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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

DEPARTMENT OF LABOR

1. Background

Office of the Secretary

Pursuant to section three of the
Privacy Act of 1974 (5 U.S.C.
552a(e)(4)), hereinafter referred to as the
Act, the Department hereby publishes
notice of a new universal routine use, as
well as thirty-three (33) new systems of
records currently maintained pursuant
to the Act. This document supplements
this Department’s last consolidated
publication of all of its Privacy Act
systems of records. On September 23,
1993, in Volume 58 at Page 49548 of the
Federal Register, the Department
published a notice containing 138
systems of records which were
maintained, at that time, under the Act.
That document gave notice of eleven
paragraphs containing universal routine
uses which applied, across the board, to
all 138 systems of records, except for the
two employee counseling and medical
systems of records. Those eleven
paragraphs were presented in the
General Prefatory Statement for that
document. Thereafter, seven new
systems of records were established as
set forth in the following five
documents. These five documents were
as follows: 59 FR 18156, April 15, 1994
(two new systems); 60 FR 24897, May
10, 1995 (one new system); 60 FR
31495, June 15, 1995 (one new system);
62 FR 16610, April 7, 1997 (two new
systems); and 62 FR 53343, October 14,
1997 (one new system). The 33 new
systems published herein will increase
the total number of systems to 147 after
accounting for the 31 systems which are
being deleted in this notice.
In addition to the seven new systems,
discussed above, the Department made
amendments to its existing systems
subsequent to the September 23, 1993
consolidated publication. These
amendments were published in three
separate documents published as
follows: 59 FR 47361, September 15,
1994, 63 FR 2417, January 15, 1998, and
63 FR 25234, May 7, 1998. You should
also note that amendments were made
to existing systems in the same
documents which established the seven
new systems of records.

Privacy Act of 1974; Publication in Full
of All Notices of Systems of Records
Including Several New Systems;
Publication of Proposed Routine Uses
AGENCY:

Office of the Secretary, Labor.

Notice; publication in full of all
notices of systems of records, including
several new systems; publication of a
new universal routine use for all
systems of records; publication of
several proposed system-specific
routine uses, as well as substantive
amendments.
ACTION:

SUMMARY: This notice provides an
accurate and complete text with both
proposed substantive and nonsubstantive changes of this agency’s 147
systems of records which are currently
maintained under the Privacy Act of
1974. This notice also proposes one new
universal routine use for all of the
systems. This notice will update our last
complete publication in full which
appeared in the Federal Register on
September 23, 1993. In addition to 33
new systems of records, which are being
published for the first time, it will
propose substantive amendments to 60
other systems which have been
previously published. Twenty-nine (29)
systems will be amended in a nonsubstantive manner. The notice deletes
31 systems.
DATES: Persons wishing to comment on
newly published systems and on the
proposed routine uses, both universal
and specific, may do so by June 7, 2002.
EFFECTIVE DATE: Unless there is a further
notice in the Federal Register, the new
systems of records and the proposed
routine uses will become effective June
27, 2002. The notices, pertaining to the
29 systems with non-substantive
(administrative) changes are effective on
April 8, 2002.

Written comments may be
sent or delivered to Robert A. Shapiro,
Associate Solicitor, Office of the
Solicitor, Division of Legislation and
Legal Counsel, U.S. Department of
Labor, Room N–2428, 200 Constitution
Avenue, NW., Washington, DC 20210.
ADDRESSES:

FOR FURTHER INFORMATION CONTACT:
Miriam McD. Miller, Co-Counsel for
Administrative Law, Office of the
Solicitor, U.S. Department of Labor, 200
Constitution Avenue, NW, Room N–
2428, Washington, DC 20210;
Telephone (202) 693–5500.
SUPPLEMENTARY INFORMATION:

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2. The Current Action
Pursuant to section three of the
Privacy Act of 1974 (5 U.S.C.
552a(e)(4)), the Department hereby
publishes an updated consolidated
publication in full for all of its 147
systems of records, including 33 new
systems, currently maintained pursuant
to the Privacy Act of 1974. As noted
above, the Department’s last
consolidated publication in full
appeared in the Federal Register on

