[Privacy Act Issuances (2005)]
[From the U.S. Government Publishing Office, www.gpo.gov]
DEPARTMENT OF THE LABOR
Table of Contents
General Prefatory Statement
Table of Contents
General Prefatory Statement
Government-Wide Systems by the U.S. Department of Labor
DOL/GOVT-1--Office of Workers' Compensation Programs, Federal
Employees' Compensation File.
DOL/GOVT-2--Job Corps Student Records.
Office of the Secretary (OSEC)
DOL/OSEC-1--Supervisor's/Team Leader's Records of Employees.
Office of the Assistant Secretary for Administration and Management (OASAM)
DOL/OASAM-4--Occupational Accident/Injury/Illness Reporting
System (AIIRS) File.
DOL/OASAM-5--Rehabilitation and Counseling File.
DOL/OASAM-7--Employee Medical Records.
DOL/OASAM-12--Administrative Grievance Records.
DOL/OASAM-17--Equal Employment Opportunity Complaint Files.
DOL/OASAM-19--Negotiated Grievance Procedure and Unfair Labor
Practice Files.
DOL/OASAM-20--Personnel Investigation Records.
DOL/OASAM-22--Civil Rights Center Citizen Discrimination
Complaint Files.
DOL/OASAM-23--Travel Management Center.
DOL/OASAM-24--Privacy Act/Freedom of Information Act Requests
File System.
DOL/OASAM-25--Intergovernmental Personnel Act Assignment Records.
DOL/OASAM-26--Frances Perkins Building Parking Management System.
DOL/OASAM-27--Employee/Contractor Identification Program.
DOL/OASAM-28--Incident Report/Restriction Notice.
DOL/OASAM-29--OASAM Employee Administrative Investigation File.
DOL/OASAM-31--DOL Flexible Workplace (Flexiplace) Programs
Evaluation and Files.
DOL/OASAM-32--Transit Subsidy Management System.
DOL/OASAM-33--Entity Database.
DOL/OASAM-34--DOL Fitness Association (DOLFA) Membership Files.
DOL/OASAM-35--DOL Child Care Subsidy Programs Records.
DOL/OASAM-36--PeoplePower.
Office of Administrative Law Judges (OALJs)
DOL/OALJ-1--Office of Administrative Law Judges Case Tracking
System.
DOL/OALJ-2--Office of Administrative Law Judges Case Files.
DOL/OALJ-3--Contract List.
DOL/OALJ-4--Notification List.
Office of the Administrative Review Board
DOL/ARB-1--Administrative Review Board Appeals Files.
Office of the Assistant Secretary for Policy (ASP)
DOL/ASP-1--National Agricultural Workers Survey (NAWS) Research
File, Case Tracking Files, Name Index.
Benefits Review Board (BRB)
DOL/BRB-1--Appeals Files-Benefits Review Board (BRB).
Bureau of Labor Statistics (BLS)
DOL/BLS-6--Applicant Race and National Origin (ARNO) System, Form
E 618.
DOL/BLS-7--BLS Employee Conduct Investigation.
DOL/BLS-8--BLS Employee ADP Training History.
DOL/BLS-9--Routine Administrative Files.
DOL/BLS-10--Commissioner's Correspondence Control System.
DOL/BLS-11--Mainframe User ID Database.
DOL/BLS-12--Employee Acknowledgement Letter Control System.
DOL/BLS-13--National Longitudinal Survey of Youth 1979 (NLSY79)
Database.
DOL/BLS-14--Collection Procedures Research Lab Project Files.
DOL/BLS-17--National Longitudinal Survey of Youth 1996 (NLYS96).
DOL/BLS-18--Postal Square Building Parking Management Records.
DOL/BLS-19--Customer Information Files.
DOL/BLS-20--Fellowship Applicants and Recipients Files.
Office of the Chief Financial Officer (CFO)
DOL/CFO-1--Attendance, Leave and Payroll File.
DOL/CFO-2--Department of Labor Accounting and Related Systems.
DOL/CFO-3--Travel and Transportation System.
Office of Disability Employment Policy, formerly known as the President's
Committee on Employment of People with Disabilities (PCEPD)
DOL/ODEP-1--Job Accommodation Network (JAN) Files.
DOL/ODEP-2--Workforce Recruitment Program (WRP) Database.
Employees' Compensation Appeals Board (ECAB)
DOL/ECAB-1--Employees' Compensation Appeals Board Docket Records.
DOL/ECAB-2--Employees' Compensation Appeals Board Disposition
Records.
Employment Standards Administration (ESA)
DOL/ESA-2--Office of Federal Contract Compliance Programs,
Complaint Case Files.
DOL/ESA-5--Office of Workers' Compensation Programs, Black Lung
Antidiscrimination Files.
DOL/ESA-6--Office of Workers' Compensation Programs, Black Lung
Benefits Claim File.
DOL/ESA-15--Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Case Files.
DOL/ESA-24--Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Special Fund System.
DOL/ESA-25--Office of Federal Contract Compliance Programs,
Management Information System (OFCC/MIS).
DOL/ESA-26--Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Investigation Files.
DOL/ESA-27--Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Claimant Representatives.
DOL/ESA-28--Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded Under the Longshore Act.
DOL/ESA-29--Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded Under the Federal Employees'
Compensation Act.
DOL/ESA-30--Office of Workers' Compensation Programs, Black Lung
Automated Support Package.
DOL/ESA-32--Employee Conduct Investigations.
DOL/ESA-33--Time Report Component of the Wage and Hour
Investigative Support and Reporting Database (WHISARD).
DOL/ESA-34--Farm Labor Contractor Registration File.
DOL/ESA-35--Farm Labor Contractor Employee Registration File.
DOL/ESA-36--MSPA Civil Money Penalties in the Wage and Hour
Investigative Support and Reporting Database (WHISARD).
DOL/ESA-37--MSPA Public Central Registry Records File.
DOL/ESA-38--Wage and Hour Regional Office Clearance List-MSPA
Registration.
DOL/ESA-39--State Employment Service Clearance List-MSPA
Registration.
DOL/ESA-40--MSPA Tracer List.
DOL/ESA-41--MSPA Certificate Action Record Files.
DOL/ESA-42--Case Registration/Investigator form; in the Wage and
Hour Investigative Support and Report Database (WHISARD).
DOL/ESA-43--Office of Workers' Compensation Programs, Federal
Employees Compensation Act and Longshore and Harbor Workers'
Compensation Act Rehabilitation Files.
DOL/ESA-44--Office of Workers' Compensation Programs, Federal
Employees Compensation Act (FEC) and Longshore and Harbor Workers'
Compensation Act Rehabilitation Counselor Case Assignment, Contract
Management and Performance Files and FEC Field Nurses Files.
DOL/ESA-45--Investigative Files of the Office of Labor-Management
Standards (Formerly DOL/OAW-1)
DOL/ESA-46--Migrant and Seasonal Agricultural Worker Protection
Act (MSPA) Ineligible Farm Labor Contractors.
DOL/ESA-47--Youth Peddler Bulletin Board.
DOL/ESA-48--``Customer Service'' component of the Wage Hour
Investigative Support and Reporting Database (WHISARD).
DOL/ESA-49--Office of Workers' Compensation Programs, Energy
Employees' Occupational Illness Compensation Program Act File.
DOL/ESA-50--Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded under the Energy Employees'
Occupational Illness Compensation Program Act.
DOL/ESA-51--OLMS Public Disclosure Request Tracking System.
Employment and Training Administration (ETA)
DOL/ETA-1--Bureau of Apprenticeship and Training, Budget and
Position Control File.
DOL/ETA-4--Apprenticeship Information Management System (AIMS).
DOL/ETA-7--Employer Application File for Permanent and Temporary
Alien Workers.
DOL/ETA-8--Job Corps Student Pay, Allotment and Management
Information System (SPAMIS).
DOL/ETA-15--DOL/ETA Evaluation, Research Pilot or Demonstration
Contractors' Project Files.
DOL/ETA-16--Employment and Training Administration Investigatory
File.
DOL/ETA-20--Federal Bonding Program, Bondees Certification Files.
DOL/ETA-22--ETA Employee Conduct Investigations.
DOL/ETA-24--Contracting and Grant Officer Files.
DOL/ETA-25--DOL/ETA Evaluation Research Projects of the
Unemployment Compensation System.
DOL/ETA-26--Standardized Program Information Report (SPIR).
DOL/ETA-27--Youth Opportunity Grant Program Information Files.
Office of Inspector General (OIG)
DOL/OIG-1--Investigative Files, Case Tracking System, Analysis,
Complaints and Evaluation Files, USDOL/OIG.
DOL/OIG-2--Freedom of Information/Privacy Acts Records.
DOL/OIG-3--Investigative Case Files, Case Development and
Intelligence Records.
DOL/OIG-5--Audit Information, Tracking and Reporting Systems.
Bureau of International Labor Affairs (ILAB)
DOL/ILAB-1--Arbitrators/Experts/Consultant Candidates'
Biographies.
Mine Safety and Health Administration (MSHA)
DOL/MSHA-1--Coal and Metal and Nonmetal Mine Accident, Injury,
and Illness.
DOL/MSHA-3--Metal and Nonmetal Mine Safety and Health Management
Information System.
DOL/MSHA-10--Discrimination Investigations.
DOL/MSHA-13--Coal Mine Respirable Dust Program.
DOL/MSHA-15--Health and Safety Training and Examination Records.
DOL/MSHA-18--Coal Mine Safety and Health Management Information
System.
DOL/MSHA-19--Employee Conduct Investigations System.
DOL/MSHA-20--Civil/Criminal Investigations.
DOL/MSHA-21--Assessments and Civil Penalty Debt Collection
Activity and Reporting System.
DOL/MSHA-22--Education Policy and Development; National Mine
Health and Safety Academy Permanent Record Cards.
DOL/MSHA-23--Educational Policy and Development; Educational
Field Services (EFS) Activity Reporting System.
DOL/MSHA-24--Radon Daughter Exposure.
Occupational Safety and Health Administration (OSHA)
DOL/OSHA-1--Discrimination Complaint File.
DOL/OSHA-6--Program Activity File.
DOL/OSHA-9--OSHA Compliance Safety and Health Officer Training
Record.
DOL/OSHA-10--OSHA Train-the-Trainer Outreach Program.
DOL/OSHA-12--OSHA Employee Conduct Investigations.
DOL/OSHA-13--OSHA Office of Training and Education Automated
Registration System.
DOL/OSHA-14--Office of Training and Education Computer-based
Acquisition/Financial Records System.
DOL/OSHA-15--Office of Training and Education Resource Center
Circulation Project.
Employee Benefits Security Administration (EBSA)
DOL/PWBA-2--PWBA Investigation Management Files.
DOL/PWBA-3--PWBA Correspondence Files.
DOL/PWBA-4--Technical Assistance and Inquiry Files.
DOL/PWBA-5--Public Disclosure Request Tracking System.
DOL/PWBA-6--PWBA Debt Collection/Management System.
DOL/PWBA-7--Employee Conduct Investigations.
DOL/PWBA-8--PWBA Consolidated Training Record.
DOL/PWBA-9--Office of Enforcement Correspondence Tracking System.
DOL/PWBA-10--PWBA Civil Litigation Case Information System.
DOL/PWBA-11--PWBA Criminal Case Information System.
DOL/PWBA-12--Publication Hotline Requests.
DOL/PWBA-13--Office of Exemption Determinations ERISA Section
502(l) Files.
DOL/PWBA-14--Investment Advisor Registration Data Base.
DOL/PWBA-15--PWBA Inventory Management Data Base.
DOL/PWBA-16--Form 5500EZ Filings.
Office of Small Business Programs (OSBP)
DOL/OSBP-1--Office of Small Business Programs, Small Entity
Inquiry and Complaint Tracking System.
DOL/OSBP-2--Department of Labor Advisory Committee Members Files.
Office of the Solicitor (OSOL)
DOL/SOL-3--Tort Claims Files.
DOL/SOL-5--Workforce Investment Act Tort Claims Files.
DOL/SOL-6--Military Personnel and Civilian Employees' Claims.
DOL/SOL-7--Solicitor's Legal Activity Recordkeeping System.
DOL/SOL-9--Freedom of Information Act and Privacy Act Appeals
Files.
DOL/SOL-13--Employee Conduct Investigations.
DOL/SOL-15--Solicitor's Office Litigation Files.
DOL/SOL-17--Solicitor's Office Equipment Files.
Office of the 21st Century Workforce
Correspondence with the Office ofthe 21st Century Wiorkforce.
Veterans Employment and Training (VETS)
DOL/VETS-1--Uniformed Services Employment and Re-employment
Rights Act (USERRA) Complaint File.
DOL/VETS-2--Veterans' Preference Complaint File under the
Veterans Equal Opportunities Act of 1998 (VEOA).
DOL/VETS-3--Veterans' Transition Assistance Program (TAP)
Registration System.
Appendix--Responsible Officials
General Prefatory Statement
A. Universal Routine Uses of the Records
The following routine uses of the records apply to and are
incorporated by reference into each system of records published below
unless the text of a particular notice of a system of records
indicates otherwise. These routine uses do not apply to DOL/OASAM--5,
Rehabilitation and Counseling File, nor to DOL/OASAM--7, Employee
Medical Records.
1. To disclose the records to the Department of Justice when:
The agency or any component thereof; or (b) any employee of the
agency in his or her official capacity; or (c) the United States
Government, is a party to litigation or has an interest in such
litigation, and by careful review, the agency determines that the
records are both relevant and necessary to the litigation, and the
use of such records by the Department of Justice is for a purpose
that is compatible with the purpose for which the agency collected
the records.
2. To disclose the records in a proceeding before a court or
adjudicative body, when: (a) The agency or any component thereof; or
(b) any employee of the agency in his or her official capacity; or
(c) any employee of the agency in his or her individual capacity; or
(d) the United States Government, is a party to litigation or has an
interest in such litigation, and by careful review, the agency
determines that the records are both relevant and necessary to the
litigation, and that the use of such records is a purpose that is
compatible with the purpose for which the agency collected the
records.
3. When a record on its face, or in conjunction with other
information, indicates a violation or potential violation of law,
whether civil, criminal or regulatory in nature, and whether arising
by general statute or particular program statute, or by regulation,
rule, or order issued pursuant thereto, disclosure may be made to the
appropriate agency, whether Federal, foreign, State, local, or
tribal, or other public authority responsible for enforcing,
investigating or prosecuting such violation or charged with enforcing
or implementing the statute, or rule, regulation, or order issued
pursuant thereto, if the agency determines by careful review that the
records or information are both relevant and necessary to any
enforcement, regulatory, investigative or prosecutive responsibility
of the receiving entity, and that the use of such records or
information is for a purpose that is compatible with the purposes for
which the agency collected the records.
4. To a Member of Congress or to a Congressional staff member in
response to an inquiry of the Congressional office made at the
written request of the constituent about whom the record is
maintained.
5. To the National Archives and Records Administration or to the
General Services Administration for records management inspections
conducted under 44 U.S.C. 2904 and 2906.
6. To disclose to contractors, employees of contractors,
consultants, grantees, and volunteers who have been engaged to assist
the agency in the performance of or working on a contract, service,
grant, cooperative agreement or other activity or service for the
Federal Government.
Note 1. Recipients shall be required to comply with the
requirements of the Privacy Act of 1974, as amended, 5 U.S.C. 552a;
see also 5 U.S.C. 552a(m).
7. To the parent locator service of the Department of Health and
Human Services or to other authorized persons defined by Public Law
93--647 the name and current address of an individual for the purpose
of locating a parent who is not paying required child support.
8. To any source from which information is requested in the
course of a law enforcement or grievance investigation, or in the
course of an investigation concerning retention of an employee or
other personnel action, the retention of a security clearance, the
letting of a contract, the retention of a grant, or the retention of
any other benefit, to the extent necessary to identify the
individual, inform the source of the purpose(s) of the request, and
identify the type of information requested.
9. To a Federal, State, local, foreign, or tribal or other public
authority of the fact that this system of records contains
information relevant to the hiring or retention of an employee, the
granting or retention of a security clearance, the letting of a
contract, a suspension or debarment determination or the issuance or
retention of a license, grant, or other benefit.
10. To the Office of Management and Budget during the
coordination and clearance process in connection with legislative
matters.
11. To the Department of the Treasury, and a debt collection
agency with which the United States has contracted for collection
services to recover debts owed to the United States.
12. To the news media and the public when (1) the matter under
investigation has become public knowledge, (2) the Solicitor of Labor
determines that disclosure is necessary to preserve confidence in the
integrity of the Department or is necessary to demonstrate the
accountability of the Department's officers, employees, or
individuals covered by this system, or (3) the Solicitor of Labor
determines that there exists a legitimate public interest in the
disclosure of the information, except to the extent that the
Solicitor of Labor determines in any of these situations that
disclosure of specific information in the context of a particular
case would constitute an unwarranted invasion of personal privacy.
. System Location--Flexiplace Programs
The following paragraph applies to and is incorporated by
reference into all of the Department's systems of records under the
Privacy Act, within the category entitled, SYSTEM LOCATION:
Pursuant to the Department of Labor's Flexiplace Programs, copies
of records may be temporarily located at alternative worksites,
including employees' homes or at geographically convenient satellite
offices for part of the workweek. All appropriate safeguards will be
taken at these sites.
Government-Wide Records
Two systems of records are reported by the Department of Labor
for all federal agencies since this Department has overall
responsibility for the administration of the programs in connection
with which these systems of records have been compiled. It is
presumed that most, if not all, federal agencies maintain systems of
records comprising a portion of the government wide systems of
records. In order to avoid duplication in reporting, the Department
is reporting these systems on behalf of all agencies. The Department
has control over these systems to the same extent as the Office of
Personnel Management has control over systems of records containing
federal employee personnel records.
1. Federal Employees' Compensation Act Files: All records
relating to injury or death of civilian employees or other persons
entitled to benefits under the Federal Employees' Compensation Act
are the records of the Office of Workers' Compensation Programs of
the Department of Labor. The Office asserts control of these records
under the provisions of 5 U.S.C. 8149 and Department regulations at
20 CFR 10.10. This notice applies to copies of claim forms and other
documents relating to a compensation claim maintained by the
employing agency. This notice, however, does not apply to other
medical or related files not created pursuant to the Federal
Employees' Compensation Act which may be in the possession of an
agency. This system is entitled DOL/GOVT-1, Office of Workers'
Compensation Programs, Federal Employees' Compensation File.
Initial determinations on requests for access, amendment or
correction of records maintained in this system of records shall be
made by the OWCP district office having jurisdiction over the
particular claim. In addition, requests for access to copies of
records maintained by the employing agency may be directed to that
agency. Administrative appeals from initial determinations denying
access, amendment or correction, shall be addressed to the Solicitor
of Labor, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210, as required by 20 CFR 10.12.
2. Job Corps Student Records: All records which contain
information about students during their stay in Job Corps, from
entrance to placement and/or termination, are records which must be
maintained by the Job Corps center. The Employment and Training
Administration asserts control of these records under 29 U.S.C. 2881
et seq. This system is entitled DOL/GOVT-2, Job Corps Student
Records.
Initial determinations concerning access, amendment or correction
of this government-wide system of records shall be made by screening
contractors, Job Corps Center Directors, Job Corps National or
Regional Offices. Administrative appeals shall be referred to the
Solicitor of Labor, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
Special California Earthquake Co-operative Agreement
The San Francisco, California Regional Office of the Department
of Labor's Office of Assistant Secretary for Administration and
Management (OASAM), Region IX of OASAM, has entered into a reciprocal
agreement with the U.S. Internal Revenue Service's Office of the
Regional Counsel located in San Francisco. The purpose of this
reciprocal agreement is to provide each with an alternative off-site
location to store computer data. This back-up storage capacity will
mitigate damage if an earthquake ever occurs in the San Francisco
area. This agreement is based upon the fact that the respective
offices of the participants are located at opposite ends of the
downtown San Francisco district and the ground structure of the two
areas is substantially different.
Addresses to Which Requests May Be Directed
The addresses of the various component units of the Department as
well as its regional offices are contained in the Appendix annexed to
this document.
In addition, the following government agencies also have
Government-wide Systems of Records:
Government-Wide Systems
EEOC/GOVT-/-1--Equal Employment Opportunity Complaint
Records and Appeal Records
FEMA/GOVT-1--National Defense Executive Reserve System
GSA/GOVT-2--Employment Under Commercial Activities
Contracts
GSA/GOVT-3--Travel Charge Card Program
GSA/GOVT-4--Contracted Travel Services Programs
MSPB/GOVT-1--Appeal and Case Records
OGE/GOVT-1--Executive Branch Public Financial
Disclosure Reports and Other Ethics Program Records
OGE/GOVT-2--Confidential Statements of Employment and
Financial Interests
OPM/GOVT-1--General Personnel Records
OPM/GOVT-2--Employee Performance File System Records
OPM/GOVT-3--Adverse Actions and Actions Based on
Unacceptable Performance
OPM/GOVT-4--[Reserved]
OPM/GOVT-5--Recruiting, Examining and Placement Records
OPM/GOVT-6--Personnel Research and Test Validation
Records
OPM/GOVT-7--Applicant--Race, Sex, National Origin and
Disability Status Records
OPM/GOVT-8--[Reserved]
OPM/GOVT-9--Position Classification Appeals, Job
Grading Appeals, and Retained Grade or Pay
OPM/GOVT-10--Employee Medical File System Records
DOL/GOVT-1
System name:
Office of Workers' Compensation Programs, Federal Employees'
Compensation Act File.
Security classification:
Most files and data are unclassified. Files and data in certain
cases have Top Secret classification, but the rules concerning their
maintenance and disclosure are determined by the agency, which has
given the information the security classification of Top Secret.
System location:
The central database for DOL/GOVT-1 is located at SUNGUARD, 600
Laurel Oak Road, Voorhees, New Jersey, 08043. Paper claim files and
local databases are located at the various OWCP district offices, and
in Kansas City (for imaged cases only); claim files of employees of
the Central Intelligence Agency are located at that agency. Records
from this system of records may be temporarily located in the office
of health care providers and other individuals or entities with whom
the Department contracts for such services as examination or
evaluation of claimants. Copies of claim forms and other documents
arising out of a job-related injury that resulted in the filing of a
claim under the Federal Employees' Compensation Act (FECA), may also
be maintained by the employing agency (and where the forms were
transmitted to the Office of Workers' Compensation Programs (OWCP)
electronically, the original forms are maintained by the employing
agency). In addition, records relating to third-party claims of FECA
beneficiaries are maintained in the Division of Employee Benefits,
Office of the Solicitor, United States Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210-0002, in the offices of
the Regional and Associate Regional Solicitors, and in various
offices of the United States Postal Service, which undertakes various
duties relating to third party claims pursuant to an agreement with
OWCP.
Pursuant to the Department of Labor's Flexiplace Programs, copies
of records may be temporarily located at alternative worksites,
including employees' homes or at geographically convenient satellite
offices for part of the workweek. All appropriate safeguards will be
taken at these sites.
Categories of individuals covered by the system:
Individuals and/or their survivors who file claims seeking
benefits under the FECA by reason of injuries sustained while in the
performance of duty. The FECA applies to all civilian federal
employees, including various classes of persons who provide or have
provided personal service to the government of the United States, and
to other persons as defined by law such as state or local law
enforcement officers, and their survivors, who were injured or killed
while assisting in the enforcement of federal law. In addition, the
FECA covers employees of the Civil Air Patrol, Peace Corps
Volunteers, Job Corps students, Volunteers in Service to America,
members of the National Teacher Corps, certain student employees,
members of the Reserve Officers Training Corps, certain former
prisoners of war, and employees of particular commissions and other
agencies.
Categories of records in the system:
This system may contain the following kinds of records: reports
of injury by the employee and/or employing agency; claim forms filed
by or on behalf of injured federal employees or their survivors
seeking benefits under the FECA; forms authorizing medical care and
treatment; other medical records and reports; bills and other payment
records; compensation payment records; formal orders for or against
the payment of benefits; transcripts of hearings conducted; and any
other medical, employment, or personal information submitted or
gathered in connection with the claim. The system may also contain
information relating to dates of birth, marriage, divorce, and death;
notes of telephone conversations conducted in connection with the
claim; information relating to vocational and/or medical
rehabilitation plans and progress reports; records relating to court
proceedings, insurance, banking and employment; articles from
newspapers and other publications; information relating to other
benefits (financial and otherwise) the claimant may be entitled to;
and information received from various investigative agencies
concerning possible violations of Federal civil or criminal law.
The system may also contain consumer credit reports on
individuals indebted to the United States, information relating to
the debtor's assets, liabilities, income and expenses, personal
financial statements, correspondence to and from the debtor,
information relating to the location of the debtor, and other records
and reports relating to the implementation of the Federal Claims
Collection Act (as amended), including investigative reports or
administrative review matters. Individual records listed here are
included in a claim file only insofar as they may be pertinent or
applicable to the employee or beneficiary.
