
Management and with respective agency Equal Employment Opportunity
(EEO) Managers in the national office.
Categories of records in the system:
The system contains all documents related to a complaint or report
of harassment, which may include the complaint, statements of
witnesses, reports of interviews, investigators and agency EEO
manager's findings and recommendations, final decisions and corrective
action taken, and related correspondence and exhibits.
Note: Records compiled by the Office of Inspector General in
its investigations of harassing conduct are covered by its own
system of records, entitled DOL/OIG-1, and are not part of this
system of records.
Authority for maintenance of the system:
5 U.S.C. 301; 44 U.S.C. 3101.
Purpose(s):
These records are maintained for the purpose of conducting internal
investigations into allegations of harassment brought against
Department employees and for taking appropriate action in accordance
with the Department's Policy.
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, disclosure of information
from this system of records regarding the status of any investigation
that may have been conducted may be made to the party who was subject
to the harassment and to the alleged harasser when the purpose of the
disclosure is both relevant and necessary and is compatible with the
purpose for which the information was collected.
Note: Records compiled under the Policy which subsequently
become part of the investigation record in an EEO complaint may be
disclosed to the complainant if the Civil Rights Center (CRC)
determines that the records are relevant and necessary with respect
to adjudicating the EEO complaint, when such disclosure is
compatible with the purpose for which the information was collected.
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:
These records are indexed by the name of the alleged victim(s) and/
or the name of the individual accused of harassing conduct.
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 maintained for four years from the date that the
investigation is closed.
System manager(s) and address:
Respective agencies' EEO managers, U.S. Department of Labor, 200
Constitution Ave. NW., Suite N-4123, Washington, DC 20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains non-exempt information about him/her should contact the
systems manager. Individuals must furnish in writing the following
information for their records to be located and identified:
a. Full name and address.
b. Signature.
Record access procedures:
As in notification procedure.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of Department's Privacy Act regulations
at 29 CFR 71.1 and 71.9.
Record source categories:
Individual complainants; agency EEO Managers; supervisors;
management officials; employee relations staff; witness statements;
Solicitor's Office staff; CRC staff, and summary reports on harassing
conduct complaints.
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 with an express promise
that the identity of the source would be held in confidence.
IV. Publication of a Fourth New System of Records
DOL/ESA-52
System Name:
Wage-Hour Financial Accounting System (WFAS).
Security classification:
None.
[[Page 1733]]
System location:
Wage-Hour Division (WHD) national office, and regional/sub-regional
offices.
Categories of individuals covered by the system:
All persons who receive payment from, or who owe a payment to,
agency/regional offices through one of two financial systems (Back Wage
Disbursement and Collection System or the Civil Money Penalty System).
These persons are as follows:
a. Persons receiving payments include, but are not limited to:
Employees; and third parties acting on behalf of employees.
b. Persons owing monies include, but are not limited to: Employers
who owe a debt due to the Government as a result of violations of one
or more of the laws enforced by the WHD; persons who have been
overpaid; and persons who owe the Department a refund.
Categories of records in the system:
Name, identification number (Taxpayer Identification Number or
other identifying number), Social Security Number, address, purpose of
payment, accounting classification, amount to be paid, withholdings,
and amount paid.
Authority:
5 U.S.C. 301.
Purpose(s):
These records are an integral part of the WHD accounting systems at
principal operating components, agency regional and sub-regional
offices. The records are used to keep track of all WHD payments due to
individuals, as well as those due from employers to the Federal
Government. When an accounts receivable is established, these records
regarding employers are used as part of collection actions. The
employee records are used to attempt to locate an employee for purposes
of distributing back wages to that employee on behalf of the employer.
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 (IRS) and applicable State and local taxing officials
of taxable income. This is a component-wide notice of payment and
collection activities.