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September 23, 1993, at page 49548 in
Volume 58 of the Federal Register.
This notice also proposes one new
universal routine use to be added to the
Department’s current list of eleven
universal routine uses. These universal
routine uses apply across the board to
all of the Department’s systems of
records. The original eleven universal
routine uses, being republished herein,
are essentially a refined version of those
universal routine uses which were
published on September 23, 1993, at
pages 49554–49555 in Volume 58 of the
Federal Register.
Besides these twelve universal routine
uses, both substantive and nonsubstantive changes have been made to
certain of the system-specific routine
uses which appear within the body of
most of the systems.
As noted above, this notice will add
33 new systems which are being
published for the first time; it amends
60 existing systems in a substantive
manner, and it amends 29 existing
systems in a non-substantive manner.
This notice deletes 31 systems.
The following is a listing of the
substantive and non-substantive
additions, changes, and deletions to the
various departmental systems of
records. This listing will not describe
extremely non-substantive revisions to
the Department’s existing systems of
records.
The public, the Office of Management
and Budget (OMB), and the Congress are
invited to submit written comments on
the 33 new systems, and on the other
substantive amendments. A report on all
of the new systems and on the
substantive amendments has been
provided to OMB and to the Congress as
required by OMB Circular A–130.
Revisions to the Universal Routine Uses
Appearing Within the General
Prefatory Statement
A. Refinements to the Current Universal
Routine Uses
The Department is proposing certain
grammatical refinements to the eleven
routine uses of the records which
currently appear within the General
Prefatory Statement. In addition, routine
use number 10, disclosure to the Office
of Management and Budget (OMB), is
being broadened to include all
legislative matters, instead of being
limited to private relief legislation.
These universal routing uses apply
across the board to all current systems
of records, except for the two employee
counseling and medical systems.
B. A New Universal Routine Use
The new universal routine use of the
records proposed herein will be

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
designated as universal routine use
number 12, and will appear within the
General Prefatory Statement. This
routine use will permit the Department
to disclose the fact that an employee
conduct investigation may be underway,
based upon an allegation of prohibited
activity, in the event of a media request,
or in the event that the subject of the
investigation has released information
to the public.
Government-Wide Systems by the
Department of Labor
DOL/GOVT–1, entitled Office of
Workers’ Compensation Programs,
Federal Employees’ Compensation File,
is being amended by maintaining its
covered records in an electronic format
as well as in paper files. The subject of
the file, as well as other parties, as
specified in this notice, will be able to
access information relating to the claim
in either format. Ultimately, the plan is
to maintain all open claim files only
electronically. In addition, this system
of records is revising its Routine Uses
category to balance the privacy interests
of those persons seeking benefits under
the FECA with the benefits of providing
access to these records for the purposes
specified in the routine uses.
DOL/GOVT–2, entitled Job Corps
Student Records, is being revised to
rename its enrollees as students.
Office of the Secretary (OSEC)
DOL/OSEC–1, Supervisor’s/Team
Leader’s Records of Employees, is
amended by revising several of its
categories so that new information can
be collected such as labor relations
information and requests for reasonable
accommodation. For this purpose, the
Category of Records and Routine Uses
Category have been expanded. In
addition, the system has been renamed,
and the Location category has been
amended.
DOL/OSEC–4, Credit Data on
Individual Debtors, has been deleted
since it is no longer needed inasmuch
as this function has been taken over by
the U.S. Treasury Department.
Accordingly, the records have been
destroyed.
DOL/OSEC–5, High Performance
Work Place Tracking Database, has been
deleted since it never became
operational, and no records were ever
created.
Office of the Assistant Secretary for
Administration and Management
(OASAM)
DOL/OASAM–4, Occupational
Accident/Injury/Illness Reporting
System (AIIRS) File, has been amended
to reflect a new place for the system