Authority for maintenance of the system:
5 U.S.C. 8101 et seq., 20 CFR 1.1 et seq.
Purpose(s):
The FECA establishes the system for processing and adjudicating
claims that federal employees and other covered individuals file with
the Department of Labor's OWCP, seeking monetary, medical and similar
benefits for injuries or deaths sustained while in the performance of
duty. The records maintained in this system are created as a result
of and are necessary to this process. The records provide information
and verification about the individual's employment-related injury and
the resulting disabilities and/or impairments, if any, on which
decisions awarding or denying benefits provided under the FECA must
be based.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those Department-wide routine uses set forth above
in the General Prefatory Statement to this document, disclosure of
information from this system of records may be made to the following
individuals and entities for the purposes noted when the purpose of
the disclosure is both relevant and necessary and is compatible with
the purpose for which the information was collected:
a. To any attorney or other representative of a FECA beneficiary
for the purpose of assisting in a claim or litigation against a third
party or parties potentially liable to pay damages as a result of the
FECA beneficiary's FECA-covered injury and for the purpose of
administering the provisions of sections 8131-8132 of the FECA. Any
such third party, or a representative acting on that third party's
behalf, may be provided information or documents concerning the
existence of a record and the amount and nature of compensation paid
to or on behalf of the FECA beneficiary for the purpose of assisting
in the resolution of the claim or litigation against that party or
administering the provisions of sections 8131-8132 of the FECA.
b. To federal agencies that employed the claimant at the time of
the occurrence or recurrence of the injury or occupational illness in
order to verify billing, to assist in administering the FECA, to
answer questions about the status of the claim, to consider rehire,
retention or other actions the agency may be required to take with
regard to the claim or to permit the agency to evaluate its safety
and health program. Disclosure to federal agencies, including the
Department of Justice, may be made where OWCP determines that such
disclosure is relevant and necessary for the purpose of providing
assistance in regard to asserting a defense based upon the FECA's
exclusive remedy provision to an administrative claim or to
litigation filed under the Federal Tort Claims Act.
c. To other federal agencies, other government or private
entities and to private-sector employers as part of rehabilitation
and other return-to-work programs and services available through
OWCP, where the entity is considering hiring the claimant or where
otherwise necessary as part of that return-to-work effort.
d. To federal, state or private rehabilitation agencies and
individuals to whom the claimant has been referred for evaluation of
rehabilitation and possible reemployment.
e. To physicians, pharmacies, and other health care providers for
their use in treating the claimant, in conducting an examination or
preparing an evaluation on behalf of OWCP and for other purposes
relating to the medical management of the claim, including evaluation
of and payment for charges for medical and related services and
supplies.
f. To medical insurance or health and welfare plans (or their
designees) that cover the claimant in instances where OWCP had paid
for treatment of a medical condition that is not compensable under
the FECA, or where a medical insurance plan or health and welfare
plan has paid for treatment of a medical condition that may be
compensable under the FECA, for the purpose of resolving the
appropriate source of payment in such circumstances.
g. To labor unions and other voluntary employee associations from
whom the claimant has requested assistance for the purpose of
providing such assistance to the claimant.
h. To a federal, state or local agency for the purpose of
obtaining information relevant to a determination concerning initial
or continuing eligibility for FECA benefits, and for a determination
concerning whether benefits have been or are being properly paid,
including whether dual benefits that are prohibited under any
applicable federal or state statute are being paid; and for the
purpose of utilizing salary offset and debt collection procedures,
including those actions required by the Debt Collection Act of 1982,
to collect debts arising as a result of overpayments of FECA
compensation and debts otherwise related to the payment of FECA
benefits.
i. To the Internal Revenue Service (IRS) for the purpose of
obtaining taxpayer mailing addresses for the purposes of locating a
taxpayer to collect, compromise, or write-off a federal claim against
such taxpayer; and informing the IRS of the discharge of a debt owed
by an individual. Records from this system of records may be
disclosed to the IRS for the purpose of offsetting a federal claim
from any income tax refund that may be due to the debtor.
j. To the Occupational Safety and Health Administration (OSHA)
for the purpose of using injury reports filed by Federal agencies
pursuant to the FECA to fulfill agency injury reporting requirements.
Information in this system of records may be disclosed to OSHA by
employing agencies as part of any MIS system established under OSHA
regulations to monitor health and safety.
k. To contractors providing services to DOL or any other federal
agency or any other individual or entity specified in any of these
routine uses or in the Department's General Prefatory Statement who
require the data to perform the services that they have contracted to
perform, provided that those services are consistent with the routine
use for which the information was disclosed to the contracting
entity. Should such a disclosure be made to the contractor, the
individual or entity making such disclosure shall insure that the
contractor complies fully with all Privacy Act provisions, including
those prohibiting unlawful disclosure of such information.
l. To the Defense Manpower Data Center--Department of Defense and
the United States Postal Service to conduct computer matching
programs for the purpose of identifying and locating individuals who
are receiving Federal salaries or benefit payments and are delinquent
in their repayment of debts owed to the United States under programs
administered by the DOL in order to collect the debts under the
provisions of the Debt Collection Act of 1982 (Pub. L. 97-365) by
voluntary repayment, or by salary or administrative offset
procedures.
m. To a credit bureau for the purpose of obtaining consumer
credit reports identifying the assets, liabilities, expenses, and
income of a debtor in order to ascertain the debtor's ability to
repay a debt incurred under the FECA, to collect the debt, or to
establish a payment schedule.
n. To consumer reporting agencies as defined by section 603(f) of
the Fair Credit Reporting Act (15 U.S.C. 1681a(f)) or in accordance
with section 3(d)(4)(A)(ii) of the Federal Claims Collection Act of
1966 as amended (31 U.S.C. 3711(f)) for the purpose of encouraging
the repayment of an overdue debt, the amount, status and history of
overdue debts, the name and address, taxpayer identification (SSN),
and other information necessary to establish the identity of a
debtor, the agency and program under which the claim arose, may be
disclosed pursuant to 5 U.S.C. 552a(b)(12)
o. To a Member of Congress or to a Congressional staff member in
response to an inquiry made by an individual seeking assistance who
is the subject of the record being disclosed for the purpose of
providing such assistance.
p. To individuals, and their attorneys and other representatives,
and government agencies, seeking to enforce a legal obligation on
behalf of such individual or agency, to pay alimony and/or child
support for the purpose of enforcing such an obligation, pursuant to
an order of a state or local court of competent jurisdiction,
including Indian tribal courts, within any State, territory or
possession of the United States, or the District of Columbia or to an
order of a State agency authorized to issue income withholding
notices pursuant to State or local law or pursuant to the
requirements of section 666(b) of title 42, United States Code, or
for the purpose of denying the existence of funds subject to such
legal obligation.
Note: Disclosure of information contained in this system of
records to the subject of the record, a person who is duly authorized
to act on his or her behalf, or to others to whom disclosure is
authorized by these routine uses, may be made over the telephone or
by electronic means. Disclosure over the telephone or by electronic
means will only be done where the requestor provides appropriate
identifying information. Telephonic or electronic disclosure of
information is essential to permit efficient administration and
adjudication of claims under the FECA. Pursuant to 5 U.S.C.
552a(b)(1), information from this system of records may be disclosed
to members and staff of the Employees' Compensation Appeals Board,
the Office of Administrative Law Judges, the Office of the Solicitor
and other components of the Department who have a need for the record
in the performance of their duties.
Disclosures to consumer reporting agencies:
The amount, status and history of overdue debts, the name and
address, taxpayer identification (SSAN), and other information
necessary to establish the identity of a debtor, the agency and
program under which the claim arose, may be disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer reporting agencies as defined by
section 603(f) of the Fair Credit Reporting Act (15 U.S.C. 1681a(f))
or in accordance with section 3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966 as amended (31 U.S.C. 3711(f)) for the purpose
of encouraging the repayment of an overdue debt.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Paper case files are maintained in manual files, while security
case files are in locked cabinets. Automated data, including case
files that have been transformed into electronic form, are stored in
computer discs or magnetic tapes, which are stored in cabinets.
Microfiche is stored in cabinets.
Retrievability:
Files and automated data are retrieved after identification by
coded file number and/or Social Security Number which is cross-
referenced to employee by name, employing establishment, and date and
nature of injury. Since the electronic case management files were
created in 1975, these electronic files are located in District
Offices which have jurisdiction over the claim, and (as noted above
under ``system location''), a complete central data base is
maintained at the location of the contractor. Prior to 1975, a paper
index file was maintained; these records were transferred to
microfiche and are located in the national office.
Safeguards:
Files and automated data are maintained under supervision of OWCP
personnel during normal working hours--only authorized personnel,
with the appropriate password, may handle, retrieve, or disclose any
information contained therein. Only personnel having an appropriate
security clearance may handle or process security files. After normal
working hours, security files are kept in locked cabinets. Access to
electronic records is controlled by password or other user
identification code.
Retention and disposal:
All case files and automated data pertaining to a claim are
destroyed 15 years after the case file has become inactive. Case
files that have been scanned to create electronic copies are
destroyed after the copies are verified. Automated data is retained
in its most current form only, however, and as information is
updated, outdated information is deleted. Some related financial
records are retained only in electronic form, and destroyed 6 years
and 3 months after creation or receipt.
System manager(s) and address:
Director for Federal Employees' Compensation, Office of Workers'
Compensation Programs, 200 Constitution Avenue, NW, Room S-3229,
Washington, DC 20210-0002.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her may write or telephone the OWCP
district office that services the state in which the individual
resided or worked at the time he or she believes a claim was filed.
In order for the record to be located, the individual must provide
his or her full name, OWCP claim number (if known), date of injury
(if known), and date of birth.
Record access procedures:
Any individual seeking access to non-exempt information about a
case in which he/she is a party in interest may write or telephone
the OWCP district office where the case is located, or the systems
manager, and arrangements will be made to provide review of the file.
Access to copies of documents maintained by the employing agency may
be secured by contacting that agency's designated disclosure
officials.
Contesting record procedures:
Specific materials in this system have been exempted from certain
Privacy Act provisions regarding the amendment of records. The
section of this notice entitled ``Systems Exempted From Certain
Provisions of the Act,'' indicates the kind of materials exempted,
and the reasons for exempting them. Any individual requesting
amendment of non-exempt records should contact the appropriate OWCP
district office, or the system manager. Individuals requesting
amendment of records must comply with the Department's Privacy Act
regulations at 29 CFR 71.1 and 71.9, and with the regulations found
at 20 CFR 10.12 (1999).
Record source categories:
Injured employees; beneficiaries; employing Federal agencies;
other Federal agencies; physicians; hospitals; clinics; suppliers of
health care products and services and their agents and
representatives; educational institutions; attorneys; Members of
Congress; OWCP field investigations; State governments; consumer
credit reports; agency investigative reports; correspondence with the
debtor including personal financial statements; records relating to
hearings on the debt; and other DOL systems of records.
Systems exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigative material in
this system of records compiled for law enforcement purposes is
exempt from subsections (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I),
and (f) of 5 U.S.C. 552a, provided, however, that if any individual
is denied any right, privilege, or benefit that he or she would
otherwise be entitled to by Federal law, or for which he or she would
otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of the material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of the source would be
held in confidence, or prior to January 1, 1975, under an implied
promise that the identity of the source would be held in confidence.
DOL/GOVT-2
System name:
Job Corps Student Records.
Security classification:
None.
System location:
Screening contractors; Job Corps centers and operators (which
includes contract and agency centers); Job Corps National Office; Job
Corps Regional Offices; Federal Records Centers.
Categories of individuals covered by the system:
Job Corps applicants, students, and terminees.
Categories of records in the system:
Records contain information kept on the students, such as
separate running accounts of the students' general biographical data;
educational training, vocational training; counseling; recreational
activities; dormitory logs; health (dental, medical, mental health,
and drug testing records); administrative records covering data
pertaining to enrollment allowances and allotments; leave records;
Student Profile (ETA-640); and Center Standards Officer's
disciplinary records.
Authority for maintenance of the system:
Subtitle C of Title I of the Workforce Investment Act of 1998, 29
U.S.C. 2881 et seq.
Purpose(s):
These records are maintained to ensure that all appropriate
documents of the student's stay in Job Corps (covering application to
placement and/or termination) are retained and are available to those
officials who have a legitimate need for the information in
performing their duties and to serve the interests and needs of the
students in accordance with 29 U.S.C. 2881 et seq.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used when
relevant, necessary, and appropriate:
(1) To disclose photographs and student identities, with
appropriate consent, to the news media, for the purpose of promoting
the merits of the program.
(2) To disclose information, giving the summary of a student's
academic and vocational achievement and general biographical
information, to placement and welfare agencies, prospective
employers, school or training institutions to assist in the
employment of a student.
(3) To disclose information to State and Federal law enforcement
agencies or other government investigators to assist them in locating
a student and/or his or her family.
(4) To disclose information to appropriate Federal, State, and
local agencies which have law enforcement jurisdiction over students
(which includes probation or parole officers); and/or the property on
which the center is located.
(5) To disclose all or any information to parents/guardians
regarding students under the age of 18 for performance of parental
rights and responsibilities.
(6) To disclose information to Job Corps health consultants; Job
Corps Center Review Board members (in appropriate disciplinary
cases); State, county, and local health services personnel; family
planning agencies; and physicians (public or private) to whom a
student is referred for diagnosis or to receive treatment to assure
continuance of proper health care, or notification and contact
tracking for communicable disease control.
(7) To disclose to State and local health departments all cases
of infection or disease that are required to be reported to them in
accordance with state and local laws. This disclosure shall be made
by the Center Director.
Note: Center physicians shall deal with all cases of communicable
diseases in accordance with Job Corps directives based on current
recommendations of the Center for Disease Control of the Department
of Health and Human Services.
(8) To disclose information to State and local health departments
regarding infected persons who are unwilling to notify their contacts
at the center for the purpose of enabling the counseling of contacts.
(9) To disclose information to medical laboratories necessary in
identifying specimens for the purpose of testing.
(10) To disclose information to social service agencies in cases
of a student's termination in order to provide services such as
Medicaid, housing, finance, and placement.
(11) To disclose information to the Army Finance Center, Fort
Benjamin Harrison, Indiana, to pay student allowances and maintain
and dispose of their pay records.
(12) To disclose information to Federal, State, and local
agencies and to community-based organizations for the operation of
experimental, research, demonstration, and pilot projects authorized
under sections 156, 171, or 172 of the Workforce Investment Act of
1998, 29 U.S.C. 2856, 2916, or 2917, except that in the case of a
research project, the researcher shall guarantee to protect the
anonymity of all staff and students involved in any presentation of
the results of such study.
(13) To disclose information to contractors and agencies that
operate centers or have Outreach Admissions and Placement (OA&P)
issues which demonstrate a legitimate need for the information to
enable them to properly administer their responsibilities in the Job
Corps program.
(14) To disclose to the Selective Service system names, social
security number, date of birth, and address of students, to insure
registration compliance for eligible applicants applying for Job
Corps training benefits.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Students' files are maintained in locked file cabinets; files are
maintained on magnetic tapes, computer data base, and discs;
printouts from army terminals which include payroll statistical
reports.
Retrievability:
Records are retrieved by name, social security number, and date
of student entry.
Safeguards:
Records are maintained in file folders during center use; health
records are placed in sealed envelopes after termination; on magnetic
tapes, computer data base, or discs; and are stored in locked filing
cabinets with access to those whose official duties require access.
Retention and disposal:
Job Corps centers will maintain records of terminated students
for a period of 3 years unless custodianship is extended or
terminated, for administrative reasons, by the regional office.
Counseling records are retained on the Job Corps center for 6 months
after student's termination, after which they are destroyed. After
termination, a summary or copy of the counseling record is placed in
the health record.
After 3 years, centers will retire the records to the appropriate
Federal Records center. Students' records are subject to destruction
75 years from the birth date of the youngest student's record
contained in a GSA records retirement box, with the disposal
authority being NC 369-76-2, item 59. [Note: Centers will send a copy
of the SF 135-135 A (transmittal and receipt form) to the appropriate
Job Corps regional office, after they have received the accession
number from the appropriate Federal Records Center. In the event of a
student's death, the student's entire personnel record shall be sent
to the U.S. Department of Labor Job Corps National Health Office
within 10 days of date of student's death.]
System manager(s) and address:
Director, Office of Job Corps, U.S. DOL/ETA, Frances Perkins
Building, 200 Constitution Avenue, NW., Washington, DC 20210.
Notification procedure:
Requests for access of terminated student's records are to be
directed to the appropriate U.S. DOL Regional Job Corps Office, or to
the System Manager at the above address. Requests for current records
can be directed to the appropriate center director or screening
contractor.
Record access procedures:
A request for access to a record from this system shall be made
in writing to the System Manager or appropriate center director,
Regional Job Corps Director, or screening contractor, in accordance
with rules and regulations of the Privacy Act of 1974, as amended,
with the envelope and the letter clearly marked ``Privacy Act
Request'', and the record sufficiently described in the letter for
identification.
Contesting record procedures:
Individuals desiring to contest or amend information maintained
in this system should direct their request to the System Manager
listed above, or appropriate center director, Regional Job Corps
Director, or screening contractor, stating clearly and concisely what
information is contested, the reasons for contesting the information,
and the proposed amendment to the information sought. Details
required for records identification are: (a) Full Name(s) (i.e., name
during enrollment); (b) Center(s) where enrolled; and (d) Date
enrolled.
Record source categories:
Outreach/screening and placement contractors; Job Corps centers;
Job Corps students; employment services; parole officers; State and
local law enforcement agencies.
Systems exempted from certain provisions of the act:
None.
DOL/OSEC-1
System name:
Supervisor's/Team Leader's Records of Employees.
Security classification:
None.
System location:
Immediate supervisor(s)/team leader(s) and two higher supervisory
levels at all facilities of the Department, as well as the national
and regional personnel offices. Emergency addressee information may
be kept upon the supervisor's person when appropriate.
Note: Requests for a reasonable accommodation are made to
supervisors. The Civil Rights Center may temporarily maintain a copy
of such requests and of the medical documents submitted by the
employee when the Public Health Service physician completes his or
her review of the request.
Categories of individuals covered by the system:
Current employees and employees who have retired or left the
office within the last twelve months.
Categories of records in the system:
Records related to individuals while employed by the Department
and which contain such information as: record of employee/supervisor
discussions, supervisor(s)/team leader(s) observations, supervisory
copies of officially recommended actions, reports of FTS telephone
usage containing call detail information, awards, disciplinary
actions, emergency addressee information, flexiplace records, reports
of on-the-job accidents, injuries, illnesses, correspondence from
physicians, and training requests. The system also contains records
relating to requests for reasonable accommodation, and/or leave,
including medical documents submitted by employees, as well as
reports and records by the Public Health Service physicians who have
reviewed the accommodation requests.
The system also contains labor relations materials such as
performance improvement plans (PIPs), reprimands, suspensions of less
than 14 days, leave restrictions and related materials.
Authority for maintenance of the system:
5 U.S.C. 301, 1302, 2951, 4118, Reorganization Plan 6 of 1950,
and the Civil Service Reform Act of 1978. The Rehabilitation Act and
the American Disabilities Awareness Act.
Purpose(s):
To maintain a file for the use of supervisor(s)/team leader(s) in
performing their responsibilities and to support specific personnel
actions on employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
A. Selected information may be disclosed at appropriate stages of
adjudication to the Merit Systems Protection Board, Office of the
Special Counsel, the Federal Labor Relations Authority, the Equal
Employment Opportunity Commission, arbitrators, or the courts for the
purposes of satisfying requirements related to investigation of
prohibited personnel practices, appeals, special studies
investigations of alleged EEOC discrimination practices and unfair
labor practices.
B. Records relating to a request for a reasonable accommodation
may be referred to the Public Health Service (PHS) or other
physicians for their review and evaluation of the request.
C. Data may be disclosed to medical providers for the purpose of
evaluating sick leave absences based upon illness or injury.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in manual files.
Retrievability:
By name of employee.
Safeguards:
Locked storage cabinets and desks. Access limited to officials/
employees on a need to know basis.
Retention and disposal:
Records are maintained on current employees. Records on former
employees are kept for one year, then destroyed.
System manager(s) and address:
All supervisor(s)/team leader(s) having responsibility for
performance management plans, performance standards, or ratings.
Notification procedure:
An individual may inquire whether the system contains a record
pertaining to her/him by contacting the supervisor/team leader who
completes his/her performance standards and rating.
Record access procedures:
A request for access will be addressed to the appropriate system
manager listed above. Individuals must furnish their name in order
for their records to be located and identified:
Contesting record procedures:
A petition for amendments shall be addressed to the appropriate
System Manager.
Record source categories:
Information is supplied by the individual, supervisor(s)/team
leader(s), agency officials, medical providers and co-workers.
Systems exempted from certain provisions of the Act:
None.
DOL/OASAM-4
System name:
Safety and Health Information Management System (SHIMS).
Security classification:
None.
System location:
1. Safety and Health Center, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210 and
2. DOL regional offices.
3. A copy of the modified CA-1/CA-2 Form used by the Office of
Workers' Compensation Programs (OWCP) may be reproduced and retained
in the office of the supervisor who files the form.
Categories of individuals covered by the system:
DOL employees and Job Corps students involved in occupationally
related accidents, injuries and illnesses.
Categories of records in the system:
Reports of on-the-job accidents, injuries, and illnesses
generated as a result of filing forms CA-1, CA-2, and CA-6.
Authority for maintenance of the system:
29 U.S.C. 651 et seq., 29 CFR Part 1960, 5 U.S.C. 7902, DOL
Secretary's Order 5-95, Executive Order 12196.
Purpose(s):
This system is used (a) to provide an information source for
compliance with the Occupational Safety and Health Act; (b) to
provide a documented record of job related accidents, injuries, and
illnesses for the purpose of measuring safety and health programs'
effectiveness; (c) to provide summary data of accident, injury and
illness information to Departmental agencies in a number of formats
for analytical purposes in establishing programs to reduce or
eliminate loss producing hazards or conditions; (d) to provide
summary listings of individual cases to Departmental agencies to
ensure that all work-related injury/illness cases are reported
through the SHIMS; and (e) to use as a reference when adjudicating
tort and employee claims.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored on computer disks, and on hard copies filed in
locked file cabinets.
Retrievability:
Records are retrieved by claimant's last name, social security
number, and employee category (DOL employee or Job Corps student).
Safeguards:
Records are maintained in locked storage equipment. Computer
files are accessible only to authorized users through password/user
ID system.
Retention and disposal:
Records are maintained for five (5) years after each report is
filed with the agency. Electronic copies are maintained for five (5)
years and then downloaded onto a disk.
System manager(s) and address:
Director, Safety and Health Center, OASAM, U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the systems manager,
or the servicing regional office in which they are employed.
Individuals must furnish in writing the following information for
their records to be located and identified:
a. Full name
b. Date of birth
c. Signature
Record access procedures:
Individuals wishing to request access to records should contact
the appropriate office (national/regional). Individuals must furnish
the following information for their records to be located:
a. Full name
b. Date of birth
c. Signature
Individuals requesting access must also comply with the Privacy
Act Regulations on verification of identity and access to records (5
CFR 297.201 and 297.203).
Contesting record procedures:
Individuals wishing to request information about their records
should contact in writing the systems manager. Individual must
furnish the following information for their records to be located:
a. Full name
b. Signature
Record source categories:
a. The employee (or someone acting on his/her behalf).
b. Witness (if any).
c. Employing agency (supervisor or comp specialist).
d. CA-1, CA-2, CA-6, forms used by OWCP.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-5
System name:
Employee Assistance Program (EAP) Records.
Security classification:
None.
System location:
The Employee Assistance Program (EAP), headquartered in the
Safety and Health Center, Office of the Assistant Secretary for
Administration and Management (OASAM), U.S. Department of Labor
(DOL), 200 Constitution Avenue, NW., Washington, DC 20210, and
offices of designated EAP service providers located elsewhere in the
Washington metropolitan area and Department's regions.
Note: DOL may elect to use, under an interagency agreement or
other contractual arrangement, the counseling staff of another
Federal, state, or local government, or private or community
organization. This system does not cover EAP records of DOL employees
(current or former) or their family members that are maintained by
other Federal agencies.
Categories of individuals covered by the system:
DOL employees or their family members, who have been assessed,
referred for treatment/rehabilitation or otherwise counseled
regarding alcohol or drug abuse or other emotional health issues by
an EAP counselor responsible for providing services to DOL employees
or their family members.
Categories of records in the system:
Records in this system include documentation of visits to
counselors designated by the agency to provide EAP services
(regardless of whether the counselors are employed by the Federal,
state, or local government, or by a private sector or community
organization); problem assessments; counseling; recommendations and/
or referrals for treatment and/or rehabilitation; client cooperation
with those recommendations and/or referrals; progress; and other
notes or records of discussions held with the client made by the
counselor. Additionally, records in this system may include
documentation of the therapeutic or rehabilitative work performed by
a private therapist or a therapist at a Federal, State, local
government, or private organization. If the client was referred to
the EAP by a supervisor due to work performance or conduct problems,
the record may also contain information regarding such matters. When
the client was referred to the EAP because of a positive drug test,
required by DOL's drug-free workplace plan, the record will also
contain information about such tests results.