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, the following disclosures
are permitted:
a. Transmittal of the records to the United States Treasury to
effect issuance of payments to payees.
b. Pursuant to Sec. 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 (31 CFR
Parts 900 through 904) for the purpose of determining the feasibility
of enforced collection, and by referring the cases to the Department of
Justice for litigation.
d. Pursuant to Sec. Sec. 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.
e. Information contained in the system of records may be disclosed
to the IRS 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 IRS concerning the discharge
of an indebtedness owed by an individual.
g. Information may be disclosed to the Social Security
Administration informing them of taxable income.
h. Information may be disclosed to State and local taxing officials
informing them of taxable income.
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:
This varies according to the particular operating accounting system
within the operating division, agency and regional office. Usually hard
copy documents are retrieved by case identification number. Computer
records are retrieved by employee last name, as well as case
identification number, employer name, Social Security Number, or on any
field in the record.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for paper
files.
Retention and Disposal:
Records pertaining to the collection and payment of back wages are
maintained in hard copy form in the regional and sub-regional offices
for one year after closing. They are then transferred to the Federal
Records Center for storage; they are retained there for six years and
three months and then are destroyed. Hard copy records of Civil Money
Penalty payments are transmitted back to the district offices for
inclusion in the regular investigation file. Automated records are
closed but available on the system once the case balance has reached
$0. These records will eventually be destroyed after six years and
three months, but prior to destruction, they are maintained in readable
form to facilitate tax inquiries from employees and employers.
System manager(s) and address:
Administrator, Wage-Hour Division, Room S-3502, Frances Perkins
Building, 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, employers, other Federal agencies,
Government contractors.
Systems exempted from certain provisions of the Act:
None.
V. Publication of a Fifth New System of Records
DOL/ETA-28
System name:
Senior Community Service Employment Program Information Files.
Security classification:
None.
System location:
U.S. Department of Labor, Employment and Training Administration,
Frances Perkins Building, 200 Constitution Avenue NW., Washington, DC
20210.
[[Page 1734]]
Categories of individuals covered by the system:
Participants in the Senior Community Service Employment Program
(SCSEP) funded under the Older Americans Act Amendments of 2006 (OAA
Amendments), Public Law 109-365.
Categories of records in the system:
Records in the system include personal characteristics of each
SCSEP participant; the description of training, community service
assignments, and unsubsidized employment placements the participants
received; wages and supportive services received; and program outcome
and participant follow-up information obtained after completion of the
program.
Authority for maintenance of the system:
OAA Amendments, Public Law 109-365, Sec. 513(a).
Purposes:
To maintain a management information system designed to facilitate
the uniform compilation and analysis of program data necessary for
reporting, monitoring and evaluation purposes. The system will:
a. 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 State grantee levels and will allow the Department to
respond to a variety of requests for specific information regarding the
scope of services; the types of community service activities; and the
nature and duration of employment that SCSEP grantees are providing to
their participants. Further, these reports will present detailed survey
information on the aggregate customer satisfaction of program
participants, participating host agencies, and employers of
participants.
b. Provide information that will enable the Department to monitor
the program at the national or grantee levels; to report to Congress on
program outcomes; and to provide feedback to State and National
grantees on their progress in implementing their grants.
c. Provide a suitable national database to enable the Department to
provide technical guidance to SCSEP grantees to enable them to meet
their negotiated performance measures.
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, disclosure of personnel,
procurement, or benefit-related information to contractors and agencies
to enable them to provide administrative functions for the program,
including the maintenance of participant pay records.
Disclosure of information to researchers of those records which 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 of information to Federal, State, and local agencies and
community-based organizations to facilitate statistical research,
audit, and evaluation activities necessary to insure the success,
integrity, and improvement of the SCSEP and other employment and
training programs.
Disclosure of information to placement and welfare agencies,
prospective employers, school, or training institutions to assist in
participant employment.
Disclosure of statistical information to the news media, public
interest groups, or members of the general public for the purpose of
promoting the merits of the SCSEP.