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location and a new title of the system
manager.
DOL/OASAM–5, Rehabilitation and
Counseling File, has been amended by
revising several categories in order to
make the notice more descriptive.
DOL/OASAM–7, Employee Medical
Records, has been amended by revising
several categories in order to make the
notice more descriptive.
DOL/OASAM–11, Training
Information System, and DOL/OASAM–
14, Automated Position Control System,
have been transferred into new system
DOL/OASAM–36, PeoplePower, and are
therefore, deleted from this notice.
DOL/OASAM–12, Administrative
Grievance Records, has been amended
to reflect a new place for the system
location and a new title of the system
manager.
DOL/OASAM–15, Travel and
Transportation System, has been
transferred to the Office of the Chief
Financial Officer, and has been
renumbered as DOL/CFO–3.
DOL/OASAM–17, Equal Employment
Opportunity Complaint Files, has been
amended to reflect a new place for the
system location and a new title of the
system manager.
DOL/OASAM–19, Negotiated
Grievance Procedure and Unfair Labor
Practice Files, has been amended to
reflect a new place for the system
location and a new title of the system
manager.
DOL/OASAM–20, Personnel
Investigation Records, has been
amended to reflect a new place for the
system location and a new title of the
system manager.
DOL/OASAM–22, Civil Rights Center
Citizen Discrimination Complaint Files,
has been amended to reflect a new place
for the system location and a new title
of the system manager. Also, the system
of records is being amended to reflect
additional statutory jurisdiction for the
Welfare-to-Work grant program and the
Workforce Investment Act.
DOL/OASAM–23, Travel
Management Center, has been amended
to reflect a new title for the system.
DOL/OASAM–24, Privacy Act/
Freedom of Information Act Requests
File System, has been amended to reflect
a new place for the system location and
a new title of the system manager.
DOL/OASAM–25, Intergovernmental
Personnel Act Assignment Records, has
been amended to reflect a new place for
the system location and a new title of
the system manager.
DOL/OASAM–26, Frances Perkins
Building Parking Management System,
is being amended with respect to the
category of Records to add the Social
Security Numbers of the individuals

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who apply for and receive parking
privileges. In addition, the category for
Routine Uses will be amended so that
data can be disclosed by DOL to other
governmental agencies to enable these
agencies to compare the names of car
pool members. Finally, the categories
for Records and Record Source are being
amended to permit other government
agencies to disclose data to DOL so that
DOL can compare the names of car pool
members.
DOL/OASAM–27, Employee/
Contractor Identification Program, has
been amended to reflect a new place for
the system location and a new title of
the system manager.
DOL/OASAM–28, Incident Report/
Restriction Notice, has been amended to
reflect a new place for the system
location and a new title of the system
manager.
DOL/OASAM–29, OASAM Employee
Administrative Investigation File, has
been amended to reflect a new place for
the system location and title of the
system manager.
DOL/OASAM–30, Injury
Compensation System (ICS), has been
deleted because its information belongs
in DOL/GOVT–1, this Department’s
government-wide system for processing
injury claims by federal employees.
That system is entitled Office of
Workers’ Compensation Programs,
Federal Employees Compensation File.
DOL/OASAM–31, DOL Flexible
Workplace (Flexiplace) Programs
Evaluation and Files, has been amended
to reflect that the flexiplace program has
advanced from a pilot program to a
permanent program. Also, the categories
for Location and System Manager have
been amended to reflect changes in
both.
DOL/OASAM–32, Transit Subsidy
Management System, is a new system of
records to be used to validate
identification of employees who request
and receive a transit subsidy.
DOL/OASAM–33, Entity Database, is
a new system of records which contains
the data to complete applications,
personnel and administrative forms, and
to provide input to various small
systems used in administrative and
management of DOL employees.
DOL/OASAM–34, DOL Fitness
Association (DOLFA) Membership Files,
is a new system of records which is
used to administer the Department’s
Fitness Center which provides exercise
facilities in the building.
DOL/OASAM–35, DOL Child Care
Subsidy Programs Records, is a new
system of records which will establish
and verify Departmental employees’
eligibility for child care subsidies in