Authority for maintenance of the system:
5 U.S.C. 7901, 7904; 5 U.S.C. 7361-7362; 42 U.S.C. 290dd-3; 5 CFR
part 792; 42 CFR part 2; and E.O. 12564.
Purpose(s):
These records are used to document the nature and extent of the
client's problem; the counseling, recommendations and/or referrals
for treatment and/or rehabilitation made by the EAP; and the extent
of the client's participation in, and the results of treatment or
rehabilitation in community or private sector programs; and any
follow-up necessary.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
a. DOL may elect to enter into interagency agreements or other
contractual arrangements with other Federal agencies, private
organizations or individuals for the purpose of providing EAP
services for DOL employees and their family members. Relevant records
will be disclosed to these providers.
b. Except where the records are covered by the Confidentiality of
Alcohol and Drug Abuse Patient Records regulation, 42 CFR part 2,
records and information in these records may be:
(1) Disclosed to the Department of Justice when: (A) DOL or any
component thereof; or (B) any employee of the agency in his or her
official capacity; or (C) the United States Government, is a party to
litigation or has an interest in such litigation, and by careful
review, the agency determines that the records are both relevant and
necessary to the litigation, and the use of such records by the
Department of Justice is for a purpose that is compatible with the
purpose for which the agency collected the records.
(2) Disclosed in a proceeding before a court or adjudicative
body, when: (A) DOL or any component thereof; or (B) any employee of
the agency in his or her official capacity; or (C) any employee of
the agency in his or her individual capacity; or (D) the United
States Government, is a party to litigation or has an interest in
such litigation, and by careful review, the agency determines that
the records are both relevant and necessary to the litigation, and
that the use of such records is a purpose that is compatible with the
purpose for which the agency collected the records.
c. Where the records are covered by the Confidentiality of
Alcohol and Drug Abuse Patient Records regulation, 42 CFR part 2,
records and information in these records may be used:
(1) To disclose, in accordance with 42 CFR 2.51, patient
identifying information to medical personnel who have a need for the
information about a patient for the purpose of treating a condition
which poses an immediate threat to health of any person and which
requires immediate medical intervention.
(2) To disclose patient identifying information to medical
personnel of the Food and Drug Administration (FDA) under the
circumstances set forth in 42 U.S.C. 2.51(b) et seq.;
(3) To disclose patient information when authorized by an order
of a court of competent jurisdiction in accordance with 42 CFR 2.61;
(4) To disclose information to a Federal, State or local law
enforcement authority that is directly related to a patient's
commission of a crime committed on the premises of the program or
against any program personnel or to a threat to commit such a crime.
(See 42 CFR 2.12(a)(5));
(5) To disclose information to State or local law enforcement
authorities on incidents of suspected child abuse or neglect. (See 42
CFR 2.12(c)(6)).
(6) To disclose the fact of a minor's application for treatment
to the minor's parent or guardian where State law requires parental
consent. (See 42 CFR 2.14(c));
(7) To disclose to a minor's parent or guardian, facts relevant
to reducing a threat to the life or physical well being of any
individual, if the minor lacks capacity for rational choice (See 42
CFR 2.14(d));
(8) To disclose to a Qualified Service Organization (QSO),in
accordance with 42 CFR 2.12(c)(4), that information needed by the QSO
to provide services to the program;
(9) To disclose patient identifying information for the purpose
of conducting scientific research under the circumstances set forth
in 42 CFR 2.52;
(10) To disclose patient identifying information for audit and
evaluation purposes under the circumstance set forth in 42 CFR 2.53
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by the name of the individual on whom
they are maintained.
Safeguards:
These records are maintained in locked metal file cabinets
labeled confidential with access strictly limited to personnel
directly responsible for the management or operation of DOL's EAP.
Such access and use must be in accordance with the provisions of the
Privacy Act and 42 CFR part 2.
Retention and disposal:
Records are maintained for three (3) years after the client's
last contact with the EAP, or until any relevant litigation is
resolved, or any periodic evaluation reports required by the U.S.
Office of Personnel Management, DOL, or other authorities are
completed. Records are destroyed by shredding or burning.
System manager(s) and address:
The Employee Assistance Program Administrator, Safety and Health
Center, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
An individual wishing to inquire whether this system of records
contains information about him/her should submit a written request to
the system manager, stating that the request is being made pursuant
to the Privacy Act, and including:
His/her full name, any former name, if applicable, home address,
place and approximate dates when EAP services were received, date and
place of birth, and signature.
Record access procedures:
Follow the same steps described above.
Contesting record procedures:
Follow the same steps described above. In addition, the written
request for an amendment should include the following:
a. The precise identification of the records to be amended;
b. The identification of the specific material to be deleted,
added, or changed; and
c. A statement of reasons for the request, including all
available material substantiating the request.
Requests for amendment of records should include the words
Privacy Act Amendment Request on both the envelope and at the top of
the request letter.
Record source categories:
Information in this system of records comes from the individual
to whom it applies, the supervisor of the individual if the
individual was referred to the EAP by a supervisor, the staff of the
EAP, other therapists or organizations providing treatment and/or
rehabilitation, and other sources whom the EAP believes may have
information relevant to treatment of the individual.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-7
System name:
Employee Medical File System Records (not job related).
Security classification:
None.
System location:
For current employees, records are located in a health unit or
dispensary of the Federal Occupational Health (FOH), U.S. Public
Health Service, Department of Health and Human Services, or in a
health unit or dispensary of another Federal or private sector entity
which provides health services, under an interagency agreement or
other contractual arrangement, to DOL employees. Medical records
maintained by one of the latter entities may be considered the
property of the entity providing care to the DOL employee; however,
records maintained by FOH are considered the property of DOL.
For former employees, most records will be located in an Employee
Medical Folder (EMF) stored at the National Personnel Records Center
operated by the National Archives and Records Administration (NARA).
Agencies may retain some records on former employees for a limited
time.
Categories of individuals covered by the system:
Individuals covered are those of the following who have received
voluntary employee health services provided by the agency under the
authority of 5 U.S.C. 7901:
a. Current and former DOL employees as defined in 5 U.S.C. 2105.
b. DOL contract employees and other visitors (including minors
and employees of other Federal agencies) who may have received
emergency care from the health unit or dispensary.
Categories of records in the system:
This system is comprised of records developed as a result of the
provision of voluntary employee health services offered by the agency
under the authority of 5 U.S.C. 7901. These records contain the
following information:
a. Medical history and other biographical data on those employees
requesting voluntary periodic health examinations.
b. Test reports and medical diagnoses based on voluntary periodic
health examinations or voluntary health screening program tests
(tests for single medical conditions or diseases).
c. History of complaint, diagnosis, and treatment of injuries and
illnesses cared for by the health unit or dispensary.
d. Vaccination records.
Note: Listed below are other types of medical records which are
not covered by this system of records. Rather, they are covered by a
government-wide system of records (OPM/GOVT-10), which is managed by
the U.S. Office of Personnel Management (OPM), even though the
records are not in OPM's physical custody. The routine uses of such
records are defined in the Privacy Act Notice for OPM/GOVT-10. Such
records include:
(1). Medical records, forms, and reports completed or obtained
when an individual applies for a Federal job and is subsequently
employed;
(2). Medical records, forms and reports completed during
employment as a condition of employment, either by the employing
agency or by another State or local government entity, or a private
sector entity under contract to the employing agency;
(3). Records pertaining to and resulting from the testing of the
employee for use of illegal drugs under Executive Order 12564. Such
records may be retained by the agency (e.g., by the agency Medical
Review Official) or by a contractor laboratory. This includes records
of negative results, confirmed or unconfirmed positive test results,
and documents related to the reasons for testing or other aspects of
test results;
(4). Reports of on-the-job injuries and medical records, forms,
and reports generated as a result of the filing of a claim for
Workers Compensation, whether the claim is accepted or not. (The
official compensation claim file is not covered by the OPM system;
rather, it is part of DOL's Office of Workers Compensation Program
(OWCP) system of records.)
(5). All other medical records, forms, and reports created on an
employee during his/her period of employment, including any retained
on a temporary basis and those designated for long-term retention
(i.e., those retained for the entire duration of Federal service and
for some period of time after), except that, records maintained by an
agency dispensary are included in this system of records only when
they are the result of a condition of employment or related to an on-
the-job occurrence including, for example, records of the specialized
health services made available to investigative personnel of the
Wage-Hour Division, under interagency agreement between PHS and DOL s
Employment Standards Administration.
Authority for maintenance of the system:
5 U.S.C. 7901 et seq., 5 CFR 293, and 5 CFR 297.
Purpose(s):
These records document the utilization and provision of voluntary
employee health services authorized by 5 U.S.C. 7901.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records and information in this system of records may be used
as follows:
a. Disclosed to the Department of Justice when: (1) DOL or any
component thereof; or (2) any employee of the agency in his or her
official capacity; or (3) the United States Government, is a party to
litigation or has an interest in such litigation, and by careful
review, the agency determines that the records are both relevant and
necessary to the litigation, and the use of such records by the
Department of Justice is for a purpose that is compatible with the
purpose for which the agency collected the records.
b. Disclosed in a proceeding before a court or adjudicative body,
when: (1) DOL or any component thereof; or (2) any employee of the
agency in his or her official capacity; or (3) any employee of the
agency in his or her individual capacity; or (4) the United States
Government, is a party to litigation or has an interest in such
litigation, and by careful review, the agency determines that the
records are both relevant and necessary to the litigation, and that
the use of such records is a purpose that is compatible with the
purpose for which the agency collected the records.
c. Used to refer information required by applicable law to be
disclosed to a Federal, State, or local public health service agency,
concerning individuals who have contracted certain communicable
diseases or conditions. Such information is used to prevent further
outbreak of the disease or condition.
d. Disclosed to the appropriate Federal, State, or local agency
responsible for investigation of an accident, communicable disease,
medical condition, or injury as required by pertinent legal
authority.
e. Disclosed to the OWCP information in connection with a claim
for benefits filed by an employee.
f. Disclosed to contractors providing medical or health
counseling services to Department of Labor employees when such
contractors have a need for the information in connection with their
services. This would include medical or health personnel and employee
assistance program (EAP) counselors.
Disclsoure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are stored in manual file folders.
Retrievability:
These records are retrieved by the name of the individual to whom
they pertain.
Safeguards:
Records are maintained in a locked file cabinet with access
limited to personnel directly responsible for the management or
operation of DOL's voluntary health services program. Such access and
use must be in accordance with the provisions of the Privacy Act.
Retention and disposal:
Records covered under OPM/GOVT-10 are retained and disposed of as
required by that system. Records covered by this system are destroyed
six (6) years after the date of last entry.
System manager(s) and address:
Director, Safety and Health Center, Office of the Assistant
Secretary for Administration and Management (OASAM), U.S. Department
of Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
a. An individual wishing to inquire whether this system of
records contains information about him/her should submit a written
request to the appropriate DOL system manager, stating that the
request is being made pursuant to the Privacy Act, and including:
His/her full name, any former name, if applicable, home address,
current or last place and dates of DOL employment, date and place of
birth, and signature.
b. An applicant for DOL employment or a current DOL employee
wishing to inquire whether OPM's government-wide system of records
contains information about him/her should initially submit a written
request, as above, to the appropriate DOL system manager.
Note: OPM retains authority under its record management authority
and under the Privacy Act to decide appeals of initial agency
determinations regarding access to and amendment of material in these
systems.
c. A former employee wishing to inquire whether OPM's government-
wide system of records contains information about him/her should
initially submit a written request, as outlined above, to the
Assistant Director for Workforce and Information Personnel Systems
and Oversight Group, Office of Personnel Management, 1900 E Street,
NW., Washington, DC 20415.
Record access procedures:
Follow the steps described above. Note: When a request for access
involves medical or psychological records, the system manager may
advise the requester that the material will be provided only to a
physician designated by the subject. Upon receipt of the designation
and upon verification of the physicians identity, the records will be
made available to the physician, who will have full authority to
disclose those records to the subject when appropriate.
Contesting record procedures:
Follow the steps described above. In addition, the written
request for an amendment should include the following:
The precise identification of the records to be amended; the
identification of the specific material to be deleted, added, or
changed; and a statement of the reasons for the request, including
all available material substantiating the request. Requests for
amendment of records should include the words ``Privacy Act Amendment
Request'' on both the envelope and at the top of the request letter.
Record source categories:
a. The individual to whom the information pertains.
b. Laboratory reports and test results.
c. Medical staff working in the health unit or dispensary who
have examined, tested, or treated the individual.
d. The individual's co-workers or supervisors.
e. The individual's personal physician.
f. Other Federal employee health units.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-12
System name:
Administrative Grievance Records.
Security classification:
None.
System location:
1. Human Resources Center, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210; National and Regional
Personnel Offices;
2. Office of the Solicitor, Washington, DC, and Regional Offices
of the Solicitor.
Categories of individuals covered by the system:
Current or former DOL employees who have filed grievances, under
DOL's administrative grievance procedure in accordance with 5 CFR
part 771 and DOL's implementing regulation.
Categories of records in the system:
The system contains records relating to grievances filed by DOL
employees under administrative grievance procedures and in accordance
with 5 CFR part 771 and DOL's implementing regulation. These case
files contain all documents related to the grievance including
statements of witnesses, reports of interviews and hearings, fact-
finder's findings and recommendations, a copy of the original
decision, and related correspondence and exhibits. This system does
not include files and records of any grievance filed under negotiated
procedures with recognized labor organizations.
Authority for maintenance of the system:
5 CFR part 771.
Purpose(s):
The records are used to process grievances submitted by
bargaining-unit employees for personal relief in a matter of concern
or dissatisfaction which is subject to the control of agency
management.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used:
a. To disclose information to any source from which additional
information is requested in the course of processing a grievance, to
the extent necessary to identify the individual, inform the source of
the purpose(s) of the request, and identify the type of information
requested.
b. To disclose information to officials of the Merit System
Protection Board or the Office of Special Counsel, when requested in
connection with appeals, special studies of the civil service and
other merit systems, review of DOL rules and regulations,
investigations of alleged or possible prohibited personnel practices,
and such other functions as may be authorized by law.
c. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices or examination of
affirmative employment programs.
d. To disclose information to the Federal Labor Relations
Authority or its General Counsel when requested in connection with
investigations of allegations of unfair labor practices or matters
before the Federal Service Impasses Panel.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Manual file.
Retrievability:
These records are retrieved by the names of the individuals on
whom they are maintained.
Safeguards:
Locked storage equipment.
Retention and disposal:
These records are disposed of 4 years after the closing of the
case.
System manager(s) and address:
Director, Labor Management Relations Center, Human Resources
Center, U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals submitting grievances should be provided a copy of
the record under the grievance process. They may, however, contact
the personnel office where the action was processed, regarding the
existence of such records on them. They must furnish the following
information for their records to be located and identified:
a. Name;
b. Approximate date of closing of the case and kind of action
taken, and
c. Organizational component involved.
Record access procedures:
See Notification Procedure above.
Contesting record procedure:
Contact the personnel office where the grievance was processed.
Individuals must furnish the following information for their records
to be located and identified:
a. Name;
b. Approximate date of closing of the case and kind of action
taken; and
c. Organizational component involved.
Record source categories:
Information in this system of records is provided by the
following:
a. The individual on whom the record is maintained.
b. Testimony of witnesses.
c. Investigative and other employment records.
d. Decisions by Agency Officials.
Systems exempted from certain provisions of the act:
Not applicable.
DOL/OASAM-17
System name:
Equal Employment Opportunity Complaint Files.
Note: Records in this system are covered in conjunction with
EEOC's government-wide system EEOC/GOVT-1.
Security classification:
None.
System location:
Civil Rights Center, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210. The Civil Rights
Center maintains the primary system of records. However, Regional
Civil Rights Offices maintain copies of complete or partial
investigative reports and correspondence files, as well as settlement
agreements and informal complaint forms. A portion of these complaint
files are forwarded to and maintained in the Office of the
Administrative Review Board (ARB).
Categories of individuals covered by the system:
Individuals, classes of individuals, or representatives
designated to act on behalf of employees, former employees, or
applicants of the Department who have consulted with an EEO Counselor
and/or who have filed a formal complaint alleging discrimination on
the basis of race, color, religion, sex, national origin, disability,
age, and/or any basis covered by Executive Order 11478, as amended,
because of a determination, decision, action, or the non-action
administered against them by a departmental official, and individuals
alleging reprisal for having previously participated in the EEO
process.
Categories of records in the system:
Information and/or documents pertaining to pre-complaint
processing, informal resolutions, formal allegations of
discrimination, and investigations of complaints of discrimination.
These records contain complainants' names, addresses, job titles and
descriptions, dates of employment; agencies involved; counselor's
reports; initial and supplemental allegations; letters and notices to
individuals and organizations involved in the processing of the
complaint; materials placed into the record to support or refute the
alleged decisions; determination or actions taken; statements of
witnesses; related correspondence; investigative reports,
instructions on actions to be taken in order to comply with the
provisions of a decision, opinions, recommendations, settlement
agreements, proposed and final decisions.
Authority for maintenance of the system:
Executive Order 11478, as amended; Secretary's Order 2-81 and 3-
96; Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000e; the Equal Pay Act, as amended, 29 U.S.C. 206(d); the Age
Discrimination in Employment Act of 1967, as amended, 29 U.S.C. 621;
sections 501, 504 and 508 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 791, 794(a) and 794(d); the Civil Service Reform
Act of 1978, 5 U.S.C. 1101; and 29 CFR part 1614.
Purpose(s):
These records are used to process, investigate and resolve
discrimination complaints within the Department.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
The records in the complaint file are classified in three
categories: Correspondence, investigative, and transcripts. Records
that are relevant and necessary may be disclosed:
1. To the responding official (RO) consistent with the
instructions in EEOC's Complaint Processing Manual which provides
that during the investigative process the responding official shall
have access to documents in the correspondence file and the
investigative file in which the official is identified and charged
with discrimination or other wrong-doing. Names of and identifying
information on persons other than the complainant and the RO should
be deleted from copies of the documents shown to the RO. If the
Department issues a final decision on the complaint rejecting the
complainant's allegations against the RO, the RO does not have access
to the entire complaint file. If the Department's decision concludes
or implies impropriety on the part of the RO, the entire complaint
file, with names and identifying information deleted where
appropriate, must be made available to the RO. If the Department
takes or proposes adverse action or other disciplinary action against
the RO, only the records upon which the decision is based, without
deletions, must be made available for his or her review.
2. To Federal agencies with jurisdiction over a complaint,
including the Equal Employment Opportunity Commission, the Office of
Personnel Management, the Merit Systems Protection Board, the Office
of Special Counsel, and the Federal Labor Relations Authority, for
investigatory, conciliation or enforcement purposes.
3. To a physician or medical official for the purpose of
evaluating medical documents in complaints of discrimination on the
basis of disability.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in manual and automated files.
Retrievability:
Manual files are indexed by complainant's name and by the office
case number. Automated files are retrieved by: Office case number;
complainant's name; fiscal year; current status of complaint; region
code; issue code; basis code; agency code; class action; relief code;
EOS identification; Investigator identification.
Safeguards:
Manual records are maintained in secured file cabinets or in
restricted areas, access to which is limited to authorized personnel.
Automated files are controlled by means of identification numbers and
passwords known only to the employees of the Civil Rights Center who
are authorized to have access to such files.
Retention and disposal:
Records are retained for a period of four years after the final
disposition of a complaint, and then destroyed. An alphabetical
record is kept of open complaints by name of the complainant, giving
the basis of the complaint, the matter giving rise to the complaint,
and the disposition.
System manager(s) and address:
Director, Civil Rights Center, OASAM, U.S. Department of Labor,
200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals or organizations designated to act on behalf of
individuals may write the system manager indicated above regarding
the existence of records pertaining to them pursuant to 29 CFR 71.2.
The inquirers should provide, as appropriate, their full name, the
name of the employing agency and/or the agency in which the situation
arose, if different than the employing agency, approximate date of
filing complaint, region of complaint, complaint case number, the
kind(s) of action(s) taken against them, and a notarized signature,
or a notarized letter of consent when a person requests access on
behalf of the individual who is the subject of the file.
Record access procedures:
Individuals or organizations designated to act on behalf of an
individual wishing to gain access to records covered by the Privacy
Act, shall follow the guidelines prescribed by 29 CFR part 71,
summarized here under ``Notification procedures.''
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to 29 CFR 71.9, shall write the system manager at the
specified address above, reasonably identifying the record pertaining
to them, the information which is being contested in that record, the
corrective action(s) being sought, and the reasons for the
correction(s).
Record source categories:
Individual to whom the record pertains; official documents
relating to the processing of a complaint, the informal and formal
allegations, appeals of departmental decisions; and respondent agency
officials, employees, and other witnesses.
Systems exempted from certain provisions of the act:
Under the specific exemption provided by 5 U.S.C. 552a(k) (2),
this system of records is exempted from the following provisions of
the Privacy Act: (c)(3), (d), (e)(1), (e)(4)(G), (H), and (I) and
(f). Information from the complaint file may be denied in
anticipation of a civil action or proceeding, in instances where
premature release of documents could hamper the decision-making
process, where the release of personal information about another
employee may result in an invasion of personal privacy, and where
release of confidential statements could lead to intimidation or
harassment of witnesses and impair future investigations by making it
more difficult to collect similar information. Personal information
about other employees that are contained in the complainant's file
because of its use as comparative data such as: Medical records,
place and date of birth, age, martial status, home address and
telephone numbers, the substance of promotion recommendations,
supervisory assessments of professional conduct and ability, may be
denied to the subject when it could cause embarrassment and/or
harassment to the other employees.
DOL/OASAM-19
System name:
Negotiated Grievance Procedure and Unfair Labor Practice Files.
Security classification:
None.
System location:
A. Offices in Washington, DC: Labor Management Relations Center,
Human Resources Center (OASAM) and;
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
DOL employees who have filed grievances under negotiated
grievance procedures, and DOL employees who have filed unfair labor
practices charges against the Department.
Categories of records in the system:
This system contains a variety of records relating to an employee
grievance filed under procedures established by labor-management
negotiations and unfair labor practice charges filed under the
Federal Service Labor-Management Relations Statute. The Records may
include information such as: Employee's name, grade, job title,
employment history, arbitrator's decision or report, record of appeal
to the Federal Labor Relations Authority, and a variety of employment
and personnel records associated with the grievance or charge.
Authority for maintenance of the system:
5 U.S.C. 7121 for grievances, 5 U.S. 7116 for unfair labor
practices, Federal Service Labor-Management Relations Statute and
related amendments of 5 U.S.C. 5596(b) for back pay.
Purpose(s):
These records are used to process an employee's grievance filed
under a negotiated grievance procedure or an unfair labor practice
charge filed by an employee or union.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records that are relevant
and necessary may be used:
a. To disclose information to officials of the Merit System
Protection Board or the Office of Special Counsel, when requested in
connection with appeals, special studies of the civil service and
other merit systems, review of DOL rules and regulations,
investigations or alleged or possible prohibited personnel practices,
and such other functions as may be authorized by law.
b. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices or examination of
affirmative employment programs.
c. To disclose information to the Federal Labor Relations
Authority or its General Counsel when requested in connection with
investigations of allegations of unfair labor practices or matters
before the Federal Service Impasses Panel.
d. To disclose information to the union when requested in
connection with the union's representation of the DOL employee who
has filed the grievance or unfair labor practice.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual file.
Retrievability:
By name and/or case file number.
Safeguards:
Locked room.
Retention and disposal:
Records are destroyed 4 years after the closing of the case.
System manager(s) and address:
Director, Labor-Management Relations, Human Resources Center,
U.S. Department of Labor, 200 Constitution Ave., NW, Washington, DC
20210.
Notification procedure:
Contact system manager at above address.
Record access procedure:
Contact system manager at above address.
Contesting record procedure:
Contact system manager at above address.
Record source categories:
Individual employees who have filed grievances and charges,
employee/supervisor interviews, investigative and employment records,
and findings of arbitrators and other tribunals.
Systems exempted from certain provisions of the act:
Under the specific exemption provided by 5 U.S.C. 552a(k)(2),
this system of records is exempted from the following provisions of
the Privacy Act: 5 U.S.C. 552a(c)(3), (d), (e)(1), and (e) (4)(G),
(H), (I) & (f). Information from the case file may be denied in
anticipation of a civil action or proceeding, in instances where
premature release of documents could hamper the decision-making
process, where the release of personal information about another
employee may result in an invasion of personal privacy, and where
release of confidential statements could lead to intimidation or
harassment of witnesses and impair future investigations by making it
more difficult to collect similar information. Personal information
about other employees that is contained in the grievant's or charging
party's file because of its use as comparative data such as: medical
records, place and date of birth, age, marital status, home address
and telephone numbers, the substance of promotion recommendations,
supervisory assessments of professional conduct and ability, may be
denied to the subject when it could cause embarrassment and/or
harassment to the other employees.
DOL/OASAM-20
System name:
Personnel Investigation Records.
Security classification:
None for the system. However, items or records within the system
may have national defense/foreign policy classifications up through
secret.
System location:
Assistant Director, Executive Resources and Personnel Security
Team (OASAM), U.S. Department of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
Categories of individuals covered by the system:
a. Current and former employees or applicants for employment in
the Department.
b. Individuals considered for access to classified information or
restricted areas and/or security determinations as contractors,
experts, instructors, and consultants to Departmental programs.