Disclosure to consumer reporting agencies:
Not applicable.
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:
Records may be retrieved by any data element.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for paper
files. 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 for two years after the files are no
longer active. After two years the files will be transferred to the
Federal Records Center, where they are destroyed after three years.
System manager(s) and address:
Chief, Division of Adult Services, Employment and Training
Administration, 200 Constitution Avenue NW., Washington, DC 20210.
Notification procedure:
Address inquiries to the Chief, Division of Adult Services,
Employment and Training Administration, 200 Constitution Avenue NW.,
Washington, DC 20210.
Record access procedures:
Individuals wishing access 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's Privacy Act regulations on verification of identity and
access to records.
Record contesting procedures:
Individuals wishing to request amendments to records should contact
the office indicated in the notification procedures section.
Record source categories:
Individual participants; SCSEP grantees.
Systems exempt from certain provisions of the Act:
None.
VI. Publication of a Proposed Amended System of Records
DOL/OSHA-1, Discrimination Complaint File, is proposed to be
amended by renaming the title to reflect that the file contains
complaints of retaliation, rather than discrimination; by revising the
category for ``Authority for maintenance of the system''; and by
proposing to amend the category for ``Routine uses.'' In addition,
several other categories are proposed to be refined. For the
convenience of the reader, the system is republished in full to read as
follows:
DOL/OSHA-1
System Name:
Retaliation Complaint File.
Security Classification:
None.
System Location:
At offices of the Occupational Safety and Health Administration
(OSHA) including National, regional, and area offices.
Categories of individuals covered by the system:
Individuals who have filed complaints alleging retaliation against
them by their employers, or by others, for engaging in activities
protected under the various statutes set forth below, popularly
referenced as whistleblower protection statutes. Complainants may file
such claims with
[[Page 1735]]
OSHA pursuant to 21 statutes: the Occupational Safety and Health Act
(29 U.S.C. 660(c)); the Surface Transportation Assistance Act (49
U.S.C. 31105); the Asbestos Hazard Emergency Response Act (15 U.S.C.
2651); the International Safe Container Act (46 U.S.C. 80507); the Safe
Drinking Water Act (42 U.S.C. 300j--9(i)); the Federal 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 (49 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); the Energy Reorganization Act of 1978 (42 U.S.C. 5851);
the Pipeline Safety Improvement Act of 2002 (49 U.S.C. 60129); the
Corporate and Criminal Fraud Accountability Act of 2002, Title VIII of
the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1514A); the Federal Railroad
Safety Act (49 U.S.C. 20109); the National Transit Systems Security Act
(6 U.S.C. 1142); the Consumer Product Safety Improvement Act (15 U.S.C.
2087); the Affordable Care Act (20 U.S.C. 208C); the Consumer Financial
Protection Act of 2010 (12 U.S.C.A. Sec. 5567); the Seaman's
Protection Act (46 U.S.C. 2114); and the FDA Food Safety Modernization
Act (21 U.S.C. 399d).
Categories of records in the system:
Complainant's name, address, telephone numbers, occupation, place
of employment, and other identifying data along with the allegation,
OSHA forms, and evidence offered in the allegation's proof.
Respondent's name, address, telephone numbers, response to notification
of the complaint, statements, and any other evidence or background
material submitted as evidence. This material includes records of
interviews and other data gathered by the investigator.