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order for the Department to provide
monetary assistance to its employees.
DOL/OASAM–36, PeoplePower, is a
new electronic system of records which
will produce official personnel actions
notifications, and to store and provide
access to current and historical human
resource information for all of the
Department’s employees. It will also aid
in the performance of several
management functions. Former systems,
DOL/OASAM–11 and DOL/OASAM–14,
have been transferred into this new
system.
Office of the Administrative Law Judges
(OALJs)
DOL/OALJ–1 has been renamed the
Office of Administrative Law Judges
Case Tracking System, and its Routine
Use category has been amended to state
that its proceedings and court dockets
records are public and are available for
public inspection.
DOL/OALJ–2, entitled Office of
Administrative Law Judge Case Files, is
a new system of records for the purpose
of maintaining records in the
adjudication of cases and the
determination of issues in hearings and
appeals proceedings. Its Routine Uses
category provides for public disclosure
of its proceedings and decisions.
DOL/OALJ–3, entitled Contract List,
is a new system of records for the
purpose of maintaining a list of
contractors to assist in managing
contracts with contractors.
DOL/OALJ–4, entitled Notification
List, is a new system of records for the
purpose of providing electronic mail
notifications of web site updates to the
registrants in the system.
Office of the Administrative Review
Board
DOL/ARB–1, Administrative Review
Board Appeals Files, (formerly DOL/
OAA–1) has been amended and updated
to reflect the change in agency name
from Office of Administrative Appeals
to Administrative Review Board and to
clarify the routine uses.
Office of the American Workplace
(OAW)
This Office no longer exists, but its
duties and responsibilities have been
transferred into the Employment
Standards Administration (ESA). In this
connection, in the Federal Register of
October 14, 1997 (62 FR 53343 at
53347), DOL/OAW–1 was renamed as
DOL/ESA–45, Investigative Files of the
Office of Labor-Management Standards.
The following four systems of the
OAW are being deleted as noted below.
The records for these four systems have
been transferred to the National

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Archives and Records Administration
(NARA) since they are permanent
records.
DOL/OAW–2, Lists of Airline
Employees Protected Under the Rehire
Program, is being deleted because this
program is inactive.
DOL/OAW–3, Semi-Annual Lists of
Hired Employees, is being deleted
because this program is inactive.
DOL/OAW–4, Rehire Program
Appellant and Inquiry Files, is being
deleted because this program has been
terminated.
DOL/OAW–5, OLMP/OSP, Redwood
Employee Protection Program, Health,
Welfare, and Pension Claims and
Benefit Payments (including severance
benefits and benefits for salary
replacement, retraining, job search and
relocation) is being deleted because this
program has been terminated.
Office of the Assistant Secretary for
Policy (ASP)
DOL/ASP–1, National Agricultural
Workers Survey (NAWS) Research File,
Case Tracking Files, Name Index,
USDOL/ASP, is amended by changing
several categories including Location,
Records, Purpose and Routine Uses. The
revised Routine Uses Category will
provide additional protection to the
privacy interests of the participants in
the study. This additional privacy
protection is achieved by making
several of the Universal Routine Uses,
contained within the General Prefatory
Statement, inapplicable to this system of
records.
Benefits Review Board (BRB)
DOL/BRB–1, Appeals Files—Benefits
Review Board, has been amended to
reflect the new address of the system’s
location and to clarify the routine uses.
Bureau of Labor Statistics (BLS)
DOL/BLS–2, Staff Utilization System,
is being deleted because this system of
records has been closed, and its records
have been destroyed.
DOL/BLS–4, Business Research
Advisory Council and DOL/BLS–5,
Labor Research Advisory Council, are
being deleted. Information and data for
all of the Department’s advisory
committees have been transferred to the
Office of Small Business Programs
(DOL/OSBP) which has established a
new system of records for this purpose,
entitled DOL/OSBP–2, Department of
Labor Advisory Committees Members
Files.
DOL/BLS–6, Applicant Race and
National Origin (ARNO) System, Form
E–7, has been amended to reflect a new
title of the system manager.