Categories of records in the system:
Investigative files and investigative index card files which
pertain to clearance investigations for Federal employment. These
records contain investigative information regarding an individual's
character, conduct, and behavior in the community where he or she
lives or lived; arrests and convictions for violations against the
law; reports of interviews with present and former supervisors,
coworkers, associates, educators, etc; reports about the
qualifications of an individual for a specific position and files and
index cards relating to adjudication matters; reports of inquiries
with law enforcement agencies, employers, educational institutions
attended; reports or action after OPM or FBI Section 8(d) Full Field
Investigation; Notices of Security Investigation; and other
information developed from above.
Note: This system does not apply to records of a personnel
investigative nature that are part of the Office of Personnel
Management's (OPM) Privacy Act System OPM/CENTRAL-9, Personnel
Investigation Records. Access to or amendment of such records must be
obtained from OPM.
Authority for maintenance of the system:
Executive Order 10450.
Purpose(s):
The purposes of this systems are:
a. To provide investigatory information for determination
concerning compliance with Federal personnel regulations and for
individual personnel determinations including suitability and fitness
for Federal employment, access and security clearances, evaluations
of qualifications, loyalty to the U.S. and evaluations of
qualifications and suitability for performance of contractual
services for the U.S. Government.
b. To document such determinations;
c. To provide information necessary for the scheduling and
conduct of the required investigations;
d. To otherwise comply with mandates and Executive Order; and
These records may also be used to locate individuals for
personnel research.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records and information in these records may be used in
disclosing relevant and necessary information:
a. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
Government, when such agency, office, or establishment conducts an
investigation of the individual for the purpose of granting a
security clearance, or for the purpose of making a determination of
qualifications, suitability, or loyalty to the United States
Government, or access to classified information or restricted areas.
b. To designated officers and employees of agencies, offices, and
other establishments in the executive, legislative, and judicial
branches of the Federal Government, and the District of Columbia
Government, having the responsibility to grant clearances to make a
determination regarding access to classified information or
restricted areas, or to evaluate qualifications, suitability, or
loyalty to the United States Government, in connection with
performance of a service to the Federal Government under a contract
or other agreement.
c. To the intelligence agencies of the Department of Defense, the
National Security Agency, the Central Intelligence Agency, and the
Federal Bureau of Investigation for use in intelligence activities.
d. To Federal agencies as a data source for management
information through the production of summary descriptive statistics
and analytical studies in support of the functions for maintained or
for related studies.
e. To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel, when
requested in connection with appeals, special studies of the civil
service and other merit systems, review of office rules and
regulations, investigations of alleged or possible prohibited
personnel practices, and such other functions, e.g., as promulgated
in 5 U.S.C. 1205 and 1206, or as may be authorized by law.
f. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination practices in the Federal sector,
examination of Federal affirmative employment programs, compliance by
Federal agencies with the Uniform Guideline Employee Selection
Procedures, or other functions vested in the Commission by the
President's Reorganization Plan No. 1 of 1978.
g. To disclose information to the Federal Labor Relations
Authority or its General Counsel when requested in connection with
investigations of allegations of unfair labor practices or matters
before the Federal Service Impasses Panel.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing, storing,
retrieving, retaining, and disposing of records in the system:
Storage:
Records are maintained in file folders and on index cards.
Retrievability:
Records are retrieved by the name of the individual on whom they
are maintained.
Safeguards:
Folders are maintained in file cabinets secured by three position
combination locks. The index to the system and those records which
are maintained on index cards are contained in covered and locked
Wheeldex machines. All employees are required to have an appropriate
security clearance before they are allowed access to the records.
Retention and disposal:
a. Index cards which show the scheduling or completion of an
investigation, and investigative files, if any, are retained for 2
years, plus the current year from the date of the most recent
investigative activity. Other index cards which show no investigative
record other than the completion of a clear National Agency Check or
a clear National Agency Check Inquiry, and where no investigative
file folder exists, are retained for two years plus the current year.
b. Reports of action after OPM or FBI section 8(d) background
investigation are retained for the life of the investigative file.
c. Notices of Security Investigations are retained for 20 years.
All records are destroyed by burning.
System manager(s) and address:
Director, Human Resources Services Center, OASAM, U.S. Department
of Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system contains
information about them should contact the system manager in writing.
Individuals must furnish the following information for their records
to be located and identified:
a. Full name
b. Date of birth
c. Signature
d. Any available information regarding the type of record
involved.
e. The category of covered individuals under which the requester
believes he or she fits.
Record access procedures:
Individuals wishing to request access to their records should
contact the system manager in writing. Individuals must furnish the
following information for their records to be located and identified:
a. Full name
b. Date of birth
c. Signature
d. Any available information regarding the type of record
involved.
e. The category of covered individuals under which the requester
believes he or she fits.
Contesting record procedures:
Individuals wishing to request amendment to their non-exempt
records should contact the system manager in writing. Individuals
must furnish the following information for their records to be
located and identified:
a. Full name
b. Date of birth
c. Signature
d. Any available information regarding the type of record
involved.
e. The category of covered individuals under which the requester
believes he or she fits.
Record source categories:
Information contained in the system was obtained from the
following categories of sources:
a. Applications and other personnel and security forms furnished
by the individual;
b. Investigative and other record material furnished by Federal
agencies;
c. Notices of personnel actions furnished by Federal agencies;
d. By personal investigation or written inquiry from sources such
as employers, educational institutions, references, neighbors,
associates, police departments, courts, credit bureaus, medical
records, probation officials, prison officials, newspapers,
magazines, periodicals, and other publications.
Systems exempted from certain provisions of the act:
This system may contain the following types of information:
a. Investigatory material compiled solely for the purpose of
determining suitability, eligibility, or qualifications for Federal
civilian employment. The Privacy Act, at 5 U.S.C. 552a(k)(5), permits
an agency to exempt such material from certain provisions of the Act.
Materials may be exempted to the extent that release of the material
to the individual whom the information is about would:
1. Reveal the identity of a source who furnished information to
the Government under an express promise (granted on or after
September 27, 1975) that the identity of the source would be in
confidence; or
2. Reveal the identity of a source who, prior to September 27,
1975, furnished information to the Government under an implied
promise that the identity of the source would be held in confidence.
b. For all the above reasons the Department hereby exempts this
system from the following provisions of the Privacy Act: 5 U.S.C.
552a (c)(3), (d), (e)(1), (e)(4)(G), (H) and (I) and (f).
DOL/OASAM-22
System name:
Civil Rights Center Discrimination Complaint Case Files.
Security classification:
None.
System location:
Civil Rights Center, OASAM, U.S. Department of Labor,
Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
Individuals, classes of individuals, or representatives
designated to act on behave of individuals filing complaints against
recipients of DOL financial assistance, DOL conducted programs, or
State or local governments that exercise responsibilities, regulate,
or administer services, programs, or activities in all programs,
services, and regulatory activities relating to labor and the
workforce alleging discrimination on the basis of race, color,
national origin, age, disability, sex, religion, citizenship,
political affiliation or belief, citizenship, participation in a
Workforce Investment Act (WIA) Title-I program or activity, and/or
any basis covered by Executive Order 13160, or retaliation for having
filed a discrimination complaint, furnishing information, or
assisting or participating in any manner in an investigation, hearing
or any other activity related to the administration of Federal law
requiring equal opportunity.
Categories of records in the system:
Complainants' statements of alleged discrimination, respondents'
statements, witnesses' statements, names and addresses of
complainants and respondents, personal, employment or program
participation information, medical records, conciliation and
settlement agreements, related correspondence, initial and final
determinations, other records related to investigations of
discrimination complaints.
Authority for maintenance of the system:
Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C.
2000d to 2000d-4; secs. 504 and 508(d) of the Rehabilitation Act of
1973, as amended, 29 U.S.C. 794(a) and 794(d); the Age Discrimination
Act of 1975, as amended, 42 U.S.C. 6102; Title IX of the Education
Amendments of 1972, as amended, 20 U.S.C. 1681; sec. 645-255 of the
Social Security Act, 42 U.S.C. 603(a)(5); sec. 167 of the Job
Training Partnership Act, as amended, 29 U.S.C. 1577; sec. 188 of the
Workforce Investment Act of 1998; 29 U.S.C. 2938, the Americans with
Disabilities Act of 1990, 42 U.S.C. 12101 et seq.; Executive Order
13160; Secretary's Order 4-2000; 29 CFR parts 31, 32, 33, 34, 36 and
37, and 28 CFR part 35.
Purpose(s):
To maintain records on individuals who have filed a complaint
with, or to investigate and resolve discrimination complaints filed
with the Department of Labor against (1) recipients of financial
assistance from the Department, (2) Department of Labor conducted
programs or activities and (3) components of State and local
governments that exercise responsibilities, regulate, or administer
services, programs, or activities in all programs, services, and
regulatory activities relating to labor and the workforce.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Records that are relevant and necessary may be disclosed:
a. To the Equal Employment Opportunity Commission, Department of
Justice, Federal Mediation and Conciliation Service, when relevant to
matters within the jurisdiction of those agencies over a complaint,
for investigatory, conciliation, enforcement, or litigation purposes.
b. To organizations which are recipients of Federal financial
assistance and against whom complaints in an administrative or
judicial proceeding are filed to the extent necessary to effectively
represent themselves, provided that the privacy of persons not a
party to the dispute is protected.
c. To the Equal Employment Opportunity Commission, the Department
of Justice, the Department of Health and Human Services, and other
Federal entities having responsibility for processing and resolving
complaints, coordinating civil rights activities and/or preparing
reports to Congress under authorities indicated in this particular
notice.
Disclosure to consumer reorpting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in manual and automated files.
Retrievability:
These records are retrieved by various combinations of office
case numbers, complainant's name, fiscal year, current status of
complaint, state, basis code, and program code.
Safeguards:
Manual records are maintained in secured file cabinets or in
restricted areas, access to which is limited to authorized personnel.
Automated files are controlled by means of identification numbers and
passwords.
Retention and disposal:
Manual records are retained for a period of three years after the
final disposition of a complaint. They are then retired to the
Federal Records Center for two additional years, and then destroyed.
Complaints are maintained in the automated file for two years, after
which they are stored on disc or tape for three additional years and
then destroyed by shredding.
System manager(s) and address:
Civil Rights Center, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington, DC 20210.
Notification procedure:
Pursuant to 29 CFR part 71 individuals requesting information or
assistance, or making inquiries regarding the existence of records
pertaining to them should write the system manager at the address
above. Inquiries should include the name of the inquirer, complaint
case number, approximate date of filing, if the case number is
unknown, name of respondent, last known status of the complaint, and
signature. When a request is submitted by mail, the signature of the
requester shall be notarized.
Record access procedures:
An individual or organization representing an individual(s),
wishing to gain access to these records shall follow the guidelines
set forth under notification procedures summarized above and
Departmental regulations at 29 CFR part 71.
Contesting record procedures:
Individuals wishing to contest information in their files may,
pursuant to 29 CFR part 71, write the system manager at the specified
address above, reasonably identifying the record pertaining to them,
the information which is being contested in that record, the
corrective action(s) being sought, and the reason(s) for the
correction(s).
Record source categories:
Individual complainants; respondent officials, employees, and
witnesses; interrogatories; recipient files and records; and
physicians' and other medical service providers' records.
Systems exempted from certain provision of the Act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is
exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I);
and (f) of 5 U.S.C. 552a, provided however, that if any individual is
denied any right, privilege, or benefit that he or she would
otherwise be entitled to by Federal law, or for which he or she would
otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of the source would be
held in confidence, or prior to January 1, 1975, under an implied
promise that the identity of the source would be held in confidence.
DOL/OASAM-23
System name:
Travel Management Center.
Security classification:
Unclassified.
System location:
This system of records is located in the travel agency under
contract with this Department and in the administrative offices of
Department of Labor component agencies.
Categories of individuals covered by the system:
Individuals for whom travel is being arranged by the contractor.
Categories of records in the system:
Records include traveler's profile which contains name of
individual, social security number, home and office telephones,
agency's name, address, and telephone number, air travel preference,
rental car identification number and preference of car, hotel
preference, current passport and/or visa number, personal credit card
numbers, and additional information; travel authorization and monthly
reports from travel agent(s) showing charges to individuals,
balances, and other types of account analyses.
Authority for maintenance of the system:
31 U.S.C. 711; interpret or apply 31 U.S.C. 3511, 3512, and 3523.
Purpose(s):
To assemble in one system information to enable travel agents who
are under contract to the Federal Government to issue and account for
travel provided to individuals.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to the routine uses listed in the general prefatory
statement:
a. To disclose information to a credit card company for billing
purposes.
b. To disclose information to a Federal agency for accumulating
reporting data and monitoring the system.
c. To disclose information to the agency by the contractor in the
form of itemized statements of invoices, and reports of all
transactions including refunds and adjustments to enable audits of
charges to the Government.
d. To disclose credit card information, phone numbers, addresses,
etc., to airlines, hotels, car rentals companies and other travel
affiliated companies for the purpose of serving the client.
e. To disclose personal credit card information to hotels and car
rental companies for the purpose of guaranteeing reservations.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records in file cabinets. Computer records within a
computer and attached equipment.
Retrievability:
By name and/or social security number of traveler.
Safeguards:
Records stored in lockable file cabinets or secured rooms.
Computerized records protected by password system and electronic
signaturing. Information released only to authorized officials on a
need-to-know basis.
Retention and disposal:
Records kept by the Department and/or the travel agency are held
for 3 years and then destroyed.
System manager(s) and address:
Director, Office of Budget, Office of the Assistant Secretary for
Administration and Management, Department of Labor, 200 Constitution
Avenue NW, Washington, DC 20210.
Notification procedure:
Inquiries should be mailed or presented to the system manager
noted at the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at
the address listed above.
Contesting record procedures:
A petition for amendment shall be addressed to the System
Manager.
Record source categories:
Individual, employees, travel authorization, credit card
companies.
Exemption from certain provisions of the act:
None.
DOL/OASAM-24
System name:
Privacy Act/Freedom of Information Act Requests File System.
Security classification:
None.
System location:
A. Departmental Offices in Washington, DC
B. Regional offices of the Department.
Categories of individuals covered by the system:
Individuals who have submitted Privacy Act and Freedom Of
Information Act requests under (5 U.S.C. 552a and 552).
Categories of records in the system:
This system contains initial requests under the Acts, responses,
and related documents.
Authority for maintenance of the system:
The Privacy Act of 1974 (5 U.S.C. 552a); the Freedom of
Information Act (5 U.S.C. 552); and 5 U.S.C. 301).
Purpose(s):
This system of records is maintained for various reasons as
follows:
a. To process individuals' requests made under the Privacy Act
and the Freedom of Information Act.
b. To provide a record of communications between the requester
and the agency.
c. To ensure that all relevant, necessary and accurate data are
available to support any process for appeal.
d. To provide a legal document to support any process for appeal.
e. To prepare the annual reports to OMB and Congress as required
by the Privacy and Freedom of Information Acts.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
These records, and information in these records, may be used:
a. To disclose information to the Office of Management and Budget
at any stage in the legislative coordination and clearance process in
connection with private relief legislation as set forth in OMB
Circular No. A-19.
b. To disclose information to Federal agencies (e.g., Department
of Justice) in order to obtain advice and recommendation concerning
matters on which the agency has specialized experience or particular
competence, for use in making required determinations under the
Freedom of Information Act or the Privacy Act of 1974.
c. To disclose information to any source from which additional
information is requested (to the extent necessary to identify the
individual, inform the source of the purpose of the request, and to
identify the type of information requested), where necessary to
obtain information relevant to a decision concerning a Privacy Act,
Freedom of Information Act request.
d. To disclose information to another Federal agency, to a court,
or a party in litigation before a court or in an administrative
proceeding being conducted by a Federal agency, either when the
Government is a party to a judicial proceeding or in order to comply
with the issuance of a subpoena.
e. To disclose, in response to a request for discovery or for
appearance of a witness, information that is relevant to the subject
matter involved in a pending judicial or administrative proceeding.
f. To disclose information to officials of the Merit Systems
Protection Board, including the Office of the Special Counsel, when
requested in connection with appeals, special studies of the civil
service and other merit systems, review of Office rules and
regulation, investigations of alleged or possible prohibited
personnel practices, and such other functions, e.g., as prescribed in
5 U.S.C. 1205 and 1206, or as may be authorized by law.
g. To disclose information to the Equal Employment Opportunity
Commission when requested in connection with investigations into
alleged or possible discrimination complaints in the Federal sector,
examination of Federal Affirmative employment programs, compliance by
Federal agencies with the Uniform Guidelines on Employee Selection
Procedures, or other functions vested in the Commission by the
President's Reorganization Plan No. l of 1978.
h. To disclose information to the Federal Labor Relations
Authority or its General Counsel when requested in connection with
investigations of allegations of unfair labor practices or matters
before the Federal Service Impasses Panel.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
These records are maintained in file folders.
Retrievability:
These records are retrieved by name of individual making request
and by date of request.
Safeguards:
These records are located in lockable metal filing cabinets with
access limited to personnel whose duties require access.
Retention and disposal:
Destroyed two years after response date if no denial was
involved. Destroyed five years after response date if denial of
records was involved. If there is an appeal to the Solicitor of
Labor, the records are destroyed six years after final agency
determination or 3 years after final court adjudication, whichever is
later.
System manager(s) and address:
Head of agencies or component units within the Department who
have custody of the records. (See the appropriate Agency Official in
the listing in the Appendix to this document.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager at
the appropriate office or region where their original Privacy Act or
Freedom of Information Act request was sent, or where they received
responses to such requests.
Record access procedure:
A request for access shall be addressed to each facility to which
the requester has submitted a Freedom of Information Act or Privacy
Act request.
Note: Individuals must furnish the following information for
their records to be located and identified:
a. Name
b. Approximate dates of Privacy Act/FOIA Act correspondence
between the Department of Labor and the individual.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
listed above.
Record source categories:
Information in this system of records comes from: The individual
requester; official documents, agency officials, and other Federal
agencies.
Systems exempted from certain provisions of the act:
The Department of Labor has claimed exemptions from several of
its other systems of records under 5 U.S.C. 552a(k) (1), (2), (3),
(5), and (6). During the course of a PA/FOIA action, exempt materials
from those other systems may become part of the case record in this
system. To the extent that copies of exempt records from those other
systems are entered into these PA/FOIA case records, the Department
has claimed the same exemptions for the records as they have in the
original primary system of records of which they are a part.
DOL/OASAM-25
System name:
Intergovernmental Personnel Act Assignment Records.
Security classification:
None.
System location:
A. In Washington, DC: OASAM, Human Resources Center
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
Current or former State or local government agency or educational
institution employees, employees of Indian tribal governments, or
other organizations who have completed or are presently on an
assignment in a DOL agency under the provisions of IPA.
Categories of records in the system:
These records consist of a copy of the individual's IPA agreement
between a DOL agency and a State or local government, educational
institution, Indian tribal government, or other organization;
biographical and background information about the assignees.
Authority for maintenance of the system:
The Intergovernmental Personnel Act of 1970. (5 U.S.C. 3371
through 3376).
Purpose(s):
These records are maintained to document and track mobility
assignments under IPA.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
Not applicable.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
By the name of the individual.
Safeguards:
Files are maintained in an area with limited access.
Retention and disposal:
Records are retained for a period of three years following the
completion of the assignment.
System manager(s) and address:
Director, Human Resource Services Center, U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wanting to inquire whether this system contains
information about them should contact the servicing personnel office.
Record access procedures:
Contact the servicing personnel office.
Contesting record procedures:
Contact the servicing personnel office.
Record source categories:
Information provided by the assignee and by officials in DOL
agencies, State and local governments, educational institutions,
Indian tribal governments and other organizations where the assignee
is employed.
Systems exempted from certain provisions of the act:
Not applicable.
DOL/OASAM-26
System name:
Frances Perkins Building Parking Management System.
Security classification:
None.
System location:
Office of Facilities Management, Frances Perkins Building, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
All individuals assigned or applying for assignment of parking
privileges in the Frances Perkins Building, Washington, DC.
Categories of records in the system:
This system includes: name, office building and room number,
office telephone number, employing agency, home address, federal
service computation date, handicap certification, automobile license
number, make and year of car, permit numbers (if assigned parking
privileges), category of assignment, and office location in/out of
zone of special consideration.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on individuals who are assigned or applying
for assignment of parking privileges in the Frances Perkins Building.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Disclosure of information may be made to other government
agencies to compare names of car pool members. (For verification, the
names of car pool members, their office telephone number and permit
numbers will be displayed within the Frances Perkins Building.)
Applications for disabled parking shall be disclosed to the PHS for
medical review and approval. The names of car pool members, permit
number, agency and office telephone numbers will be provided to the
management contractor for the sale of permits.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual files are stored in a local, three drawer file cabinet.
Computer records are stored in a personal computer with a password
control.
Retrievability:
Records are filed and retrieved by name or permit number.
Safeguards:
Access to and use of these records is limited to personnel whose
official duties require access. Automated data in personal computer
are password protected. Written application data are placed in file
cabinets.
Retention and disposal:
Records are retained while the assignments are current and are
destroyed after the completion of each parking reallocation cycle.
System manager(s) and address:
Director, Office of Facilities Management, U.S. Department of
Labor, 200 Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Access to these records may be obtained by request in writing to:
Director, Office of Facilities Management, 200 Constitution Avenue,
NW, Washington, DC 20210.
Record access procedures:
Individuals wishing to request access to records should contact
the appropriate office listed in the notification procedure section.
Individuals must furnish the name or permit number for the record
they wish to access.
Contesting record procedures:
Individuals wishing to request amendment of the records should
contact the official at the address specified under notification
procedures above, and reasonably identify the record and specify the
information to be contested.
Record source categories:
Information comes from the individuals to whom the information
pertains. Also, other government agencies may provide information to
the Department.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-27
System name:
Employee/Contractor Identification Program.
Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), Business Operations Center
(BOC), Administrative Services Center (ASC), Customer Service, 200
Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
Individual DOL employees and individual employees of contractors
doing business with DOL.
Categories of records in the system:
Records which contain individual identifiers plus a photographic
image of DOL employees and DOL contract employees.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on the identification of persons to be
rightfully admitted to DOL facilities.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Automated records are stored on the hard drive of a computer and
manual records are stored in a secure file cabinet.
Retention and disposal:
Records are maintained indefinitely.
Retrievability:
Records are retrieved by the employee's or contractor's last name
or social security number and agency.
System manager(s) and address:
Director, Customer Service, OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above.
Record access procedure:
Individuals requesting access must comply with Privacy Act
regulations on verification of identity and access to records. (See
29 CFR part 71.)
Contesting record procedure:
Same as notification procedure above, except individuals desiring
to contest or amend information maintained in the system should
direct their written request to the system manager listed above, and
state clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Individual DOL employees and individual employees of contractors
doing business with DOL.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-28
System name:
Incident Report/Restriction Notice.
Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), Business Operations Center
(BOC), Office of Facilities Management (OFM), Division of Security,
200 Constitution Avenue NW, Washington, DC 20210.
Categories of individuals covered by the system:
Complainants, Witnesses and Suspects.
Categories of records in the system:
Records which contain information on incidents that occurred in
the Frances Perkins Building. Information includes name, agency and
date of incident.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Records provide a means of identifying security problems thereby
making it possible to better utilize security resources.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining and disposing of records in the system:
Storage:
Manual files in a cabinet housed in a secured room.
Retention and disposal:
Records are maintained seven years, at which time they are
destroyed.
Retrievability:
Records are filed and retrieved by names.
System manager(s) and address:
Chief, Division of Security and Emergency Preparedness, U.S.
Department of Labor, OASAM/ BOC/OFM, 200 constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
indicated above.
Record access procedures:
Individuals wishing to request access to information about them
should contact the system manager indicated above.
Contesting record procedure:
Same as notification procedure above, except individuals desiring
to contest or amend information maintained in the system should
direct their written request to the system manager listed above, and
state clearly and concisely what information is being contested, the
reasons for contesting it, and the proposed amendment to the
information sought.
Record source categories:
Sources of information contained in this system are from
individuals, DOL records, Federal Protective Service records and FBI
records.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-29
System name:
OASAM Employee Administrative Investigation File.
Security classification:
None.
System location:
Offices within the Office of the Assistant Secretary for
Administration and Management at the National Office and in each of
the Regional Offices in addition to all OASAM client agencies in the
National Office and in the regions.
Categories of individuals covered by the system:
OASAM employees and the Business Operations Center client agency
personnel against whom allegations of misconduct have been made.
Categories of records in the system:
Investigative report(s), sworn affidavits, written statements,
time and attendance records, earnings and leave statements,
applications for leave, notifications of personnel actions, travel
vouchers, 171's, certificates of eligible, performance appraisals,
interviews and other data gathered from involved parties and
organizations which are associated with the case.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on investigations of allegations of
misconduct.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are stored in file cabinets.
Retrievability:
By name or case file number.
Safeguards:
Files are maintained in locked file cabinets with access only to
those with a need to know the information to perform their duties.