Authority for maintenance of the system:
a. the Occupational Safety and Health Act (29 U.S.C. -660(c));
b. the Surface Transportation Assistance Act (49 U.S.C. 31105);
c. the Asbestos Hazard Emergency Response Act (15 U.S.C. 2651);
d. the International Safe Container Act (46 U.S.C. 1506);
e. the Safe Drinking Water Act (42 U.S.C. 300j--9(i));
f. the Federal Water Pollution Control Act (33 U.S.C. 1367);
g. the Toxic Substances Control Act (15 U.S.C. 2622);
h. the Wendell H. Ford Aviation Investment and Reform Act for the
21st Century (49 U.S.C. 42121);
i. the Solid Waste Disposal Act (42 U.S.C. 6971);
j. the Clean Air Act (42 U.S.C. 7622);
k. the Comprehensive Environmental Response, Compensation and
Liability Act of 1980 (42 U.S.C. 9610);
l. the Energy Reorganization Act of 1978 (42 U.S.C. 5851);
m. the Pipeline Safety Improvement Act of 2002 (49 U.S.C. 60129);
n. the Corporate and Criminal Fraud Accountability Act of 2002,
Title VIII of the Sarbanes-Oxley Act of 2002 (18 U.S.C. 1514A);
o. the Federal Rail Safety Act (49 U.S.C. 20109);
p. the National Transit Security Systems Act (6 U.S.C. Sec. 1142);
q. the Consumer Product Safety Improvement Act (15 U.S.C. 2087);
r. the Affordable Care Act (Pub. L. 111-148);
s. The Consumer Financial Protection Act of 2010 (12 U.S.C.A. Sec.
5567);
t. The Seaman's Protection Act (46 U.S.C. 2114); and
u. The FDA Food Safety Modernization Act (Pub. L. 111-353).
Purpose(s):
The records are used to support a determination by OSHA on the
merits of a complaint alleging violation of the employee protection
provisions of one or more of the statutes listed under ``Authority.''
The records also are used as the basis of statistical reports on such
activity by the system manager, national office administrators,
regional administrators, investigators, and their supervisors in OSHA,
which reports may be released to the public.
Routine uses of the 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, a record from this system of
records may be disclosed as follows:
a. With respect to the statutes listed under the ``Authority''
category, disclosure of the complaint, as well as the identity of the
complainant, and any interviews, statements, or other information
provided by the complainant, or information about the complainant given
to OSHA, may be made to the respondent, so that the complaint can
proceed to a resolution.
Note: Personal information about other employees that is
contained in the complainant's file, such as statements taken by
OSHA or information for use as comparative data, such as wages,
bonuses, the substance of promotion recommendations, supervisory
assessments of professional conduct and ability, or disciplinary
actions, generally may be withheld from the respondent when it could
violate those persons' privacy rights, cause intimidation or
harassment to those persons, or impair future investigations by
making it more difficult to collect similar information from others.
b. With respect to the statutes listed under the ``Authority''
category, disclosure of the respondent's responses to the complaint and
any other evidence it submits may be shared with the complainant so
that the complaint can proceed to a resolution.
c. With respect to the statutes listed under the ``Authority''
category, disclosure of appropriate, relevant, necessary, and
compatible investigative records may be made to other Federal agencies
responsible for investigating, prosecuting, enforcing, or implementing
the underlying provisions of those statutes where OSHA deems such
disclosure is compatible with the purpose for which the records were
collected.
d. With respect to the statutes listed under the ``Authority''
category, disclosure of appropriate, relevant, necessary, and
compatible investigative records may be made to another agency or
instrumentality of any governmental jurisdiction within or under the
control of the United States, for a civil or criminal law enforcement
activity, if the activity is authorized by law, and if that agency or
instrumentality has made a written request to OSHA, specifying the
particular portion desired and the law enforcement activity for which
the record is sought.
e. With respect to the statutes listed under the ``Authority''
category, disclosure may be made to the media, researchers, or other
interested parties of statistical reports containing aggregated results
of program activities and outcomes. Disclosure may be in response to
requests made by telephone, email, fax, or letter, by a mutually
convenient method. Statistical data may also be posted by the system
manager on the OSHA Web page.
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.
[[Page 1736]]
Retrievability:
By complainant's name, respondent's name, case identification
number, or other identifying information.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for paper
files.
Retention and disposal:
Destroy five years after case is closed.
System manager(s) and address:
Director of the Office of the Whistleblower Protection Program in
the National Office, OSHA.
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 procedure:
Individuals wishing to gain access to non-exempt records should
contact the system manager.
Contesting record procedure:
Individuals wishing to request amendment of any non-exempt records
should contact the system manager at the system location listed above.
Record source categories:
Individual complainants who filed allegation(s) of retaliation by
employer(s) against employee(s) or persons who have engaged in
protected activities, 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.
VII. Publication of a Second Proposed Amended System of Records
DOL/OCFO-1, Attendance, Leave, and Payroll File, is proposed to be
amended by revising the categories for ``System location,''
``Categories of individuals covered by the system,'' ``Categories of
records in the system,'' ``Routine uses,'' ``Retention,'' and ``System
manager'' as well as minor changes to the other categories as set forth
below. The new routine use will cover disclosure of records to the
payroll provider for the Department, which is currently the U.S.
Department of Agriculture's (USDA) National Finance Center (NFC), in
order to effect all financial transactions on behalf of the Department
related to employee pay. For the convenience of the reader the amended
system is republished in full as follows:
DOL/OCFO-1
System name:
Attendance, Leave, and Payroll File.
Security classification:
None.
System location:
a. On electronic systems maintained by the Department and the
Department's payroll provider, currently the USDA NFC headquartered in
New Orleans, Louisiana, with primary computing facilities in Denver,
Colorado, and at backup facilities for the payroll provider, currently
located in St. Louis, Missouri.
b. Relevant data may also be stored on Department computers, or
servers at the Department, including for use in distributing payroll
and accounting information to the individual Department component
offices in Washington DC.
c. Timekeepers.
d. Offices of the Chief Financial Officer.
e. Department of Labor human resources offices.
f. The Department of Labor National Office Leave Bank.
Categories of individuals covered by the system:
Department employees, current and former, and other individuals
receiving compensation or benefits through the Department's payroll
system, including interns, student volunteers, and beneficiaries.
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. Internal Revenue Service (IRS) tax lien data, commercial
garnishment, child support data. Authorization forms for savings bonds
and charity deductions; authorization forms for regular and optional
Government life insurance deduction(s), health insurance deduction and
plan or code; authorization forms for labor union dues deductions;
other authorization forms. Cash award data; jury duty data; military
leave data; pay differentials; allotments by type and amount; Thrift
Savings Plan contributions; financial institution code(s) and employee
account number(s); leave status and leave data of all types (including
annual, compensatory, jury duty, maternity, military, retirement,
disability, sick, transferred, political, 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, marital
status, number of dependents, mailing address, ``Notification of
Personnel Action,'' co-owner and/or beneficiary of bonds. 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 or
other individuals covered by this system.
Note: Sign-in and sign-out records are filed chronologically
within Department offices 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's payroll
compensation and benefits processing, accounting, and reporting. The
system provides control procedures and systems to assure the
[[Page 1737]]
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:
In addition to the universal routine uses listed in the General
Prefatory Statement to this document, the Department may disclose
relevant and necessary data as follows:
The Department may disclose records to its payroll provider,
currently the USDA NFC, in order to effect all financial transactions
on behalf of Department-related employee pay and compensation.
Specifically, the Department's payroll provider may effect employee pay
or deposit funds on behalf of Department employees, and/or it may
withhold, collect or offset funds from employee salaries as required by
law or as necessary to correct overpayment or amounts due. For example,
the Department's payroll provider will routinely make the necessary
disclosures to the Treasury Department for the issuance of payments as
follows: To distribute pay according to the employee directions for
savings bonds, allotments to financial institutions, and other
authorized purposes. Transmittal of Thrift Savings Plan data to the
Federal Retirement Thrift Investment Board (FRTIB) to effect
contributions to the Thrift Savings Plan. Tax withholding data sent to
the IRS 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
(OPM), retirement contributions to OPM, 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
Department employees. In addition, the Department's payroll provider
will use the data to perform related administrative activities such as
to certify payroll vouchers chargeable to Department funds and to
perform or participate in routine audit/oversight operations, including
by the Office of Inspector General of the payroll provider, and/or
Government Accountability Office, Office of Management and Budget, OPM,
and the FRTIB.