Retention and disposal:
Records are retained for four years following the date either:
(a) They are referred to the OIG; (b) they are transferred to OPM/
GOVT-3 Records of Adverse Actions and Actions Based on Unacceptable
Performance; or (c) it is determined that the allegation was without
sufficient merit to warrant further action, after which they are
destroyed by burning.
System manager(s) and address:
Director, Human Resources Services Center, 200 Constitution
Avenue, NW., Washington, DC 20210, and appropriate Regional Personnel
Officers.
Notification procedure:
Inquiries should be mailed or presented to the system manager
noted at the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified: Name;
approximate date of the investigation.
Contesting record procedures:
A petition for amendment shall be addressed to the System Manager
and must meet the requirements of 29 CFR Part 71.
Record source categories:
Hotline complaints through the Office of the Inspector General's
hotline or through the General Accounting Office; incident reports
submitted by employees or members of the general public; statements
by subject and fellow employees; and other investigative reports.
System exempted from certain provisions of the act:
In accordance with 5 U.S.C. 552a(k)(2), investigatory material in
this system of records compiled for law enforcement purposes is
exempt from subsections (c)(3); (d); (e)(1); (e)(4)(G), (H), and (I);
and (f) of 5 U.S.C. 552a, provided however, that if any individual is
denied any right, privilege, or benefit that he or she would
otherwise be entitled to by Federal law, or for which he or she would
otherwise be eligible, as a result of the maintenance of these
records, such material shall be provided to the individual, except to
the extent that the disclosure of such material would reveal the
identity of a source who furnished information to the Government
under an express promise that the identity of the source would be
held in confidence, or prior to January 1, 1975, under an implied
promise that the identity of the source would be held in confidence.
DOL/OASAM-30
System name:
Injury Compensation System (ICS).
Security classification:
None.
System location:
A. Offices in Washington, DC: Safety and Health Center, OASAM,
and
B. OASAM Regional Personnel Offices.
Categories of individuals covered by the system:
Current/former employees of the Department of Labor and current/
former Job Corps Center students who file, or who have filed on their
behalf, workers' compensation claims for traumatic injury,
occupational disease, recurrence of disability, and death.
Categories of records in the system:
This system contains information relating to a DOL employee's/Job
Corps Center student's claim for compensation filed under procedures
established by the Office of Worker's Compensation Programs.
Authority for maintenance of the system:
Federal Employees' Compensation Act, as amended (codified in 5
U.S.C. 8101 et seq.), and to related regulations in Title 20, Code of
Federal Regulations (CFR), part 10; The Occupational Safety and
Health Act of 1970 (Pub. L. 91-596), Executive Order 12196;
Occupational Safety and Health Programs for Federal Employees, and 29
CFR part 1960.
Purpose(s):
The records are used as a reference, by agency officials, to
track and monitor DOL employees and/or Job Corps Center students who
receive continuation of pay and/or FECA compensation benefits.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in manual and automated files.
Retrievability:
Manual files are indexed by agency/region. Automated files are
retrieved by: Agency/region code, case number, claimant's name,
fiscal year.
Safeguards:
Manual files are maintained in locked file cabinets under
supervision of Office of Safety and Health personnel. Confidential
passwords are required for access to automated records.
Retention and disposal:
Records are maintained in the ICS system for 5 years.
System manager(s) and address:
Director, Office of Safety and Health, U.S. Department of Labor,
200 Constitution Avenue, NW., Washington, DC 20210.
Notification procedure:
Requests, including name, date of injury, agency name, and case
file number, if known, should be addressed to the system manager
listed above, at the office where the record is located.
Record access procedures:
A request for access shall be addressed to the system manager at
the address listed above. Individuals must furnish the following
information for their records to be located and identified:
a. Name and address.
Contesting record procedures:
Not applicable.
Record source categories:
Records in this system contain information extracted from OWCP/
payroll data files/tapes.
System exempted from certain provisions of the act:
None.
DOL/OASAM-31
System name:
DOL Flexible Workplace (Flexiplace) Programs Evaluation and
Files.
Security classification:
None.
System location:
DOL/OASAM/Office of Human Resources, Office of Human Resource
Systems and with each employee's supervisor.
Categories of individuals covered by the system:
DOL participants in Flexiplace Programs.
Categories of records in the system:
Records in the system include program participants, position
title and grade, office location, and address of alternate work site.
Records, also include survey information obtained during the
individual's participation.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
These records are used for statistical reporting and evaluation
of the DOL Flexiplace Program, and are not used in any way for making
any determination about an identifiable individual.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consuer reporting agenci
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in manual files and on computer disks.
Retrievability:
Records are retrieved by individual(s) name(s).
Safeguards:
Records are maintained on secure computer systems and can only be
retrieved with the proper access code. Access to the manual files is
limited to authorized users.
Retention and disposal:
The database will be retained without individual identifiers
(which will be deleted from the files) for statistical purposes only.
System manager(s) and address:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management, Office of Human Resources, Office of
Human Resource Systems, Frances Perkins Building, 200 Constitution
Avenue, NW., Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the systems manager
listed above. Individuals must furnish the following information for
their records to be located and identified: Name, GS grade and
series, organizational unit.
Record access procedures:
Individuals wishing to request access to records pertaining to
them should contact the systems manager. Individuals must furnish the
following information for their records to be located and identified:
Name, GS grade and series, organizational unit.
Contesting record procedure:
Individuals wishing to contest information in their files may
write to the system manager at the specified address above,
reasonably identify the records pertaining to them, the information
which is being contested in those records, the corrective action(s)
being sought, and the reasons for the correction(s).
Record source categories:
Individual participants and their supervisors.
Systems exempted from certain provisions of the act:
Not applicable.
DOL/OASAM-32
System name:
Transit Subsidy Management System.
Security classification:
None.
System location:
U.S. Department of Labor, Financial Management Services Center,
Office of the Assistant Secretary for Administration and Management
(OASAM), 200 Constitution Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
All DOL employees who apply for Transit Subsidy benefits.
Categories of records in the system:
Records contain information on DOL employees, such as name,
social security number, organization (code), office location, and
employment status.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
To maintain records on the Transit Subsidy Program.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Manual files are retained by the Financial Management Services
Center, in a file cabinet. Computer records are stored in a database
server located in a secure area accessible only by encoded security
cards.Machine readable version of the records is kept in a secure
microcomputer (server) database.
Retrievability:
Records are filed and retrieved by name or Social Security
Number.
Safeguards:
Records can be accessed only through the use of passwords given
to authorized DOL employees by the Database Administrator on a need
to know basis.
Retention and disposal:
Records are retained for three years and then destroyed.
System manager(s) and address:
Director, Business Operations Center, OASAM, U.S. Department of
Labor, 200 Constitution Avenue, NW., Washington DC, 20210.
Notification procedure:
Inquiries should be mailed or presented to the system manager
noted at the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager at
the address listed above.
Contesting record prOcedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of the DOL Privacy Act
regulations at 29 CFR 71.
Record source categories:
Information contained in this system is from the DOL Payroll
System and the applicant.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-33
System name:
Entity Database.
Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), Information Technology Center
(ITC), 200 Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
DOL employees and contract employees.
Categories of records in the system:
Records contain information on DOL employees, such as name,
social security number, organization (code), pay plan, series, title,
address, badge number, agency, cost center, phone number.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The data is used to complete applications, personnel and
administrative forms, and provide input to various small systems used
in administration and management of DOL employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer records are stored in a database server located in a
secure area accessible only by encoded security cards. Access to
records, forms, applications, processes, and information is
controlled by System Managers. The Entity database is not accessible
by any individual user. Machine readable version of the records are
kept in a secure microcomputer (server) database.
Retrievability:
Specific records may be retrieved by name, SSN, organization,
grade.
Safeguards:
Records are protected at both the machine (server) level and data
level. Records can be accessed only through the use of passwords
given to authorized DOL employees by the Database Administrator on a
need to know basis. Access to specific data elements is further
controlled by a need to know basis.
Retention and disposal:
The data is updated daily or on an as required basis. Earlier
data are overwritten.
System manager(s) and address:
Director, Information Technology Center, OASAM, U.S. Department
of Labor, 200 Constitution Avenue, NW., Washington DC 20210.
Notification procedures:
Inquiries should be mailed or presented to the system manager
noted at the address listed above.
Record access procedures:
A request for access shall be addressed to the appropriate system
manager listed above.
Contesting record procedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of the DOL Privacy Act
regulation at 29 CFR part 71.
Record source categories:
Information contained in this system is obtained from the DOL
Payroll System and information supplied by the applicant.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-34
System name:
DOL Fitness Association (DOLFA) Membership Files.
Security classification:
None.
System location:
Fitness Center, U.S. Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
Categories of individuals covered by the system:
DOLFA members.
Categories of records in the system:
Records contain information on members, such as name, medical
information required with a membership application, and attendance
records.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
Records are used to determine eligibility for membership,
emergency contact numbers, and statistical utilization of the Fitness
Center.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
Non-medical information collected from applicants for DOLFA
membership shall be subject to those universal routine uses listed in
the General Prefatory Statement to this document. In addition,
relevant and necessary non-medical information may be disclosed to
the current members of the DOLFA Board of Directors, and to the
professional fitness specialists employed by DOLFA in the performance
of their responsibilities. Medical information collected from
applicants for DOLFA membership may be disclosed to the professional
fitness specialists employed by DOLFA in the performance of their
responsibilities.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Records are maintained in locking file cabinets, and in computer
files.
Retrievability:
Records may be retrieved by name.
Safeguards:
Records can be accessed only during normal business hours and are
maintained in a locked room at all other times. Access is limited to
personnel (including current members of the DOLFA Board of Directors)
who are directly responsible for the management and/or operation of
the Frances Perkins Building Fitness Center. Such access and use must
be in accordance with the provisions of the Privacy Act.
Retention and disposal:
Records are destroyed five years after a member terminates
membership in DOLFA.
System manager(s) and address:
Team Leader, Health and Fitness Team, Safety and Health Center,
U.S. Department of Labor, 200 Constitution Avenue, NW., Washington DC
20210.
Notification procedures:
An individual wishing to inquire whether this system of records
contains information about him/her should submit a written request to
the system manager, stating that the request is being made pursuant
to the Privacy Act, and including: His/her full name, any former
name, if applicable, home address, and approximate dates of
membership in DOLFA, and DOLFA membership number, date and place of
birth, and signature.
Record access procedures:
Follow the steps described above.
Contesting record procedures:
The written request for an amendment should include the
following: The precise identification of the records to be amended;
the identification of the specific material to be deleted, added, or
changed; and a statement of reasons for the request, including all
available material substantiating the request. Requests for amendment
of records should include the words ``Privacy Act Amendment Request''
on both the envelope and at the top of the request letter.
Record source categories:
Members.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-35
System name:
DOL Child Care Subsidy Program Records.
Security classification:
None.
System location:
DOL/OASAM/Worklife Center.
Categories of individuals covered by the system:
Employees of the Department of Labor who apply for child care
subsidies.
Categories of records in the system:
Application forms for the child care subsidy containing personal
information, including employee (parent) name, grade, home and work
addresses, telephone numbers, total family income, sources and
amounts of State/County/Local subsidies, names of children on whose
behalf the parent is applying for the child care subsidy, children's
Social Security Numbers, children's dates of birth; information on
child care providers used, including name, address, provider license
number and State where issued, tuition cost, and provider tax
identification number; and copies of earnings and leave statements
and IRS Form 1040 and 1040A for verification purposes.
Authority for maintenance of the system:
Pub. L. 106-58, sec. 643 and E.O. 9397.
Purpose(s):
To establish and verify DOL employees' eligibility for child care
subsidies in order for DOL to provide monetary assistance to its
employees.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses set forth in the
General Prefatory Statement to this document.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Information may be collected on paper or electronically and may
be stored as paper forms or on computers.
Retrievability:
By name.
Safeguards:
When not in use by an authorized person, paper records are stored
in lockable file cabinets or secured rooms. Electronic records are
protected by the use of passwords.
Retention and disposal:
Records are destroyed after three years.
System manager(s) and address:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management, Human Resources Center, Worklife
Center, Frances Perkins Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
Notification procedure:
Individuals wishing to inquire whether this system of records
contains information about them should contact the system manager
listed above. Individuals must furnish their full name and address.
Record access procedures:
Individuals wishing to request access to records pertaining to
them should contact the system manager.
Contesting record procedure:
Individuals wishing to contest information in their files may
write to the system manager at the address above, reasonably identify
the records pertaining to them, the information that is being
contested in those records, the corrective action(s) being sought,
and the reasons for the correction(s).
Record source categories:
DOL employees who apply for the child care subsidy program.
Systems exempted from certain provisions of the act:
None.
DOL/OASAM-36
System name:
PeoplePower.
Security classification:
None.
System location:
U.S. Department of Labor, Office of the Assistant Secretary for
Administration and Management (OASAM), People Power Team, 200
Constitution Avenue, NW., Washington, DC 20210.
Categories of individuals covered by the system:
DOL employees.
Categories of records in the system:
Records contain information on DOL employees, such as name,
social security number, organization (code), pay plan, series, title,
address, badge number, agency, cost center, phone number, and
benefits data, and information necessary to produce reports required
by OPM and DOL. Also, it contains records of training received by
individual employees for cost or no cost training. In addition, the
records contain internal reports submitted to prepare Departmental
budget and employment reports. These reports include information such
as job title, grade, location, name and social security number.
Authority for maintenance of the system:
5 U.S.C. 301.
Purpose(s):
The data is used to produce official personnel actions
notifications (SF-50, SF-52), and to store and provide access to
current and historical human resource information for all of the
Department's employees. A further purpose is to administer training,
to manage budgets with regard to employee positions, to produce
analytical reports, and to automate workflow within the human
resources offices.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
None, except for those universal routine uses listed in the
General Prefatory Statement to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer records are stored in a database server located in a
secure area accessible only by encoded security cards. Access to
records, forms, applications, processes, and information is
controlled by System Manager. Machine readable version of the records
are kept in a secure microcomputer (server) database.
Retrievability:
Specific records may be retrieved by name, organization, grade.
Safeguards:
Records are protected at both the machine (server) level and data
level. Records can be accessed only through the use of passwords
given to authorized DOL employees by the Database Administrator on a
need to know basis. Access to specific data elements is further
controlled by a need to know basis. Each component's database is only
accessible by that component's responsible personnel office in either
the national or regional office. Likewise, the 9 DOL budget offices
in the national office, in conjunction with the 14 nationwide human
resources offices, can access their own component agency's database.
Retention and disposal:
Records may be retained indefinitely as a basis for longitudinal
work history statistical studies. Other records are retained for
varying periods of time in accordance with the National Archives and
Records Administration records schedule.
System manager(s) and address:
Project Director, People Power Team, OASAM, U.S. Department of
Labor, 200 Constitution Avenue, NW., Washington DC 20210.
Notification procedure:
Inquiries should be mailed or presented to the system manager
noted at the address listed above.
Record access procedures:
A request for access shall be addressed to the system manager
listed above.
Contesting record procedures:
A petition for amendments shall be addressed to the System
Manager and must meet the requirements of the DOL Privacy Act
regulation at 29 CFR part 71.
Record source categories:
Information contained in this system is obtained from the DOL
Payroll System and information supplied by the applicant.
Systems exempted from certain provisions of the act:
None.
DOL/OALJ-1
System name:
Office of Administrative Law Judges Case Tracking System (CTS).
Security classification:
None.
System location:
U.S. Department of Labor, Office of Administrative Law Judges
(OALJ), 800 K St., NW., Washington, DC 20001.
Categories of individuals covered by the system:
Claimants, complainants, respondents, and other party litigants
in cases before the OALJ for hearing and decision.
Categories of records in the system:
Records that contain information and pertinent data gathered from
case files and court filings, necessary to hear and decide cases.
Authority for maintenance of the system:
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571 et
seq.; Age Discrimination Act of 1975, 42 U.S.C. 6103; 29 CFR part 34;
Americans with Disabilities Act of 1990, 42 U.S.C. 12101 et seq.; 29
CFR part 34; Title VI of the Civil Rights Act of 1964, 42 U.S.C.
2000d-1; 29 CFR part 31; Clean Air Act, 42 U.S.C. 7622; 29 CFR part
24; Comprehensive Employment and Training Act, 29 U.S.C. 801-999
(Supp. V 1981); 20 CFR part 676 (1990); Comprehensive Environmental
Response, Compensation and Liability Act of 1980, 42 U.S.C. 9610; 29
CFR part 24; Contract Disputes Act, 41 U.S.C. 601 et seq.; 41 CFR
part 29-60; 48 CFR 2933.203.70; Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327 et seq.; 29 CFR part 6; Copeland Act, 40
U.S.C. 276c; 29 CFR part 6; Davis-Bacon Act, as amended, 40 U.S.C.
276a-276a-7; 29 CFR part 6; Debt Collection Act of 1982, 31 U.S.C.
3711(f); 29 CFR part 20; Title IX of the Education Amendments of
1972, 20 U.S.C. 1682; 29 CFR part 34; Employee Polygraph Protection
Act of 1988, 29 U.S.C. 2005; 29 CFR part 801, subpart E; Employee
Retirement Income Security Act of 1974, 29 U.S.C. 1132 and 1135; 29
CFR parts 2560 and 2570; Energy Reorganization Act of 1974, as
amended, 42 U.S.C. 5851; 29 CFR part 24; Equal Access to Justice Act,
5 U.S.C. 504; 29 CFR part 16; Executive Order No. 11,246, as amended,
3 CFR 339 (1964-1965 Comp.); reprinted in 42 U.S.C. 2000e app.; 41
CFR parts 60-1 and 60-30; Fair Labor Standards Act of 1938, as
amended, 29 U.S.C. 211(d); 29 CFR part 530, subpart E; Fair Labor
Standards Act of 1938, as amended, 29 U.S.C. 214(c); 29 CFR part 525;
Fair Labor Standards Act of 1938, as amended, 29 U.S.C. 216(e); 29
CFR part 580; Title IV of the Federal Mine Safety and Health Act of
1977, as amended, 33 U.S.C. 901 et seq.; 20 CFR parts 410, 718, 725
and 727; Federal Unemployment Tax Act, 26 U.S.C. 3303(b)(3), 3304(c);
Federal Unemployment Tax Act (addressing agreements under the Trade
Act of 1974, as amended), 26 U.S.C. 3302(c)(3); 20 CFR part 617;
Federal Water Pollution Control Act, 33 U.S.C. 1367; 29 CFR part 24;
Immigration and Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H),
1184 and 1186; 29 CFR part 501, subpart C; Immigration and
Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H), 1182, 1184,
1188, 1288(c); 20 CFR part 655; Immigration and Nationality Act, as
amended, 8 U.S.C. 1182(a)(5)(A); 20 CFR part 656; Job Training
Partnership Act, 29 U.S.C. 1576; 20 CFR part 627; Labor-Management
Reporting & Disclosure Act of 1959, 5 U.S.C. 7120; 29 CFR part 458;
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq.
(and its extensions Defense Base Act, Outer Continental Shelf Lands
Act, District of Columbia Workmen's Compensation Act, 36 DC Code 501
et seq.; Nonappropriated Fund Instrumentalities Act); 20 CFR parts
701, 702 and 704; McNamara-O'Hara Service Contract Act, as amended,
41 U.S.C. 351 et seq.; 29 CFR part 6; Migrant and Seasonal
Agricultural Worker Protection Act, 29 U.S.C. 1813, 1853; 29 CFR part
500, subpart F; National Apprenticeship Act, 29 U.S.C. 50; 29 CFR
parts 29 and 30; Program Fraud Civil Remedies Act of 1986, 31 U.S.C.
3803; 29 CFR part 22; sec. 503 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 793; 41 CFR part 60-741, subpart B; sec. 504 of
the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; 29 CFR
part 32; Reorganization Plan No. 14 of 1950; and 29 CFR part 6; Rules
of Practice and Procedure for Administrative Hearings Before the
Office of Administrative Law Judges, 29 CFR part 18; Safe Drinking
Water Act, 42 U.S.C. 300j-9(i); 29 CFR part 24; Single Audit Act of
1984, 31 U.S.C. 7505; OMB Circular Nos. A-128 and A-110; 29 CFR part
96, subpart 96.6; Social Security Act, 42 U.S.C. 503; 20 CFR part
601; Solid Waste Disposal Act, 42 U.S.C. 6971; 29 CFR part 24;
Surface Transportation Assistance Act, 49 U.S.C. 31105; 29 CFR part
1978; Toxic Substances Control Act, 15 U.S.C. 2622; 29 CFR part 24;
Vietnam Era Veterans Readjustment Assistance Act, as amended, 38
U.S.C. 4211, 4212; 41 CFR part 60-250, subpart B; Wagner-Peyser Act,
as amended, 29 U.S.C. 49 et seq.; 20 CFR part 658; Walsh-Healey
Public Contracts Act, as amended, 41 U.S.C. 38; 41 CFR part 50-203;
Workforce Investment Act of 1998, 29 U.S.C. 2801 et seq.; other
statutes, executive orders and regulations providing for an
administrative law judge hearing as they may become applicable in the
future.
Purpose(s):
To maintain the court docket for administrative law judge
adjudications. The records and information in the case tracking
system are used as the court docket system in administrative law
judge hearings conducted pursuant to 5 U.S.C. 552, 553, 554, 556 and
557 and/or a variety of particular statutes and Executive Orders. The
purpose of the system is to facilitate the processing of cases and
determination of issues in hearings and appeals proceedings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
In addition to those universal routine uses listed in the General
Prefatory Statement to this document, information may be disclosed to
contractors and other Federal agencies, as necessary, for the purpose
of assisting this agency in further development and continuing
maintenance of the system, or hearing-related functions.
Since the administrative law judges proceedings conducted by the
Office of Administrative Law Judges are public, court docket records
are available for public inspection.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Computer system.
Retrievability:
Retrieval by Case Number. Other searchable fields such as name of
party, are available.
Safeguards:
Access is limited to authorized users.
Retention and disposal:
Records are deleted fifty years after the appeal process has been
completed.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office
of Administrative Law Judges (OALJ), 800 K St., NW., Washington, DC
20001.
Notification procedure:
Inquiries regarding the existence of records should be in the
form of a written, signed request to the above address.
Record access procedures:
As in notification procedures.
Contesting record procedures:
As in notification procedures.
Record source categories:
Office of Administrative Law Judge Case Files.
System exempted from certain provisions of the act:
None.
DOL/OALJ-2
System name:
Office of Administrative Law Judge Case Files.
Security classification:
None.
System location:
Unassigned case files are maintained by the Chief Administrative
Law Judge or a District Chief Administrative Law Judge. Assigned case
files are maintained by the presiding administrative law judge. Files
may be located in the National Office, U.S. Department of Labor,
Office of Administrative Law Judges (OALJ), 800 K St., NW,
Washington, DC 20001, or in District offices.
Categories of individuals covered by the system:
Claimants, complainants, respondents, and other party litigants
in cases referred to OALJ for hearing and decision.
Categories of records in the system:
Records may contain claim files, determinations and referral
letters from the agency with initial claim development or
investigatory responsibility; documents proffered as evidence;
pleadings, motions and other submissions by litigants; administrative
law judge orders, and decisions and orders; the hearing transcript;
and other documents and information necessary to hear and decide
cases.
Authority for maintenance of the system:
Administrative Procedure Act, 5 U.S.C. 553, 554, 556, 557, 571 et
seq.; Age Discrimination Act of 1975, 42 U.S.C. 6103; 29 CFR part 34;
Americans with Disabilities Act of 1990, 42 U.S.C. 12101 et seq.; 29
CFR part 34; Title VI of the Civil Rights Act of 1964, 42 U.S.C.
2000d-1; 29 CFR part 31; Clean Air Act, 42 U.S.C. 7622; 29 CFR part
24; Comprehensive Employment and Training Act, 29 U.S.C. 801-999
(Supp. V 1981); 20 CFR part 676 (1990); Comprehensive Environmental
Response, Compensation and Liability Act of 1980, 42 U.S.C. 9610; 29
CFR part 24; Contract Disputes Act, 41 U.S.C. 601 et seq.; 41 CFR
part 29-60; 48 CFR 2933.203.70; Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327 et seq.; 29 CFR part 6; Copeland Act, 40
U.S.C. 276c; 29 CFR part 6; Davis-Bacon Act, as amended, 40 U.S.C.
276a-276a-7; 29 CFR part 6; Debt Collection Act of 1982, 31 U.S.C.