In addition, where determined to be appropriate or necessary, the
Department may authorize the Department's payroll provider to make
disclosure of relevant records from this system, or the Department may
disclose relevant records from this system, as follows:
a. Pursuant to Sec. 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.
b. Department of Justice and Department of Treasury: Information
may be forwarded to the Department of Treasury and/or the Department of
Justice as prescribed in the Joint Federal Claims Collection Standards
(31 CFR Parts 900 through 904). When debtors fail to make payment
through normal collection routines, the files are analyzed to determine
the feasibility of enforced collection by referring the cases to the
Department of Justice for litigation.
c. Other Federal Agencies: Pursuant to Sec. Sec. 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.
d. IRS:
(1) Information contained in the system of records may be disclosed
to the IRS 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 IRS
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 IRS concerning the
discharge of an indebtedness owed by an individual.
e. 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 Department in order to collect debts under
the provisions of the Debt Collection Act of 1982 (Public Law 97-365)
by voluntary repayment, or by salary or administrative offset
procedures.
f. The names, Social Security Numbers, home addresses, dates of
birth, dates of hire, quarterly earnings, employer identifying
information, and State of hire of employees may be disclosed to the
Office of Child Support Enforcement, Administration for Children and
Families, Department of Health and Human Services in order to locate
individuals for the purpose of: establishing 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).
g. 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 reporting agencies:
The amount, status, and history of overdue debts as well as 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 Sec.
603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)), in
accordance with Sec. 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:
Files are stored electronically and/or on paper.
Retrievability:
By name, Social Security Number, or other identifying information
in the system.
[[Page 1738]]
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for paper
files.
Retention and disposal:
Records are disposed of in accordance with General Records Schedule
No. 2 issued by the National Archives and Records Administration.
System manager(s) and address:
Director, Division of Payroll System Support, Office of Financial
Systems, Office of the Chief Financial Officer, Department of Labor,
200 Constitution Ave. NW., Washington, DC 20210, and the Director,
Department of Labor National Office Leave Bank, 200 Constitution Avenue
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 the following
information for their records to be located and identified:
a. Name and address.
b. Social Security Number.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager.
Record source categories:
Employees (or others receiving compensation or benefits through the
payroll system), 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 Department systems of records.
Systems exempted from certain provisions of the Act:
None.
VIII. Publication of a Third Proposed Amended System of Records
DOL/GOVT-1, Office of Workers' Compensation Programs, Federal
Employees' Compensation Act File, is proposed to be amended by adding
an additional routine use to the category for ``Routine uses.'' The new
routine use will permit the Department to disclose information to the
National Institutes for Occupational Safety and Health (NIOSH) for the
purpose of performing statistical analysis of injury and illness
patterns. These statistical analyses will assist the Department's
Office of Workers' Compensation Programs (OWCP) and the Occupational
Safety and Health Administration in their respective missions. In
addition, style and grammatical changes have been made to categories in
this system to clarify the text. For the convenience of the reader the
amended system is republished in full as follows:
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 that has given
the information the security classification of Top Secret.
System location:
The central database for DOL/GOVT-1 is located at the DOL National
office and the offices of OWCP's contractor. Paper claim files are
located at the various OWCP district offices; 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 offices
of health care providers and other individuals or entities with whom
the Department contracts for services such 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 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 Federal Employees' and
Energy Workers' Compensation, Office of the Solicitor, United States
Department of Labor, 200 Constitution Avenue NW., Washington, DC 20210,
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.