3711(f); 29 CFR part 20; Title IX of the Education Amendments of
1972, 20 U.S.C. 1682; 29 CFR part 34; Employee Polygraph Protection
Act of 1988, 29 U.S.C. 2005; 29 CFR part 801, subpart E; Employee
Retirement Income Security Act of 1974, 29 U.S.C. 1132 and 1135; 29
CFR parts 2560 and 2570; Energy Reorganization Act of 1974, as
amended, 42 U.S.C. 5851; 29 CFR part 24; Equal Access to Justice Act,
5 U.S.C. 504; 29 CFR part 16; Executive Order No. 11,246, as amended,
3 CFR 339 (1964-1965 Comp.); reprinted in 42 U.S.C. 2000e app.; 41
CFR parts 60-1 and 60-30; Fair Labor Standards Act of 1938, as
amended, 29 U.S.C. 211(d); 29 CFR part 530, subpart E; Fair Labor
Standards Act of 1938, as amended, 29 U.S.C. 214(c); 29 CFR part 525;
Fair Labor Standards Act of 1938, as amended, 29 U.S.C. 216(e); 29
CFR part 580; Title IV of the Federal Mine Safety and Health Act of
1977, as amended, 33 U.S.C. 901 et seq.; 20 CFR parts 410, 718, 725
and 727; Federal Unemployment Tax Act, 26 U.S.C. 3303(b)(3), 3304(c);
Federal Unemployment Tax Act (addressing agreements under the Trade
Act of 1974, as amended), 26 U.S.C. 3302(c)(3); 20 CFR part 617;
Federal Water Pollution Control Act, 33 U.S.C. 1367; 29 CFR part 24;
Immigration and Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H),
1184 and 1186; 29 CFR part 501, subpart C; Immigration and
Nationality Act, as amended, 8 U.S.C. 1101(a)(15)(H), 1182, 1184,
1188, 1288(c); 20 CFR part 655; Immigration and Nationality Act, as
amended, 8 U.S.C. 1182(a)(5)(A); 20 CFR part 656; Job Training
Partnership Act, 29 U.S.C. 1576; 20 CFR part 627; Labor-Management
Reporting & Disclosure Act of 1959, 5 U.S.C. 7120; 29 CFR part 458;
Longshore and Harbor Workers' Compensation Act, 33 U.S.C. 901 et seq.
(and its extensions Defense Base Act, Outer Continental Shelf Lands
Act, District of Columbia Workmen's Compensation Act, 36 DC Code 501
et seq.; Nonappropriated Fund Instrumentalities Act); 20 CFR parts
701, 702 and 704; McNamara-O'Hara Service Contract Act, as amended,
41 U.S.C. 351 et seq.; 29 CFR part 6; Migrant and Seasonal
Agricultural Worker Protection Act, 29 U.S.C. 1813, 1853; 29 CFR part
500, subpart F; National Apprenticeship Act, 29 U.S.C. 50; 29 CFR
parts 29 and 30; Program Fraud Civil Remedies Act of 1986, 31 U.S.C.
3803; 29 CFR part 22; Section 503 of the Rehabilitation Act of 1973,
as amended, 29 U.S.C. 793; 41 CFR part 60-741, subpart B; sec. 504 of
the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; 29 CFR
part 32; Reorganization Plan No. 14 of 1950; and 29 CFR part 6; Rules
of Practice and Procedure for Administrative Hearings Before the
Office of Administrative Law Judges, 29 CFR part 18; Safe Drinking
Water Act, 42 U.S.C. 300j-9(i); 29 CFR part 24; Single Audit Act of
1984, 31 U.S.C. 7505; OMB Circular Nos. A-128 and A-110; 29 CFR part
96, subpart 96.6; Social Security Act, 42 U.S.C. 503; 20 CFR part
601; Solid Waste Disposal Act, 42 U.S.C. 6971; 29 CFR part 24;
Surface Transportation Assistance Act, 49 U.S.C. 31105; 29 CFR part
1978; Toxic Substances Control Act, 15 U.S.C. 2622; 29 CFR part 24;
Vietnam Era Veterans Readjustment Assistance Act, as amended, 38
U.S.C. 4211, 4212; 41 CFR part 60-250, subpart B; Wagner-Peyser Act,
as amended, 29 U.S.C. 49 et seq.; 20 CFR part 658; Walsh-Healey
Public Contracts Act, as amended, 41 U.S.C. 38; 41 CFR part 50-203;
Workforce Investment Act of 1998, 29 U.S.C. 2801 et seq.; other
statutes, executive orders and regulations providing for an
administrative law judge hearing as they may become applicable in the
future.
Purpose(s):
To maintain the court records for public administrative-
adjudicative hearings. These records and information in these records
are used as the court record in administrative law judge hearings
conducted pursuant to 5 U.S.C. 552, 553, 554, 556 and 557 and/or a
variety of particular statutes and Executive Orders. The purpose of
the system is the adjudication of cases and determination of issues
in hearings and appeals proceedings.
Routine uses of records maintained in the system, including
categories of users and the purposes of such uses:
When necessary, information from the case files may be disclosed
to individuals in other matters pending before the Office of
Administrative Law Judges. Information may be disclosed to
contractors for hearing-related functions.
Since the administrative law judges proceedings conducted by the
Office of Administrative Law Judges are public, case files are
available for public inspection under the Freedom of Information Act,
5 U.S.C. 552. Administrative law judge and Administrative Review
Board decisions are posted on the Internet at www.oalj.dol.gov, see 5
U.S.C. 552(a)(2)(A) and (E), and may be distributed to publishers.
See also routine uses listed in the General Prefatory Statement
to this document.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing,
retaining, and disposing of records in the system:
Storage:
Paper records are maintained in file folders. Electronic versions
of ALJ orders and decisions are also stored in electronic media.
Retrievability:
Retrieval By Case Number.
Safeguards:
Paper records are maintained in filing cabinets to which only
authorized personnel have access. Computer records have security
limiting access to authorized users. Most records, however, are
public court documents available for inspection under the Freedom of
Information Act, 5 U.S.C. 552.
Retention and disposal:
In cases where OALJ is the official custodian, inactive case
files are retained for three years before being sent to a Federal
Records Center. The Federal Records Center retains the files for an
additional fifteen years before they are authorized for destruction,
except for certain cases designated as precedent setting, which
become permanent records. In cases where OALJ is not the official
custodian, for example matters relating to Black Lung and Longshore
(and extensions) cases, the official file is transferred to the
appropriate federal custodial agency. When a case is appealed, the
case file is forwarded to the appropriate administrative appellate
agency, such as the Benefits Review Board, or the Administrative
Review Board.
System manager(s) and address:
Director of Program Operations, U.S. Department of Labor, Office
of Administrative Law Judges (OALJ), 800 K St., NW, Washington, DC
20001.
Notification procedure:
Inquiries regarding the existence of records should be in the
form of a written, signed request to the above address.
Record access procedures:
As in notification procedures.
Contesting record procedures:
As in notification procedures.
Record source categories:
Records may include information submitted by the agency with
initial claims development or investigatory responsibility,
claimants, complainants, respondents, and other parties to the case,
amicus curiae, administrative law judges involved in case, the court
reporter, and in the case of remanded cases, the administrative-
appellate body or federal court.
System exempted from certain provisions of the act:
None.
DOL/OALJ-3
System name:
Contract list.
Security classification:
Unclassified.
System location:
U.S. Depart
LABOR DEPARTMENT
DEPARTMENT OF LABOR
29 CFR PART 71--PROTECTION OF INDIVIDUAL PRIVACY AND ACCESS TO RECORDS
UNDER THE PRIVACY ACT OF 1974
Subpart A--General
Sec.
71.1 General provisions.
71.2 Request for access to records.
71.3 Responses by components to requests for access to records.
71.4 Form and content of component responses.
71.5 Access to records.
71.6 Fees for access to records.
71.7 Appeals from denials of access.
71.8 Preservation of records.
71.9 Requests for correction or amendment of records.
71.10 Certain records not subject to correction.
71.11 Emergency disclosures.
71.12 Use and collection of social security numbers.
71.13 Employee standards of conduct.
71.14 Use of nonpublic information.
71.15 Training.
Subpart B--Exemption of Records Systems Under the Privacy Act
71.50 General exemptions pursuant to subsection (j) of the Privacy Act.
71.51 Specific exemptions pursuant to subsection (k)(2) of the Privacy
Act.
71.52 Specific exemptions pursuant to subsection (k)(5) of the Privacy
Act.
Appendix A to Part 71--Responsible Officials
Authority: 5 U.S.C. 301; 5 U.S.C. 552a as amended; Reorganization Plan
No. 6 of 1950, 5 U.S.C. Appendix.
Source:63 FR 56741, Oct. 22, 1998.
Subpart A--General
Sec. 71.1 General provisions.
(a) Purpose and scope. This part contains the regulations of the U.S.
Department of Labor implementing the Privacy Act of 1974, 5 U.S.C. 552a.
The regulations apply to all records which are contained in systems of
records maintained by, or under the control of, the Department of Labor
and which are retrieved by an individual's name or personal identifier.
These regulations set forth the procedures by which an individual may
seek access under the Privacy Act to records pertaining to him, may
request correction or amendment of such records, or may seek an
accounting of disclosures of such records by the Department. These
regulations are applicable to each component of the Department.
(b) Government-wide systems of records. (1) DOL/GOVT-1 (Office of
Workers' Compensation Programs, Federal Employees' Compensation Act
File):
(i) All records, including claim forms, medical, investigative and
other reports, statements of witnesses, and other papers relating to
claims for compensation filed under the Federal Employees' Compensation
Act (as amended and extended), are covered by the government-wide system
of records entitled DOL/GOVT-1. This system is maintained by and under
the control of the Employment Standards Administration's Office of
Workers' Compensation Programs (OWCP), and, as such, all records
contained in the OWCP claims file, as well as all copies of such
documents retained and/or maintained by the injured worker's employing
agency, are official records of the OWCP.
(ii) The protection, release, inspection and copying of records
covered by DOL/GOVT-1 shall be accomplished in accordance with the
rules, guidelines and provisions of this part, as well as with part 70
of this subtitle, and with the notice of the systems of records and
routine uses published in the Federal Register. All questions relating
to access/disclosure, and/or the amendment of FECA records maintained by
the OWCP or an employing agency, are to be resolved in accordance with
this part.
(iii)(A) While an employing agency may establish procedures that an
injured employee or beneficiary should follow in requesting access to
documents it maintains, any decision issued in response to such a
request must comply with the rules and regulations of the Department of
Labor.
(B) Any administrative appeal taken from a denial issued by the
employing agency shall be filed with the Solicitor of Labor in
accordance with Secs. 71.7 and 71.9 of this part.
(iv) No agency other than the OWCP has authority to issue
determinations in response to requests for the correction or amendment
of records contained in or covered by DOL/GOVT-1. Any request for
correction or amendment received by an employing agency must be referred
to the OWCP for review and decision.
(2) For the government-wide system of records entitled DOL/GOVT-2 (Job
Corps Student Records), a system maintained by and under the control of
the Employment and Training Administration, the regulations of this
Department shall govern, including the procedure for requesting access
to, or amendment of the records, as well as appeals therefrom, shall
govern.
(c) Definitions. As used in this subpart, the following terms shall
have the following meanings:
(1) Agency has the meaning set forth in 5 U.S.C. 552(f).
(2) Component means each separate agency, bureau, office, board,
division, commission, service, or administration of the Department of
Labor, as well as each agency which possesses records covered by a DOL
government-wide system of records.
(3) Individual Data Subject means the individual by whose name or
identifier the subject record is retrieved.
(4) Record means any item, collection, or grouping of information
about an individual which is maintained by any component within a system
of records and which contains the individual's name, identifying number,
symbol, or other identifying particular assigned to the individual, such
as a fingerprint, voiceprint, or photograph.
(5) Requester means an individual who makes either a request for
access, a request for correction or amendment, or a request for an
accounting.
(6) Routine use has the meaning set forth in 5 U.S.C. 552a(7).
(7) Statistical record has the meaning set forth in 5 U.S.C. 552a(6).
(8) System of records means a group of any records under the control
of the Department or any component from which information is retrieved
by the name of an individual or by some identifying number, symbol, or
other identifying particular assigned to that individual.
(9) Under the control of means those official records for which the
agency is officially responsible and either has in its possession or
exercises dominion over. This excludes those records which, although in
the physical possession of agency employees and used by them in
performing official functions, are not, in fact, agency records.
Uncirculated personal notes, papers and records which are retained or
discarded at the author's discretion and over which the agency exercises
no dominion or control (e.g., personal telephone list) are not agency
records for purposes of this part.
(10) He, his, and him include ``she'', ``hers'' and ``her''.
Sec. 71.2 Requests for access to records.
(a) Procedure for making requests for access to records. An
individual, or legal representative acting on his behalf, may request
access to a record about himself by appearing in person or by writing to
the component that maintains the record. (See appendix A to this part
which lists the components of the Department of Labor and their
addresses.) A requester in need of guidance in defining his request may
write to the Assistant Secretary for Administration and Management, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210-
0002. A request should be addressed to the component that maintains the
requested record. Both the envelope and the request itself should be
marked: ``Privacy Act Request.''
(b) Description of records sought. A request for access to records
must describe the records sought in sufficient detail to enable
Department personnel to locate the system of records containing the
record with a reasonable amount of effort. Whenever possible, a request
for access should describe the nature of the record sought, the date of
the record or the period in which the record was compiled, and the name
or identifying number of the system of records in which the requester
believes the record is kept.
(c) Agreement to pay fees. The filing of a request for access to a
record under this subpart shall be deemed to constitute an agreement to
pay all applicable fees charged under Sec. 71.6 up to $25.00. The
component responsible for responding to the request shall confirm this
agreement in its letter of acknowledgment to the requester. When filing
a request, a requester may specify a willingness to pay a greater
amount, if applicable.
(d) Verification of identity. Any individual who submits a request for
access to records must verify his identity in one of the following ways:
(1) Any requester making a request in writing must state in his
request his full name, and current address. In addition, a requester
must provide with his request an example of his signature, which shall
be notarized, or signed as an unsworn declaration under penalty of
perjury, pursuant to 28 U.S.C. 1746. In order to facilitate the
identification of the requested records, a requester may also include in
his request his Social Security number.
(2) Any requester submitting a request in person may provide to the
component a form of official photographic identification, such as a
passport, an identification badge or a driver's license which contains
the photograph of the requester. If a requester is unable to produce a
form of photographic identification, he may provide to the component two
or more acceptable forms of identification bearing his name and address.
In all cases, sufficient identification must be presented to confirm
that the requester is the individual data subject.
(e) Verification of guardianship. The parent, guardian, or
representative of a minor or the guardian or representative of a person
judicially determined to be incompetent who submits a request for access
to the records of the minor or incompetent must establish:
(1) His identity, as required in paragraph (d) of this section,
(2) That the requester is the parent, guardian, or representative of
the subject of the record, which may be proved by providing a copy of
the subject's birth certificate showing parentage or by providing a
court order establishing the guardianship, and
(3) That he seeks to act on behalf of the subject of the record.
(f) The disclosure officer may waive the requirements set forth in
paragraphs (d) and (e) of this section when he deems such action to be
appropriate, and may substitute in lieu thereof, other reasonable means
of identification.
Sec. 71.3 Responses by components to requests for access to records.
(a) In general. Except as otherwise provided in this section, the
component that:
(1) First receives a request for access to a record, and
(2) Has possession of the requested record is the component ordinarily
responsible for responding to the request.
(b) Authority to grant or deny requests. The head of a component, or
his designee (i.e. disclosure officer), is authorized to make an initial
grant or denial of any request for access to a record in the possession
of that component.
(c) Processing of requests for access not properly addressed. A
request for access that is not properly addressed as specified in
Sec. 71.2 shall be forwarded to the Assistant Secretary for
Administration and Management, who shall forward the request to the
appropriate component or components for processing. A request not
addressed to the appropriate component will be deemed not to have been
received by the Department until the Assistant Secretary for
Administration and Management has forwarded the request to the
appropriate component which has the record and that component has
received the request. When the component receives an improperly
addressed request, it shall notify the requester of the date on which it
received the request. Accordingly, a request for access shall be deemed
received on the date that it is received in the appropriate component.
(d) Date for determining responsive records. In determining the extent
to which records are responsive to a request for access, a component
ordinarily will include only those records within the component's
possession and control as of the date of its receipt of the request.
(e) First party requests. A request for access by the individual data
subject for his or her own records shall be processed both under the
Freedom of Information Act (FOIA) and the Privacy Act (PA).
Sec. 71.4 Form and content of component responses.
(a) Form of notice granting request for access. A request by the
individual data subject for access to his or her own records shall not
be denied unless both a Privacy Act exemption and a Freedom of
Information Act exemption apply to the requested records. A component
shall make a determination within 30 days to grant or deny a request for
access in whole or in part. If the request is granted in whole, the
component shall so notify the requester in writing. The notice shall
describe the manner in which access to the record will be granted and
shall inform the requester of any fees to be charged in accordance with
Sec. 71.6.
(b) Form of notice denying request for access. A component denying a
request for access in whole or in part shall so notify the requester in
writing. The notice, signed by the responsible agency official, shall
include:
(1) The name and title or position of the person responsible for the
denial;
(2) A brief statement of the reason or reasons for the denial,
including the Privacy Act and FOIA exemption or exemptions which the
component has relied upon in denying the request; and
(3) A statement that the denial may be appealed under Sec. 71.7(a),
and a description of the requirements of that paragraph.
(c) Record cannot be located. If no records are found which are
responsive to the request, the component shall so notify the requester
in writing. Such notification by the component shall inform the
requester that, if the requester considers this response to be a denial
of their request, the requester has a right to appeal to the Solicitor
of Labor, within ninety days, as set forth in Sec. 71.7.
(d) Medical records. When an individual requests medical records
concerning himself, which are not otherwise exempt from disclosure, the
disclosure officer shall, if deemed necessary because of possible harm
to the individual, advise the individual that the Department of Labor
believes that the records should be provided to a physician designated
in writing by the individual. In addition, the Department shall request
the individual to designate such a physician. Upon receipt of the
designation, the disclosure officer will permit the physician to review
the records or to receive copies of the records by mail, upon proper
verification of identity.
Sec. 71.5 Access to records.
(a) Manner of access. A component that has made a determination to
grant a request for access shall grant the requester access to the
requested record either by providing the requester with a copy of the
record, or making the record available for inspection by the requester
at a reasonable time and place. The component shall charge the requester
only duplication costs in accordance with the provisions of Sec. 71.6.
If a component provides access to a record by making the record
available for inspection by the requester, the manner of such inspection
shall not unreasonably disrupt the operations of the component.
(b) Accompanying person. A requester appearing in person to review his
own records may be accompanied by another individual of his own
choosing. The requester shall provide the Department with his or her
written consent to disclose the record to the accompanying person.
Sec. 71.6 Fees for access to records.
(a) When charged. A component shall charge fees pursuant to 31 U.S.C.
9701 and 5 U.S.C. 552a(f)(5) for the copying of records unless the
component, in its discretion, waives or reduces the fees for good cause
shown. A component shall charge fees at the rate of $0.15 per page. In
accordance with the provisions of the Freedom of Information Act, the
first 100 pages of copying shall be furnished without charge. For
materials other than paper copies, the component may charge the direct
costs of reproduction, but only if the requester has been notified of
such costs before they are incurred. Fees shall not be charged where
they would amount, in the aggregate, for one request or for a series of
related requests, to less than $15.00. Notwithstanding any other
provision of this paragraph, the first copy of an individual's Privacy
Act record shall be provided to the individual at no cost.
(b) Notice of estimated fees amounting to between $25 to $250. When a
component determines or estimates that the fees to be charged under this
section may amount to between $25 to $250, the component shall notify
the requester as soon as practicable of the actual or estimated amount
of the fee, unless the requester has indicated in advance his
willingness to pay a fee as high as that anticipated.
(c) Notice of estimated fees in excess of $250. When a component
determines or estimates that the fees to be charged under this section
may amount to more than $250, the component shall notify the requester
as soon as practicable of the actual or estimated amount of the fee,
unless the requester has indicated in advance his willingness to pay a
fee as high as that estimated. If the fee is estimated to be in excess
of $250, then the agency may require payment in advance. (If only a
portion of the fee can be estimated readily, the component shall advise
the requester that the estimated fee may be only a portion of the total
fee.) Where the estimated fee exceeds $250 and a component has so
notified the requester, the component will be deemed not to have
received the request for access to records until the requester has paid
the anticipated fee, in full or in part. A notice to a requester
pursuant to this paragraph shall offer him the opportunity to confer
with Department personnel with the object of reformulating his request
to meet his needs at a lower cost.
(d) Form of payment. Requesters must pay fees by cash, check or money
order payable to either the Treasury of the United States, or the U.S.
Department of Labor. However, the Department shall not require advance
payment in any case where the fee is under $250, except that where a
requester has previously failed to pay a fee charged under this part,
the requester must pay the component or the Department the full amount
owed and make an advance deposit of the full amount of any estimated fee
before a component shall be required to process a new or pending request
for access from that requester.
Sec. 71.7 Appeals from denials of access.
(a) Appeals to the Solicitor of Labor. When a component denies in
whole or in part a request for access to records, the requester may
appeal the denial to the Solicitor of Labor within 90 days of his
receipt of the notice denying his request. An appeal to the Solicitor of
Labor shall be made in writing, addressed to the Solicitor of Labor,
U.S. Department of Labor, 200 Constitution Avenue, NW, Washington, DC.
20210-0002. Both the envelope and the letter of appeal itself must be
clearly marked: ``Privacy Act Appeal.'' An appeal not so addressed and
marked shall be forwarded to the Office of the Solicitor as soon as it
is identified as an appeal under the Privacy Act. An appeal that is
improperly addressed shall be deemed not to have been received by the
Department until the Office of the Solicitor receives the appeal.
(b) Form of action on appeal. The disposition of an appeal shall be in
writing. A written decision affirming in whole or in part the denial of
a request for access shall include a brief statement of the reason or
reasons for the affirmation, including each Privacy Act and FOIA
exemption relied upon and its relation to each record withheld, and a
statement that judicial review of the denial is available in the U.S.
District Court for the judicial district in which the requester resides
or has his principal place of business, the judicial district in which
the requested records are located, or the District of Columbia. If the
denial of a request for access is reversed on appeal, the requester
shall be so notified and the request shall be processed promptly in
accordance with the decision on appeal.
(c) Delegation of Authority by the Solicitor of Labor. The Solicitor
of Labor is authorized to delegate his authority to decide appeals from
any and all denials of access to other senior attorneys within the
Office of the Solicitor.
Sec. 71.8 Preservation of records.
Each component shall preserve all correspondence relating to the
requests it receives under this subpart, and all records processed
pursuant to such requests, until such time as the destruction of such
correspondence and records is authorized pursuant to title 44 of the
U.S. Code and record schedules approved by the National Archives and
Records Administration, and otherwise in accordance with retention
requirements as published in the agency's system of records. Under no
circumstances shall records be destroyed while they are the subject of a
pending request for access, appeal, or lawsuit under the Act. 0
Sec. 71.9 Request for correction or amendment of records.
(a) How made. An individual may submit a request for correction or
amendment of a record pertaining to him. The request must be in writing
and must be addressed to the component that maintains the record.
(Appendix A of this part lists the components of the Department and
their addresses.) The request must identify the particular record in
question, state the correction or amendment sought, and set forth the
justification for the change. Both the envelope and the request itself
must be clearly marked: ``Privacy Act Amendment Request.''
(b) Initial determination. Within 30 working days of receiving a
request for correction or amendment, a component shall notify the
requester whether his request will be granted or denied, in whole or in
part. If the component grants the request in whole or in part, it shall
send the requester a copy of the amended record, in releasable form, as
proof of the change. If the component denies the request in whole or in
part, it shall notify the requester in writing of the denial. The notice
of denial shall state the reason or reasons for the denial and advise
the requester of his right to appeal.
(c) Appeals. When a request for correction or amendment is denied in
whole or in part, the requester may appeal the denial to the Solicitor
of Labor within 90 days of his receipt of the notice denying his
request. An appeal to the Solicitor of Labor shall be made in writing,
shall set forth the specific item of information sought to be corrected
or amended, and shall include any documentation said to justify the
change. An appeal shall be addressed to the Solicitor of Labor, U.S.
Department of Labor, 200 Constitution Avenue, NW, Washington, DC 20210-
0002. Both the envelope and the letter of appeal itself must be clearly
marked: ``Privacy Act Amendment Appeal.''
(d) Determination on appeal. The Solicitor of Labor shall decide all
appeals from denials of requests to correct or amend records. All such
appeals shall be decided within 30 working days of receipt of the
appeal, unless there is good cause shown to extend this period. The
appellant shall be notified if the period for decision has been
extended.
(1) If the denial of a request is affirmed on appeal, the requester
shall be so notified in writing and advised of:
(i) The reason or reasons the denial has been affirmed,
(ii) The requester's right to file a Statement of Disagreement, as
provided in paragraph (f) of this section, and
(iii) The requester's right to obtain judicial review of the denial in
the U.S. District Court for the judicial district in which the requester
resides or has its principal place of business, the judicial district in
which the record is located, or the District of Columbia.
(2) If the denial is reversed on appeal, the requester shall be so
notified and the request for correction or amendment shall be promptly
remanded to the component that denied the request for processing in
accordance with the decision on appeal.
(e) Delegation of Authority by the Solicitor of Labor. The Solicitor
of Labor is authorized to delegate his or her authority to decide any
and all appeals from denials of requests to correct or amend records to
other senior attorneys within the Office of the Solicitor.