Categories of individuals covered by the system:
Individuals and/or their survivors who file claims seeking benefits
under FECA by reason of injuries sustained while in the performance of
duty. 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, 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 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
[[Page 1739]]
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):
FECA establishes the system for processing and adjudicating claims
that Federal employees and other covered individuals file with the
Department'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 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 Sec. Sec. 8131-8132 of 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 Sec. Sec. 8131-8132 of 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 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 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 has paid for
treatment of a medical condition that is not compensable under 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 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 OSHA for the purpose of using injury reports filed by Federal
agencies pursuant to 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 Management Information System
established under OSHA regulations to monitor health and safety.
k. To contractors providing services to the Department 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 Department 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 FECA, to
[[Page 1740]]
collect the debt, or to establish a payment schedule.
n. To consumer reporting agencies as defined by Sec. 603(f) of the
Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance with
Sec. 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 Sec. 666(b) of title
42, U.S.C., or for the purpose of denying the existence of funds
subject to such legal obligation.
q. To the National Institute for Occupational Safety and Health
(NIOSH), for the purpose of performing statistical analyses of injury
and illness patterns to identify patterns and locations of high
incidence, help devise safety and return-to-work interventions, and
guide worker safety and health research. The statistical analyses
performed by NIOSH will assist OWCP and OSHA in their efforts to reduce
the occurrence of employment injuries, assist employees in achieving a
smooth transition and return to work following employment injuries, and
improve Federal employee safety and health.
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 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 that have a
need for the record in the performance of their duties.
Disclosure to consumer reporting agencies:
The amount, status and history of overdue debts, the name and
address, taxpayer identification (SSN), and other information necessary
to establish the identity of a debtor, the agency and program under
which the claim arose, may be disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting agencies as defined by Sec. 603(f)
of the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance
with Sec. 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:
Files are stored electronically and/or on paper.
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
that 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:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data and locked locations for paper
files. Only personnel having an appropriate security clearance may
handle or process security files.
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. Electronic data is retained in its most
current form only, and as information is updated, outdated information
is deleted. Some related financial records are retained only in
electronic form, and destroyed six years and three 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.
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;
[[Page 1741]]
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
Department 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.
IX. Publication of a Fourth Proposed Amended System of Records
DOL/ETA-7, Employer Application and Attestation File for Permanent
and Temporary Alien Workers, is proposed to be amended by revising the
``Categories of individuals covered by the system'' to more accurately
describe that the only employers who are covered by this system of
records are household employers of permanent or temporary alien
workers. In addition, minor changes in the categories for ``System
location,'' ``Categories of individuals covered by the system,''
``Routine uses,'' ``Storage,'' ``Retrievability,'' ``System manager and
address'' and ``Record source'' are proposed for amendment. For the
convenience of the reader the amended system is republished in full as
follows:
DOL/ETA-7
System name:
Employer Application and Attestation File for Permanent and
Temporary Alien Workers.
Security classification:
None.
System location:
Office of Foreign Labor Certifications, Employment and Training
Administration (ETA), Frances Perkins Building, 200 Constitution Avenue
NW., Washington, DC 20210, ETA National Processing Centers, and
contractor offices.
Categories of individuals covered by the system:
Employers applying for labor certifications on behalf of alien
workers for job opportunities, on a permanent or temporary basis, in
private households. 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:
The universal routine uses listed in the General Prefatory
Statement to this document apply to this system of records. In
addition, case files developed in processing labor certification
applications, labor condition applications, or labor attestations, are
released: to the employers who 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
(OALJ) and Federal Courts; to participating agencies such as the DOL
Office of Inspector General, DOL Wage and Hour Division, Department of
Homeland Security, and Department of State in connection with
administering and enforcing related immigration laws and regulations;
and to the OALJ and Federal Courts in connection with appeals of
denials of labor certification requests, labor condition applications,
and labor attestations.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Manual and/or computerized files are stored in the national office,
and each of the ETA National Processing Centers.
Retrievability:
Records are retrieved by employer name, case number, occupational
type, alien name, attorney/agent name, attorney/agent firm name,
application year, re-file information, and area of intended employment.