(f) Statements of disagreement. A requester whose request or appeal
under this section has been denied shall have the right to file a
Statement of Disagreement with the Solicitor of Labor, U.S. Department
of Labor, 200 Constitution Avenue, NW, Washington, DC 20210-0002, within
30 days of receiving notice of denial. Statements of Disagreement may
not exceed one typed page per fact disputed. Statements exceeding this
limit shall be returned to the requester for condensation. Upon receipt
of a Statement of Disagreement under this section, the agency shall
promptly have the statement included in the record and shall have the
disputed record marked so as to indicate that a Statement of
Disagreement has been filed.
(g) Notices of correction or amendment or disagreement. Within 30
working days of the correction or amendment of a record, the component
that maintains the record shall advise all components or agencies to
which it previously disclosed the record that the record has been
amended. Whenever an individual has filed a Statement of Disagreement, a
component shall append a copy of the Statement to the disputed record
whenever the record is disclosed. The component may also append to the
disputed record a written statement giving the component's reasons for
denying the request to correct or amend the record.
Sec. 71.10 Certain records not subject to correction.
Certain records are not subject to correction or amendment. These
include, but are not limited to:
(a) Transcripts of testimony given under oath or written statements
made under oath;
(b) Transcripts or decisions of grand jury, administrative, judicial,
or quasi-judicial proceedings which constitute the official record of
such proceedings;
(c) Records duly exempted from correction pursuant to 5 U.S.C. 552a(j)
or 552a(k) by rulemaking promulgated under the Administrative Procedure
Act (5 U.S.C. 551 et seq.)
Sec. 71.11 Emergency disclosures.
If the record of an individual has been disclosed to any person under
compelling circumstances affecting the health or safety of any person,
as described in 5 U.S.C. 552a(b)(8), the individual to whom the record
pertains shall be notified of the disclosure at his last known address
within 10 working days. The notice of such disclosure shall be in
writing and shall state the nature of the information disclosed, the
person or agency to whom it was disclosed, the date of disclosure, and
the compelling circumstances justifying the disclosure. The officer who
made or authorized the disclosure shall be responsible for providing
such notification.
Sec. 71.12 Use and collection of social security numbers.
(a) Each component unit that requests an individual to disclose his
social security account number shall provide the individual, in writing,
with the following information:
(1) The statute, regulation, Executive Order or other authority under
which the number is solicited;
(2) Whether the disclosure is mandatory or voluntary; and
(3) The consequences, if any, to the individual should he or she
refuse or fail to disclose the number.
(b) Neither the Department nor any of its component units shall, in
the absence of specific federal statutory authority, deny to an
individual any right, benefit or privilege provided by law solely
because of such individual's refusal to disclose his social security
account number.
(c) The head of each component unit shall ensure that employees
authorized to collect social security account numbers or tax identifying
numbers, are aware of the statutory or other basis for collecting such
information, of the uses to which such numbers may be put, and of the
consequences, if any, that might follow if a person refuses to disclose
the requested number.
Sec. 71.13 Employee standards of conduct.
(a) Each component shall inform its employees of the provisions of the
Privacy Act, including the Act's civil liability and criminal penalty
provisions. Each component also shall notify its employees that they
have a duty to:
(1) Protect the security of records,
(2) Ensure the accuracy, relevance, timeliness, and completeness of
records,
(3) Avoid the unauthorized disclosure, either verbal or written, of
records, and
(4) Ensure that the component maintains no system of records without
public notice.
(b) Except to the extent that the Privacy Act permits such activities,
an employee of the Department of Labor shall:
(1) Not collect information of a personal nature from individuals
unless the employee is authorized to collect such information to perform
a function or discharge a responsibility of the Department;
(2) Collect from individuals only that information which is necessary
to the performance of the functions or to the discharge of the
responsibilities of the Department;
(3) Collect information about an individual directly from that
individual, whenever practicable;
(4) Inform each individual from whom information is collected of:
(i) The legal authority that authorizes the Department to collect such
information,
(ii) The principal purposes for which the Department intends to use
the information,
(iii) The routine uses the Department may make of the information, and
(iv) The practical and legal effects upon the individual of not
furnishing the information;
(5) Maintain all records which are used by the agency in making any
determination about any individual with such accuracy, relevance,
timeliness, and completeness as to ensure fairness to the individual in
the determination;
(6) Maintain no record describing how any individual exercises rights
guaranteed by the First Amendment to the United States Constitution,
unless:
(i) The individual has volunteered such information for his own
benefit,
(ii) A statute expressly authorizes the Department to collect,
maintain, use, or disseminate the information, or
(iii) The individual's beliefs, activities, or membership are
pertinent to and within the scope of an authorized law enforcement
activity;
(7) Notify the head of the component of the existence or development
of any system of records that has not been disclosed to the public;
(8) Disclose no record to anyone, for any use, unless authorized by
the Act;
(9) Maintain and use records with care to prevent the inadvertent
disclosure of a record to anyone; and
(10) Notify the head of the component of any record that contains
information that the Act or the foregoing provisions of this paragraph
do not permit the Department to maintain.
Sec. 71.14 Use of nonpublic information.
(a) Prohibition. (1) An employee shall not engage in a financial
transaction using nonpublic information, nor allow the improper use of
nonpublic information to further his own private interest or that of
another, whether through advice or recommendations, or by knowing
unauthorized disclosure. See 5 CFR 2635.703.
(2) Nonpublic information is information that an employee gains by
reason of Federal employment that he knows or reasonably should know has
not been made available to the general public. Nonpublic information
includes information contained in a Privacy Act system of records which
an individual knew or should have known:
(i) Is normally exempt from disclosure under Exemptions 6 or 7(C) of
the Freedom of Information Act, or is otherwise protected from
disclosure by statute, Executive Order or regulation;
(ii) Has not actually been disseminated to the general public and is
not authorized to be made available to the public upon request.
(b) Sanctions. Any DOL employee who willfully discloses any
information or records from any file that contains individually-
identifiable information to any person or agency not entitled to receive
it, and the disclosure of which is prohibited by the Privacy Act or by
rules or regulations established thereunder, and who, knowing the
disclosure of the specific material is so prohibited, will be subject to
disciplinary action, as appropriate.
(c) Public Disclosures by Third Parties of DOL Privacy Act Records.
When Labor Department records subject to the Privacy Act are disclosed
to third parties, and as a condition of the disclosure of such records,
the person or entity to whom the records are furnished is expressly
prohibited from further disseminating the information, any further
dissemination of the information so furnished to such person or entity
may be subject to the penalties set forth in 18 U.S.C. 641.
Sec. 71.15 Training.
All DOL systems managers, disclosure officers, and employees with
responsibilities under the Privacy Act shall periodically attend
training offered by the Department on the Privacy Act.
Subpart B--Exemption of Records Systems Under the Privacy Act
Sec. 71.50 General exemptions pursuant to subsection (j) of the
Privacy Act.
(a) The following systems of records are eligible for exemption under
5 U.S.C. 552a(j)(2) because they are maintained by a component of the
agency or subcomponent which performs as its principal function the
enforcement of criminal laws, and they contain investigatory material
compiled for criminal law enforcement purposes. Accordingly, these
systems of records are exempt from the following subsections of 552a of
title 5 U.S. Code: (c)(3) and (4), (d), (e)(1), (2), and (3), (e)(4)(G),
(H), and (I), (e)(5) and (8), (f) and (g).
(1) DOL/ESA-45 ( Investigative Files of the Office of Labor-Management
Standards), a system of records maintained by the Office of Labor-
Management Standards.
(2) DOL/OIG-1 (General Investigative Files, and Subject Title Index,
USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(3) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a system
of records maintained by the OIG.
(4) DOL/OIG-3 (Case Development Records), a system of records
maintained by the OIG.
(5) DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information
Reporting Systems, USDOL/OIG), a system of records maintained by the
OIG.
(6) DOL/MSHA-20 (Civil/Criminal Investigations), a system of records
maintained by the Mine Safety and Health Administration.
(7) DOL/PWBA-2 (Office of Enforcement Index Cards and Investigation
Files), a system of records maintained by the Pension and Welfare
Benefits Administration.
(b) This exemption applies to the extent that information in these
systems of records is subject to exemption pursuant to 5 U.S.C.
552a(j)(2).
(c) These systems are exempted for the reasons set forth in paragraphs
(c)(1) through (12) of this section, from the following subsections of 5
U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting would
present a serious impediment to law enforcement by permitting the
subject of an investigation of an actual or potential criminal violation
to determine whether he is the subject of investigation, or to obtain
valuable information concerning the nature of that investigation and the
information obtained, or to identify witnesses and informants.
(2) Subsection (c)(4). Since an exemption is being claimed for
subsection (d) of the Act (Access to Records), this subsection is
inapplicable to the extent that these systems of records are exempted
from subsection (d).
(3) Subsection (d). Access to records contained in these systems would
inform the subject of an actual or potential criminal investigation of
the existence of that investigation, of the nature and scope of the
investigation, of the information and evidence obtained as to his or her
activities, and of the identity of witnesses or informants. Such access
would, accordingly, provide information that could enable the subject to
avoid detection, apprehension, and prosecution. This result, therefore,
would constitute a serious impediment to effective law enforcement not
only because it would prevent the successful completion of the
investigation but also because it could endanger the physical safety of
witnesses or informants, lead to the improper influencing of witnesses,
the destruction of evidence, or the fabrication of testimony. Amendment
of the records would interfere with ongoing criminal law enforcement
proceedings and imposes an impossible administrative burden by requiring
criminal investigations to be continuously reinvestigated.
(4) Subsection (e)(1). In the course of criminal and related law
enforcement investigations, cases, and matters, the agency will
occasionally obtain information concerning actual or potential
violations of law that may not be technically within its statutory or
other authority, or it may compile information in the course of an
investigation which may not be relevant to a specific prosecution. In
the interests of effective law enforcement, it is necessary to retain
some or all of such information since it can aid in establishing
patterns of criminal activity and can provide valuable leads for Federal
and other law enforcement agencies. Moreover, it is difficult to know
during the course of an investigation what is relevant and necessary. In
this connection, facts or evidence may not seem relevant at first, but
later in the investigation, their relevance is borne out.
(5) Subsection (e)(2). To collect information to the greatest extent
practicable from the subject individual of a criminal investigation or
prosecution would present a serious impediment to law enforcement
because the subject of the investigation or prosecution would be placed
on notice as to the existence of the investigation and would therefore
be able to avoid detection or apprehension, improperly influence
witnesses, destroy evidence, or fabricate testimony.
(6) Subsection (e)(3). To provide individuals supplying information
with a form which includes the information required by subsection (e)(3)
would constitute a serious impediment to law enforcement, i.e., it could
compromise the existence of a confidential investigation or reveal the
identity of witnesses or confidential informants.
(7) Subsections (e)(4)(G) and (H). These subsections are inapplicable
to the extent that these systems are exempt from the access provisions
of subsection (d) and the rules provisions of subsection (f).
(8) Subsection (e)(4)(I). The categories of sources of the records in
these systems have been published in the Federal Register in broad
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires. In the event, however, that this subsection should
be interpreted to require more detail as to the identity of sources of
the records in this system, exemption from this provision is necessary
to protect the confidentiality of the sources of criminal and related
law enforcement information. Such exemption is further necessary to
protect the privacy and physical safety of witnesses and informants.
(9) Subsection (e)(5). In the collection of information for criminal
enforcement purposes it is impossible to determine in advance what
information is accurate, relevant, timely, and complete. With the
passage of time, seemingly irrelevant or untimely information may
acquire new significance as further investigation brings new details to
light. Furthermore, the accuracy of such information can often only be
determined in a court of law. The restrictions of subsection (e)(5)
would inhibit the ability of government attorneys in exercising their
judgment in reporting on information and investigations and impede the
development of criminal information and related data necessary for
effective law enforcement.
(10) Subsection (e)(8). The individual notice requirements of
subsection (e)(8) could present a serious impediment to law enforcement
as this could interfere with the ability to issue warrants or subpoenas
and could reveal investigative techniques, procedures, or evidence.
(11) Subsection (f). Procedures for notice to an individual pursuant
to subsection (f)(1) as to existence of records pertaining to the
individual dealing with an actual or potential criminal, civil, or
regulatory investigation or prosecution must be exempted because such
notice to an individual would be detrimental to the successful conduct
and/or completion of an investigation or case, pending or future. In
addition, mere notice of the fact of an investigation could inform the
subject or others that their activities are under investigation or may
become the subject of an investigation and could enable the subjects to
avoid detection, to influence witnesses improperly, to destroy evidence,
or to fabricate testimony. Since an exemption is being claimed for
subsection (d) of the Act (Access to Records) the rules required
pursuant to subsections (f)(2) through (5) are inapplicable to these
systems of records to the extent that these systems of records are
exempted from subsection (d).
(12) Subsection (g). Since an exemption is being claimed for
subsections (d) (Access to Records) and (f) (Agency Rules) this section
is inapplicable, and is exempted for the reasons set forth for those
subsections, to the extent that these systems of records are exempted
from subsections (d) and (f).
Sec. 71.51 Specific exemptions pursuant to subsection (k)(2) of the
Privacy Act.
(a) The following systems of records are eligible for exemption under
5 U.S.C. 552a(k)(2) because they contain investigatory material compiled
for law enforcement purposes other than material within the scope of
subsection (j)(2) of 5 U.S.C. 552a. Provided however, that if any
individual is denied any right, privilege or benefit to which he would
otherwise be entitled by Federal law, or for which he would otherwise be
eligible, as a result of the maintenance of such material, such material
shall be provided to such individual, except to the extent that the
disclosure of such material would reveal the identity of a source who
furnished information to the Government under an express promise that
the identity of the source would be held in confidence, or prior to
January 1, 1975, under an implied promise that the identity of the
source would be held in confidence. Accordingly the following systems of
records are exempt from (c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1),
(e)(4)(G), (e)(4)(I) and (f) of 5 U.S.C. 552a.
(1) DOL/GOVT-1 (Office of Workers' Compensation Programs, Federal
Employees' Compensation Act File), a system of records maintained by the
Employment Standards Administration (ESA).
(2) DOL/OASAM-17 (Equal Employment Opportunity Complaint Files), a
system of records maintained by the Office of the Assistant Secretary
for Administration and Management (OASAM).
(3) DOL/OASAM-19 (Negotiated Grievance Procedure and Unfair Labor
Practice Files), a system of records maintained by OASAM.
(4) DOL/OASAM-20 (Personnel Investigation Records), a system of
records maintained by OASAM.
(5) DOL/OASAM-22 (Directorate of Civil Rights Discrimination Complaint
Case Files), a system of records maintained by OASAM.
(6) DOL/OASAM-29 (OASAM Employee Administrative Investigation File), a
system of records maintained by OASAM.
(7) DOL/BLS-7 (BLS Employee Conduct Investigation), a system of
records maintained by the Bureau of Labor Statistics (BLS).
(8) DOL/ESA-2 (Office of Federal Contract Compliance Programs,
Complaint Files), a system of records maintained by ESA.
(9) DOL/ESA-25 (Office of Federal Contract Compliance Programs,
Management Information Systems (OFCCP/MIS), a system of records
maintained by ESA.
(10) DOL/ESA-26 (Office of Workers' Compensation Programs, Longshore
and Harbor Workers' Compensation Act Investigation Files), a system of
records maintained by ESA.
(11) DOL/ESA-27 (Office of Workers' Compensation Programs, Longshore
Act Claimant Representatives), a system of records maintained by ESA.
(12) DOL/ESA-28 (Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded under the Longshore Act), a system of
records maintained by ESA.
(13) DOL/ESA-29 (Office of Workers' Compensation Programs, Physicians
and Health Care Providers Excluded under the Federal Employees'
Compensation Act), a system of records maintained by ESA.
(14) DOL/ESA-32 (ESA, Complaint and Employee Conduct Investigations),
a system of records maintained by ESA.
(15) DOL/ESA-36 (ESA, Wage and Hour Division, MSPA/FLCRA Civil Money
Penalty Record Files), a system of records maintained by ESA.
(16) DOL/ESA-40 (ESA, Wage and Hour Division, MSPA/FLCRA Tracer List),
a system of records maintained by ESA.
(17) DOL/ESA-41 (ESA, Wage and Hour Division, MSPA/FLCRA Certificate
Action Record Files), a system of records maintained by ESA.
(18) DOL/ESA-45 (Investigative Files of the Office of Labor-Management
Standards), a system maintained by the Office of Labor-Management
Standards.
(19) DOL/ETA-16 (Employment and Training Administration Investigatory
File), a system of records maintained by the Employment and Training
Administration (ETA).
(20) DOL/ETA-22 (ETA Employee Conduct Investigations), a system of
records maintained by ETA.
(21) DOL/OIG-1 (General Investigative Files, and Subject Title Index,
USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(22) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a system
of records maintained by the OIG.
(23) DOL/OIG-3 (Case Development Records), a system of records
maintained by OIG.
(24) DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information
Reporting Systems, USDOL/OIG), a system of records maintained by OIG.
(25) DOL/MSHA-10 (Discrimination Investigations), a system of records
maintained by the Mine Safety and Health Administration (MSHA).
(26) DOL/MSHA-19 (Employee Conduct Investigations), a system of
records maintained by MSHA.
(27) DOL/MSHA-20 (Civil/Criminal Investigations), a system of records
maintained by MSHA.
(28) DOL/OSHA-1 (Discrimination Complaint File), a system of records
maintained by the Occupational Safety and Health Administration (OSHA).
(29) DOL/OSHA-12 (Employee Conduct Investigations), a system of
records maintained by OSHA.
(30) DOL/PWBA-2 (Office of Enforcement Index Cards and Investigation
Files), a system of records maintained by the Pension and Welfare
Benefits Administration (PWBA).
(31) DOL/PWBA-7 (PWBA Employee Conduct Investigations), a system of
records maintained by PWBA.
(32) DOL/SOL-8 (Special Litigation Files), a system of records
maintained by the Office of the Solicitor (SOL).
(33) DOL/SOL-9 (Freedom of Information Act and Privacy Act Appeals
Files), a system of records maintained by SOL.
(34) DOL/SOL-11 (Division of Civil Rights Defensive Litigation Files),
a system of records maintained by SOL.
(35) DOL/SOL-12 (Third-party Recovery Files), a system of records
maintained by SOL.
(36) DOL/SOL-13 (SOL Employee Conduct Investigations), a system of
records maintained by SOL.
(37) DOL/SOL-15 (Solicitor's Office Litigation Files), a system of
records maintained by SOL.
(38) DOL/VETS-1 (Veterans' Reemployment Complaint File--VETS-1), a
system of records maintained by the Veterans' Employment and Training
Service (VETS).
(39) DOL/VETS-2 (Veterans' Preference Complaint File), a system of
records maintained by VETS.
(b) This exemption applies to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(2).
(c) The systems of records listed under paragraphs (a)(1) through
(a)(39) of this section are exempted for the reasons set forth in
paragraphs (c) (1) through (6) of this section, from the following
subsections of 5 U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting, for
disclosures made pursuant to subsection (b) of the Act, including those
permitted under the routine uses published for these systems of records,
would enable the subject of an investigation of an actual or potential
civil case to determine whether he or she is the subject of
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to law
enforcement. In addition, disclosure of the accounting would constitute
notice to the individual of the existence of a record even though such
notice requirement under subsection (f)(1) is specifically exempted for
this system of records.
(2) Subsections (d)(1), (d)(2), (d)(3), and (d)(4). Access to the
records contained in these systems would inform the subject of an actual
or potential civil investigation of the existence of that investigation,
of the nature and scope of the information and evidence obtained as to
his or her activities, and of the identity of witnesses or informants.
Such access would, accordingly, provide information that could enable
the subject to avoid detection. This result, therefore, would constitute
a serious impediment to effective law enforcement not only because it
would prevent the successful completion of the investigation but also
because it could endanger the physical safety of witnesses or
informants, lead to the improper influencing of witnesses, the
destruction of evidence, or the fabrication of testimony.
(3) Subsection (e)(1). The notices for these systems of records
published in the Federal Register set forth the basic statutory or
related authority for maintenance of these systems. However, in the
course of civil and related law enforcement investigations, cases and
matters, the agency will occasionally obtain information concerning
actual or potential violations of law that are not strictly or
technically within its statutory or other authority or may compile
information in the course of an investigation which may not be relevant
to a specific case. In the interests of effective law enforcement, it is
necessary to retain some or all of such information in this system of
records since it can aid in establishing patterns of compliance and can
provide valuable leads for Federal and other law enforcement agencies.
Moreover, it is difficult to know during the course of an investigation
what is relevant and necessary. In this connection, facts or evidence
may not seem relevant at first, but later in the investigation, their
relevance is borne out.
(4) Subsections (e)(4) (G) and (H). Since an exemption is being
claimed for subsections (f) (Agency Rules) and (d) (Access to Records)
of the Act, these subsections are inapplicable to the extent that these
systems of records are exempted from subsections (f) and (d).
(5) Subsection (e)(4)(I). The categories of sources of the records in
these systems have been published in the Federal Register in broad
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires. In the event, however, that this subsection should
be interpreted to require more detail as to the identity of sources of
the records in this system, exemption from this provision is necessary
in order to protect the confidentiality of the sources of civil law
enforcement information. Such exemption is further necessary to protect
the privacy and physical safety of witnesses and informants.
(6) Subsection (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to existence of records pertaining to the
individual dealing with an actual or potential criminal, civil, or
regulatory investigation or prosecution must be exempted because such
notice to an individual would be detrimental to the successful conduct
and/or completion of an investigation or case, pending or future. In
addition, mere notice of the fact of an investigation could inform the
subject or others that their activities are under or may become the
subject of an investigation and could enable the subjects to avoid
detection, to influence witnesses improperly, to destroy evidence, or to
fabricate testimony. Since an exemption is being claimed for subsection
(d) of the Act (Access to Records), the rules required pursuant to
subsections (f)(2) through (5) are inapplicable to these systems of
records to the extent that these systems of records are exempted from
subsection (d).
Sec. 71.53 Specific exemptions pursuant to subsection (k)(5) of the
Privacy Act.
(a) The following systems of records are eligible for exemption under
5 U.S.C. 552a(k)(5) because they contain investigatory material compiled
solely for the purpose of determining suitability, eligibility, or
qualifications for Federal civilian employment, military service,
Federal contracts, or access to classified information, but only to the
extent that the disclosure of such material would reveal the identity of
a source who furnished information to the Government under an express
promise that the identity of the source would be held in confidence, or,
prior to January 1, 1975 , under an implied promise that the identity of
the source would be held in confidence. Accordingly, these systems of
records are exempt from (c)(3), (d)(1), (d)(2), (d)(3), (d)(4), (e)(1),
(e)(4)(G), (e)(4)(I) and (f) of 5 U.S.C. 552a.
(1) DOL/OASAM-20 (Personnel Investigation Records), a system of
records maintained by the Office of the Assistant Secretary for
Administration and Management (OASAM).
(2) DOL/OIG-1 (General Investigative Files, and Subject Title Index,
USDOL/OIG), a system of records maintained by the Office of the
Inspector General (OIG).
(3) DOL/OIG-2 (Freedom of Information/Privacy Acts Records), a system
of records maintained by the OIG.
(4) DOL/OIG-3 (Case Development Records), a system of records
maintained by the OIG.
(5) DOL/OIG-5 (Investigative Case Tracking Systems/Audit Information
Reporting Systems, USDOL/OIG), a system of records maintained by the
OIG.
(b) This exemption applies to the extent that information in these
systems is subject to exemption pursuant to 5 U.S.C. 552a(k)(5).
(c) The systems of records listed under paragraphs (a)(1) through
(a)(5) of this section are exempted for the reasons set forth in
paragraphs (c)(1) through (6) of this section, from the following
subsections of 5 U.S.C. 552a:
(1) Subsection (c)(3). The release of the disclosure accounting, for
disclosures made pursuant to subsection (b) of the Act, including those
permitted under the routine uses published for this system of records,
would enable the subject of an investigation of an actual or potential
civil case to determine whether he or she is the subject of
investigation, to obtain valuable information concerning the nature of
that investigation and the information obtained, and to determine the
identity of witnesses or informants. Such access to investigative
information would, accordingly, present a serious impediment to the
investigation. In addition, disclosure of the accounting would
constitute notice to the individual of the existence of a record even
though such notice requirement under subsection (f)(1) is specifically
exempted for this system of records.
(2) Subsections (d)(1), (d)(2), (d)(3), and (d)(4). Access to the
records contained in these systems would inform the subject of an actual
or potential investigation of the existence of that investigation, of
the nature and scope of the information and evidence obtained as to his
or her activities, and of the identity of witnesses or informants. Such
access would, accordingly, provide information that could enable the
subject to avoid detection. This result, therefore, would constitute a
serious impediment to effective investigation not only because it would
prevent the successful completion of the investigation but also because
it could endanger the physical safety of witnesses or informants, lead
to the improper influencing of witnesses, the destruction of evidence,
or the fabrication of testimony.