Safeguards:
Access to records is 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 for performance of their official duties.
Retention and disposal:
A case file is retained in the office for two years, then
transferred to a records center for destruction after three additional
years.
System manager(s) and address:
Administrator, Office of Foreign Labor Certifications, U.S. Office
of Workforce Security, ETA, 200 Constitution Avenue NW., Washington, DC
20210.
Notification procedure:
Inquiries concerning this system can be directed to the system
manager listed above.
Record access procedures:
Individuals can request access 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 workforce agencies, and the resumes
and applications of U.S. workers.
[[Page 1742]]
Systems exempted from certain provisions of the Act:
None.
X. Publication of a Fifth Proposed Amended System of Records
DOL/OSEC-1, Supervisor's/Team Leader's Records of Employees, is
proposed to be amended by adding an additional routine use to the
category for ``Routine uses,'' which will permit information to be
provided to professional licensing organizations such as those for
attorneys, accountants, and physicians. In addition, minor changes are
proposed to the categories for ``System location,'' ``Categories of
records in the system,'' and for ``Record sources.'' For the
convenience of the reader, the amended system is republished in full as
follows:
DOL/OSEC-1
System name:
Supervisor's/Team Leader's Records of Employees.
Security classification:
None.
System location:
Records of membership in professional licensing organizations such
as those for attorneys, accountants and physicians will be maintained
in the supervisor's offices and in the national and regional Human
Resources Offices. Emergency addressee information may be kept at the
residence of or 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 (PHS) physician completes
his or her review of the request.
Categories of individuals covered by the system:
Current employees, employees who have retired or left the office
within the last 12 months, and employees who have been separated from
the office or Department for more than 12 months for whom the former
supervisor/team leader has retained records.
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 Federal
Telecommunications System telephone usage containing call detail
information, awards, disciplinary actions, emergency addressee
information, flexiplace records, reports of on-the-job accidents,
injuries, or illnesses, correspondence from physicians or other health
care providers, training requests, requests for regular leave, advanced
leave, family and medical leave, and records of membership in
professional licensing organizations such as those for attorneys,
accountants and physicians. 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 PHS physicians who have reviewed the accommodation
requests.
The system also contains labor relations materials such as
performance improvement plans, 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
Americans with Disabilities 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 regarding employees.
Routine uses of records maintained in the system, including categories
of users and the purpose of such uses:
In addition to the universal routine uses listed in the General
Prefatory Statement to this document, the following routine uses apply
to this system of records:
a. Selected information may be disclosed at appropriate stages of
investigation and adjudication to the Department's Civil Rights Center,
Merit Systems Protection Board, Office of Special Counsel, Federal
Labor Relations Authority, Equal Employment Opportunity Commission,
arbitrators, or the courts for the purposes of satisfying requirements
related to investigation of or litigation related to alleged
discrimination, prohibited personnel practices, and unfair labor
practices.
b. Records relating to a request for a reasonable accommodation may
be referred to 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.
d. Information may be disclosed to professional licensing
organizations such as those for attorneys, accountants, and physicians
for the purpose of confirming the membership status of the employee.
Disclosure to consumer reporting agencies:
None.
Policies for storing, retrieving, accessing, retaining, and disposing
of records in the system:
Storage:
Records are maintained in electronic and/or paper files.
Retrievability:
By name of employee or other identifying information.
Safeguards:
Access by authorized personnel only. Computer security safeguards
are used for electronically stored data, and locked locations for paper
files.
Retention and disposal:
Records are maintained on current employees. Records on former
employees are kept for one year, and then may be 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 must 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, co-workers, and
professional licensing organizations such as those for attorneys,
accountants and physicians.
Systems exempted from certain provisions of the Act:
None.
[FR Doc. 2012-345 Filed 1-10-12; 8:45 am]
BILLING CODE 4510-23-P