(3) Subsection (e)(1). The notices for these systems of records
published in the Federal Register set forth the basic statutory or
related authority for maintenance of this system. However, in the course
of civil and related investigations, cases and matters, the agency will
occasionally obtain information concerning actual or potential
violations of law that are not strictly or technically within its
statutory or other authority or may compile information in the course of
an investigation which may not be relevant to a specific case. In the
interests of effective investigation, it is necessary to retain some or
all of such information in these systems of records since it can aid in
establishing patterns of compliance and can provide valuable leads for
Federal and other law enforcement agencies. Moreover, it is difficult to
know during the course of an investigation what is relevant and
necessary. In this connection, facts or evidence may not seem relevant
at first, but later in the investigation, their relevance is borne out.
(4) Subsections (e)(4)(G) and (H). Since an exemption is being claimed
for subsections (f) (Agency Rules) and (d) (Access to Records) of the
Act, these subsections are inapplicable to the extent that these systems
of records are exempted from subsections (f) and (d).
(5) Subsection (e)(4)(I). The categories of sources of the records in
these systems have been published in the Federal Register in broad
generic terms in the belief that this is all that subsection (e)(4)(I)
of the Act requires. In the event, however, that this subsection should
be interpreted to require more detail as to the identity of sources of
the records in this system, exemption from this provision is necessary
in order to protect the confidentiality of the sources of investigatory
information. Such exemption is further necessary to protect the privacy
and physical safety of witnesses and informants.
(6) Subsection (f). Procedures for notice to an individual pursuant to
subsection (f)(1) as to existence of records pertaining to the
individual dealing with an actual or potential investigation must be
exempted because such notice to an individual would be detrimental to
the successful conduct and/or completion of an investigation or case,
pending or future. In addition, mere notice of the fact of an
investigation could inform the subject or others that their activities
are under or may become the subject of an investigation and could enable
the subjects to avoid detection, to influence witnesses improperly, to
destroy evidence, or to fabricate testimony. Since an exemption is being
claimed for subsection (d) of the Act (Access to Records), the rules
required pursuant to subsections (f)(2) through (5) are inapplicable to
these systems of records to the extent that these systems of records are
exempted from subsection (d).
Appendix A to Part 71--Responsible Officials
(a)(1) The titles of the responsible officials of the various
independent agencies in the Department of Labor are listed below. This
list is provided for information and to assist requesters in locating
the office most likely to have responsive records. The officials may be
changed by appropriate designation. Unless otherwise specified, the
mailing addresses of the officials shall be: U.S. Department of Labor,
200 Constitution Avenue, NW, Washington, DC 20210-0002.
Secretary of Labor, Attention: Assistant Secretary for Administration
and Management (OASAM)
Deputy Solicitor, Office of the Solicitor
Chief Administrative Law Judge, Office of the Administrative Law Judges
(OALJs)
Legal Counsel (OALJs)
Assistant Secretary for Administration and Management (OASAM)
Deputy Assistant Secretary for Administration and Management (OASAM)
Director, Business Operations Center, OASAM
Director, Civil Rights Center, OASAM
Director, Human Resources Center, OASAM
Director, Information Technology Center, OASAM
Director, Worklife Center, OASAM
Director, Reinvention Center, OASAM
Director, Safety and Health Center, OASAM
Director, Conference and Services Center, OASAM
Chief Financial Officer, Office of the Chief Financial Officer
Associate Deputy Secretary for Adjudication
Chairperson, Administrative Review Board (ARB)
Chief Administrative Appeals Judge, Benefits Review Board (BRB)
Chairperson, Employees' Compensation Appeals Board (ECAB)
Executive Director, Office of Adjudicatory Services (OAS)
Director, Office of Small Business Programs
Director, Women's Bureau
Assistant Secretary Office of Congressional and Intergovernmental
Affairs (OCIA)
Deputy Assistant Secretary, OCIA
Assistant Secretary for Policy (ASP)
Deputy Assistant Secretary, ASP
Assistant Secretary, Office of Public Affairs (OPA)
Deputy Assistant Secretary, OPA
Disclosure Officer, Office of the Inspector General (OIG)
Director, Office of Management, Administration and Planning Bureau of
International Labor Affairs (ILAB)
Secretary, U.S. National Administrative Office (USNAO)
Assistant Secretary for Employment Standards, Employment Standards
Administration (ESA)
Director, Office of Management,
Administration and Planning (OMAP), ESA
Director, Equal Employment Opportunity Unit, ESA
Director, Office of Public Affairs, OMAP, ESA
Director, Division of Human Resources Management, OMAP, ESA
Director, Division of Legislative and Regulatory Analysis, OMAP, ESA
Director, Office of Workers' Compensation Programs (OWCP), ESA
Special Assistant to the Director, OWCP, ESA
Director for Federal Employees' Compensation, OWCP, ESA
Director for Longshore and Harbor Workers' Compensation, OWCP, ESA
Director for Coal Mine Workers' Compensation, OWCP, ESA
Administrator, Wage and Hour Division, ESA
Deputy Administrator, Wage and Hour Division, ESA
National Office Program Administrator, Wage and Hour Division, ESA
Deputy National Office Program Administrator, Wage and Hour Division,
ESA
Director, Office of Enforcement Policy, Wage and Hour Division, ESA
Deputy Director, Office of Enforcement Policy, Wage and Hour Division,
ESA
Director, Office of Planning and Analysis, Wage and Hour Division ESA
Director, Office of Wage Determinations, Wage and Hour Division ESA
Director, Office of External Affairs, Wage and Hour Division, ESA
Director, Office of Quality and Human Resources, Wage and Hour Division,
ESA
Deputy Assistant Secretary for Federal Contract Compliance Programs
(OFCCP), ESA
Deputy Director, Office of Federal Contract Compliance Programs, OFCCP,
ESA
Director, Division of Policy, Planning and Program Development, OFCCP,
ESA
Deputy Director, Division of Policy, Planning and Program Development,
OFCCP, ESA
Director, Division of Program Operations, OFCCP, ESA
Deputy Director, Division of Program Operations, OFCCP, ESA
Director, Division of Management and Administrative Programs, OFCCP, ESA
Deputy Assistant Secretary for Labor-Management Standards, ESA
Assistant Secretary of Labor, Employment and Training Administration
(ETA)
Deputy Assistant Secretary of Labor, Employment and Training
Administration (ETA)
Administrator, Office of Financial and Administrative Management, ETA
Director, Office of Management, Information, and Support, ETA
Director, Office of Human Resources, ETA
Director, Office of the Comptroller, ETA
Director, Office of Grants and Contracts Management, ETA
Chief, Division of Resolution and Appeals, ETA
Chief, Division of Acquisition and Assistance, ETA
Chief, Division of Financial and Grant Management Policy and Review, ETA
Director, Office of Regional Management, ETA
Administrator, Office of Policy and Research, ETA
Director, Unemployment Insurance Service, ETA
Director, United States Employment Service, ETA
Chief, Division of Foreign Labor Certifications, ETA
Administrator, Office of Job Training Programs, ETA
Director, Office of Welfare-to-Work Programs, ETA
Director, Office of Employment and Training Programs, ETA
Director, National Office of School to Work Opportunities, ETA
Director, Office of Job Corps, ETA
Director, Office of National Programs, ETA
Director, Bureau of Apprenticeship and Training, ETA
Administrator, Office of Work-Based Learning, ETA
Program Manager, Division of Policy and Analysis, Office of Worker
Retraining and Adjustment Programs, ETA
Program Manager, Division of Program Implementation, Office of Worker
Retraining and Adjustment Programs, ETA
Director, Office of Trade Adjustment Assistance, ETA
Director, Office of One-Stop/LMI, ETA
Director, Office of Equal Employment Opportunity, Occupational Safety
and Health Administration (OSHA)
Director, Office of Information and Consumer Affairs, OSHA
Director, Directorate Office of Construction, OSHA
Director, Directorate of Federal-State Operations, OSHA
Director, Directorate of Policy, OSHA
Director, Directorate of Administrative Programs, OSHA
Director, Personnel Programs, OSHA
Director, Office of Administrative Services, OSHA
Director, Office of Management Data Systems, OSHA
Director, Office of Management Systems and Organization, OSHA
Director, Office of Program Budgeting, Planning and Financial
Management, OSHA
Director, Directorate of Compliance Programs, OSHA
Director, Directorate of Technical Support, OSHA
Director, Directorate of Safety Standards Programs, OSHA
Director, Directorate of Health Standards Programs, OSHA
Director, Office of Statistics, OSHA
Director, Office of Program Services, Pension and Welfare Benefits
Administration
Assistant Secretary for Veterans' Employment and Training (VETS)
Deputy Assistant Secretary for Veterans' Employment and Training, VETS
Director, Office of Operations and Programs, VETS
Chair, Benefits Review Board
Commissioner, Bureau of Labor Statistics (BLS)
Associate Commissioner, Office of Administration, BLS
The mailing address for responsible officials in the Bureau of Labor
Statistics is: Rm. 4040--Postal Square Bldg., 2 Massachusetts Ave., NE,
Washington, DC 20212-0001.
Director of Program Evaluation and Information Resources Mine Safety and
Health Administration (MSHA)
The mailing address for responsible official in the Mine Safety and
Health Administration (MSHA) is: 4015 Wilson Boulevard, Arlington,
Virginia 22203.
The mailing address for the Office of Administrative Law Judges is:
Chief, Office of Administrative Law Judges, 800 K Street, NW, Suite N-
400, Washington, DC 20001-8002.
(2) The titles of the responsible officials in the regional offices of
the various independent agencies are listed below: Unless otherwise
specified, the mailing address for these officials by region, shall be:
Region I
U.S. Department of Labor, John F. Kennedy Federal Building, Boston,
Massachusetts 02203 (For Wage and Hour only: Contact Region III)
In Region I, Only, the mailing address for OSHA is:
133 Portland Street, 1st Floor, Boston, Massachusetts 02114
Region II
201 Varick Street, New York, New York 10014, (For Wage and Hour only:
Contact Region III)
Region III
Gateway Building, 3535 Market Street, Philadelphia, Pennsylvania 19104
Region IV
U.S. Department of Labor, Atlanta Federal Center, 61 Forsyth Street, SW,
Atlanta, Georgia 30303
214 N. Hogan Street, Suite 1006, Jacksonville, Florida 32202 (OWCP Only)
Region V
Kluczynski Federal Building, 230 South Dearborn Street, Chicago,
Illinois 60604
1240 East Ninth Street, Room 851, Cleveland, Ohio 44199 (FEC only)
Region VI
525 Griffin Square Building, Griffin & Young Streets, Dallas, Texas
75202
Region VII
City Center Square Building, 1100 Main Street, Kansas City, Missouri
64105-2112 (For Wage and Hour only: Contact Region V)
801 Walnut Street, Room 200, Kansas City, Missouri 64106 (OFCCP only)
Region VIII
1999 Broadway Street, Denver, Colorado 80202 (For Wage and Hour only:
Contact Region VI)
1801 California Street, Suite 915, Denver, Colorado 80202 (OWCP only)
The mailing address for the Director of the Regional Bureau of
Apprentice and Training in Region VIII is: Room 465, U.S. Custom House,
721--19th Street, Denver, CO 80202
Region IX
71 Stevenson Street, San Francisco, California 94105
Region X
1111 Third Avenue, Seattle, Washington 98101-3212 (For Wage and Hour
only: Contact Region IX)
Regional Administrator for Administration and Management (OASAM)
Regional Personnel Officer, OASAM
Regional Director for Information and Public Affairs, OASAM
Regional Administrator for Occupational Safety and Health and Safety
(OSHA)
Regional Commissioner, Bureau of Labor Statistics (BLS)
Regional Administrator for Employment and Training Administration (ETA)
Regional Director, Job Corps, ETA
Director, Regional Bureau of Apprenticeship and Training, ETA
Regional Management Analyst, ETA-Atlanta, Georgia
Regional Administrator for Wage and Hour, ESA
Regional Director for Federal Contract Compliance Programs, ESA
Regional Director for the Office of Workers' Compensation Programs, ESA
District Director, Office of Workers' Compensation Programs, ESA
Office of Federal Contract Compliance Programs ESA, Responsible Offices,
Regional Offices
JFK Federal Building, Room E-235, Boston, Massachusetts 02203
201 Varick Street, Room 750, New York, New York 10014
Gateway Building, Room 15340, 3535 Market Street, Philadelphia,
Pennsylvania 19104
61 Forsyth Street, SW, Suite 7B75, Atlanta, Georgia 30303
Klucynski Federal Building, Room 570, 230 South Dearborn Street,
Chicago, Illinois 60604
Federal Building, Room 840, 525 South Griffin Street, Dallas, Texas
75202
71 Stevenson Street, Suite 1700, San Francisco, California 94105-2614
1111 Third Avenue, Suite 610, Seattle, Washington 98101-3212
Office of Workers' Compensation Programs ESA, Responsible Officials,
District Directors
John F. Kennedy, Federal Building, Boston, Massachusetts 02203 (FECA and
LHWCA Only)
201 Varick Street, Seventh Floor, New York, New York 10014 (FECA and
LHWCA only)
3535 Market Street, Philadelphia, Pennsylvania 19104 (FECA and LHWCA
only)
Penn Traffic Building, 319 Washington Street, Johnstown, Pennsylvania
15901 (BLBA only)
105 North Main Street, Suite 100, Wilkes-Barre, Pennsylvania 18701 (BLBA
Only)
Wellington Square, 1225 South Main Street, Greensburg, Pennsylvania
15601 (BLBA only)
300 West Pratt Street, Suite 240, Baltimore, Maryland 21201 (LHWCA Only)
Federal Building, 200 Granby Mall, Room #212, Norfolk, Virginia 23510
(LHWCA only)
2 Hale Street, Suite 304, Charleston, West Virginia 25301 (BLBA Only)
609 Market Street, Parkersburg, West Virginia 26101 (BLBA Only)
800 North Capitol Street NW, Washington, DC 20211 (FECA Only)
1200 Upshur Street, NW, Washington, DC 20210 (DCCA Only)
334 Main Street, Fifth Floor, Pikeville, Kentucky 41501 (BLBA only)
500 Springdale Plaza,
Spring Street, Mt. Sterling, Kentucky 40353 (BLBA Only)
214 N. Hogan Street, 10th Floor, Jacksonville, Florida 32201 (FECA and
LHWCA only)
230 South Dearborn Street, 8th Floor, Chicago, Illinois 60604 (FECA and
LHWCA)
1240 East 9th Street, Cleveland, Ohio 44199 (FECA Only)
274 Marconi Boulevard, 3rd Floor, Columbus, Ohio 43215 (BLBA Only)
525 Griffin Street, Federal Building, Dallas, Texas 75202 (FECA Only)
701 Loyola Avenue, Room 13032, New Orleans, Louisiana 70113 (LHWCA Only)
8866 Gulf Freeway, Suite 140, Houston, Texas 77017 (LHWCA Only)
City Center Square, Suite 750, 1100 Main Street, Kansas City, Missouri
64105 (FECA Only)
1801 California Street, Denver, Colorado 80202 (FECA and BLBA Only)
71 Stevenson Street, 2nd Floor, San Francisco, California 94105 (LHWCA
and FECA Only)
401 E. Ocean Boulevard, Suite 720, Long Beach, California 90802 (LHWCA
Only)
300 Ala Moana Boulevard, Room 5119, Honolulu, Hawaii 96850 (LHWCA Only)
1111 3rd Avenue, Seattle, Washington 98101-3212 (LHWCA and FECA only)
Regional Administrator, Occupational Safety and Health Administration
(OSHA)
Area Director, OSHA
639 Granite Street, 4th Floor, Braintree, Massachusetts 02184
279 Pleasant Street, Suite 201, Concord, New Hampshire 03301
202 Harlow Street, Room 211, Bangor, Maine 04401
Federal Office Building, 450 Main Street, Room 508, Hartford,
Connecticut 06103
One LaFayette Square, Suite 202, Bridgeport, Connecticut 06604
1145 Main Street, Room 108, Springfield, Massachusetts 01103-1493
Federal Office Building, 380 Westminister Mall, Room 243, Providence,
Rhode Island 02903
Valley Office Park, 13 Branch Street, Methuen, Massachusetts 01844
6 World Trade Center, Room 881, New York, New York 10048
990 Westbury Road, Westbury, New York 11590
42-40 Bell Boulevard, Bayside, New York 11361
401 New Karner Road, Suite 300, Albany, New York 12205-3809
Plaza 35, Suite 205, 1030 St. Georges Avenue, Avenel, New Jersey 07001
299 Cherry Hill Road, Suite 304, Parsippany, New Jersey 07054
3300 Vikery Road, North Syracuse, New York 13212
5360 Genesee Street, Bowmansville, New York 14026
BBV Plaza Building, 1510 F.D. Roosevelt Avenue, Suite 5B, Guaynabo,
Puerto Rico 00968
500 Route 17 South, 2nd Floor, Hasbrouck Heights, New Jersey 07604
Marlton Executive Park, Building 2, Suite 120, 701 Route 73 South,
Marlton, New Jersey 08053
660 White Plains Road, 4th Floor, Tarrytown, New York 10591-5107
US Custom House, Room 242, Second & Chestnut Street, Philadelphia,
Pennsylvania 19106
One Rodney Square, Suite 402, 920 King Street, Wilmington, Delaware
19801
Federal Building, 1000 Liberty Avenue, Room 1428, Pittsburgh,
Pennsylvania 15222
3939 West Ridge Road, Suite B12, Erie, Pennsylvania 16506
Federal Office Building, 200 Granby Street, Room 835, Norfolk, Virginia
23510
820 First Street, NE, Suite 440, Washington, DC 20002
20 North Pennsylvania Avenue, Penn Place, Room 2005, Wilkes-Barre,
Pennsylvania 18701-3590
850 North 5th Street, Allentown, Pennsylvania 18102
550 Eagan Street, Room 206, Charleston, West Virginia 25301
Federal Building, Room 1110, 300 W. Pratt St., Baltimore, Maryland 21201
Progress Plaza, 49 Progress Avenue, Harrisburg, Pennsylvania 17109
2400 Herodian Way, Suite 250, Smyrna, Georgia 30080
450 Mall Boulevard, Suite J, Savannah, Georgia 31406
Todd Mall, 2047 Canyon Road, Birmingham, Alabama 35216
8040 Peters Road, Building H-100, Fort Lauderdale, Florida 33324
Ribault Building, Suite 227, 1851 Executive Center Drive, Jacksonville,
Florida 32207
5807 Breckenridge Parkway, Suite A, Tampa, Florida 33610
1835 Assembly Street, Room 1468, Columbia, South Carolina 29201
3780 I-55 North, Suite 210, Jackson, Mississippi 39211-6323
3737 Government Boulevard, Suite 100, Mobile, Alabama 36693
2002 Richard Jones Road, Suite C-205, Nashville, Tennessee 37215
John C. Watts Federal Building, 330 West Broadway, Room 108, Frankfort,
Kentucky 40601
La Vista Perimeter Office Park, 2183 N. Lake Parkway, Building 7, Suite
110, Tucker, Georgia 30084
Century Station Federal Office Building, 300 Fayetteville Mall, Room
438, Raleigh, North Carolina 27601
1600 167th Street, Suite 9, Calumet City, Illinois 60409
O'Hara Lake Plaza, 2360 East Devon Avenue, Suite 1010, Des Plaines,
Illinois 60018
344 Smoke Tree Business Park, North Aurora, Illinois 60542
Federal Office Building, 1240 East 9th Street, Room 899, Cleveland, Ohio
44199
Federal Office Building, 200 N. High Street, Room 620, Columbus, Ohio
43215
US P.O. & Courthouse Building, 46 East Ohio Street, Room 423,
Indianapolis, Indiana 46204
36 Triangle Park Drive, Cincinnati, Ohio 45246
2618 North Ballard Road, Appleton, Wisconsin 54915
Henry S. Reuss Building, Room 1180, 310 West Wisconsin Avenue,
Milwaukee, Wisconsin 53203
110 South 4th Street, Suite 1220, Minneapolis, Minnesota 55401
234 North Summit Street, Room 734, Toledo, Ohio 43604
801 South Waverly Road, Suite 306, Lansing, Michigan 48917-4200
4802 East Broadway, Madison, Wisconsin 53716
2918 W. Willow Knolls Road, Peoria, Illinois 61614
8344 East R.L. Thornton Freeway, Suite 420, Dallas, Texas 75228
903 San Jacinto Boulevard, Suite 319, Austin, Texas 78701
Westbank Building, Suite 820, 505 Marquette Avenue, NW, Albuquerque, New
Mexico 87102
2156 Wooddale Boulevard, Hoover Annex, Suite 200, Baton Rouge, Louisiana
70806
Wilson Plaza, 606 N. Carancahua, Suite 700, Corpus Christi, Texas 78401
Federal Office Building, 1205 Texas Avenue, Room 806, Lubbock, Texas
79401
350 North Sam Houston Parkway East, Suite 120, Houston, Texas 77060
17625 El Camino Real, Suite 400, Houston, Texas 77058
420 West Main Place, Suite 300, Oklahoma City, Oklahoma 73102
North Starr II, Suite 430, 8713 Airport Freeway, Fort Worth, Texas
76180-7604
TCBY Building, Suite 450, 425 West Capitol Avenue, Little Rock, Arkansas
72201
4171 North Mesa Street, Room C119, El Paso, Texas 79902
6200 Connecticut Avenue, Suite 100, Kansas City, Missouri 64120
911 Washington Avenue, Room 420, St. Louis, Missouri 63101
210 Walnut Street, Room 815, Des Moines, Iowa 50309
300 Epic Center, 301 North Main, Wichita, Kansas 67202
Overland--Wolf Building, Room 100, 6910 Pacific Street, Omaha, Nebraska
68106
8600 Farley, Suite 105, Overland Park, Kansas 66212-4677
2900 Fourth Avenue, North, Suite 303, Billings, Montana 59101
220 E. Rosser, Room 348, P.O. Box 2439, Bismarck, North Dakota 58501
7935 East Prentice Avenue, Suite 209, Englewood, Colorado 80011-2714
1391 Speer Boulevard, Suite 210, Denver, Colorado 80204
1781 South 300 West, P.O. Box 65200, Salt Lake City, Utah 84165-0200
71 Stevenson Street, Room 420, San Francisco, California 94105
101 El Camino Plaza, Suite 105, Sacramento, California 95815
5675 Ruffin Road, Suite 330, San Diego, California 92123
300 Ala Moana Boulevard, Suite 5122, P.O. Box 50072, Honolulu, Hawaii
96850
3221 North 16th Street, Suite 100, Phoenix, Arizona 85016
705 North Plaza, Room 204, Carson City, Nevada 89701
301 West Northern Lights Boulevard, Suite 407, Anchorage, Alaska 99503
3050 North Lakeharbor Lane, Suite 134, Boise, Idaho 83703
505 106th Avenue, Northeast, Suite 302, Belleview, Washington 98004
1220 Southwest Third Avenue, Room 640, Portland, Oregon 97204
Pension and Welfare Benefits Administration Regional Director or
District Supervisor
Regional Director, J.F.K. Federal Bldg., Room 575, Boston, Massachusetts
22203
Regional Director, 1633 Broadway, Rm. 226, New York, N.Y. 10019
Regional Director, 3535 Market Street, Room M300, Gateway Building,
Philadelphia, Pennsylvania 19104
District Supervisor, 1730 K Street N.W., Suite 556, Washington, DC 20006
Regional Director, 61 Forsyth Street, S.W., Room 7B54, Atlanta, Georgia
30303
District Supervisor, 8040 Peters Road, Building H, Suite 104,
Plantation, Florida 33324
Regional Director, 1885 Dixie Highway, Suite 210, Ft. Wright, Kentucky
41011
District Supervisor, 211 West Fort Street, Suite 1310, Detroit, Michigan
48226-3211
Regional Director, 200 West Adams Street, Suite 1600, Chicago, Illinois
60606
Regional Director, City Center Square, 1100 Main Street, Suite 1200,
Kansas City, Missouri 64105
District Supervisor, 815 Olive Street, Room 338, St. Louis, Missouri
63101
Regional Director, 525 Griffin Street, Room 707, Dallas, Texas 75202
Regional Director, 71 Stevenson Street, Suite 915, P.O. Box 190250, San
Francisco, California 94119-0250
District Director, 1111 Third Avenue, Room 860, Seattle, Washington
98101-3212
Regional Director, Suite 514, 790 E. Colorado Blvd, Pasadena, CA 91101
Regional Administrators, Veterans' Employment and Training Service
(VETS)
Region I
J.F. Kennedy Federal Building, Government Center, Room E-315, Boston,
Massachusetts 02203
Region II
201 Varick Street, Room 766, New York, New York 10014
Region III
U.S. Customs House, Room 802, Second and Chestnut Streets, Philadelphia,
Pennsylvania 19106
Region IV
Atlanta Federal Center, 61 Forsyth Street, SW., Room 6T85, Atlanta,
Georgia 30303
Region V
230 South Dearborn, Room 1064, Chicago, Illinois 60604
Region VI
525 Griffin Street, Room 858, Dallas, Texas 75202
Region VII
Center City Square, 1100 Main Street, Suite 850, Kansas City, Missouri
64105-2112
Region VIII
1801 California Street, Suite 910, Denver, Colorado 80202-2614
Region IX
71 Stevenson Street, Suite 705, San Francisco, California 94105
Region X
1111 Third Avenue, Suite 800, Seattle, Washington 98101-3212