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DOL/BLS–7, BLS Employee Conduct
Investigation, has been amended to
reflect a new title of the system
manager.
DOL/BLS–8, BLS Employee ADP
Training History, is being amended to
include the employee’s Social Security
Number, and a new title of the system
manager. In addition, certain minor
changes are being made.
DOL/BLS–9, Routine Administrative
Files, is being amended by revising
several categories to make the system
more descriptive. These categories are
Individuals Covered, Records, and
Record Sources. In addition, certain
non-substantive, administrative changes
are being made throughout the system.
DOL/BLS–11, NIH and Boeing User ID
Database, is being renamed as
Mainframe User ID Database, and the
system is being amended to reflect a
new location for the system’s electronic
records and a new title of the system
manager.
DOL/BLS–13, National Longitudinal
Survey of Youth 1979 (NLSY79)
Database, and DOL/BLS–17, National
Longitudinal Survey of Youth 1996
(NLYS96), which are each research
surveys of youth, are being expanded so
that information can be received from
persons who interact with the
respondents.
DOL/BLS–15, Management Research
Files, is being deleted, because the
underlying project was closed down,
and no records were ever created.
DOL/BLS–16, Annual Survey of
Occupational Injuries and Illnesses, is
being deleted as a Privacy Act system of
records, because these records are no
longer maintained or retrieved by name
or by a personal identifier.
DOL/BLS–18, Postal Square Building
Parking Management Records, is a new
system which is needed to administer
the parking and car pool programs at the
Postal Square Building wherein the
Bureau is housed.
DOL/BLS–19, Customer Information
Files, is a new system to maintain and
service the list of customers who request
BLS information.
DOL/BLS–20, Fellowship Applicants
and Recipients Files, is a new system
which maintains a list of applicants and
recipients of fellowship awards. These
individuals are not federal employees
but are assigned to work with the BLS
staff and/or BLS non-public data files.
Office of the Chief Financial Officer
(CFO)
DOL/CFO–1, Attendance, Leave and
Payroll File, is being amended by
revising the category of Records in the
System to include data from the newly
created DOL/OASAM–32, Transit

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Subsidy Management System. It is
amended by changing the category for
Routine Uses, by permitting disclosure
of data to other governmental agencies
for the purpose of comparing transit
subsidy recipients and car pool
applicants. This system of records was
last published on January 15, 1998 at 63
FR 2417. That publication inadvertently
failed to list certain previously
approved disclosures under paragraphs
E. and F. of the Routine Uses Category.
[An earlier publication of this system, at
62 FR 16614, on April 7, 1997, correctly
contained the previously approved
disclosures]. This document lists all
approved disclosures. Finally, an
additional routine use, permitting
disclosure of information to labor
organizations, is being added.
DOL/CFO–3 is a new system for the
CFO, having been transferred into CFO
from OASAM. It is entitled the Travel
and Transportation System, and was
formerly entitled OASAM–15.
The Office of Disability Employment
Policy (ODEP) formerly entitled the
President’s Committee on Employment
of People With Disabilities (PCEPD)
DOL/PCEPD–1, Job Accommodation
Network (JAN) Files, has been
redesignated as DOL/ODEP–1 because
of a reorganization within the
Department.
DOL/ODEP–2, Workforce Recruitment
Program (WRP) Database, is a new
system of records to maintain records on
a database resource of college students
with disabilities so that federal and
private sector employers may be able to
identify qualified employees in a variety
of fields.
Employees’ Compensation Appeals
Board (ECAB)
DOL/ECAB–1, Employees’
Compensation Appeals Board Docket
Records, has been amended to reflect
the new address of the system location
and to clarify the routine uses.
DOL/ECAB–2, Employees’
Compensation Appeals Board
Disposition Records, has been amended
to reflect the new address of the system
location and to clarify the routine uses.
Employment Standards Administration
(ESA)
DOL/ESA–2, Office of Federal
Contract Compliance Programs,
Complaint Case Files, is changed to
correct name of system and to add
‘‘class action’’ to Record Source
Categories.
DOL/ESA–5, Office of Workers’
Compensation Programs, Black Lung
Antidiscrimination Files, has been
refined in a non-substantive manner.

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DOL/ESA–6, Office of Workers’
Compensation Programs, Black Lung
Benefits Claim File, has been refined in
a non-substantive manner.
DOL/ESA–12, Office of Workers’
Compensation Programs, Black Lung Xray Interpretation File, is being deleted
because these records have been
transferred into DOL/ESA–6.
DOL/ESA–15, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Case Files, has been amended with
respect to the category for Routine Uses.
Disclosures have been both expanded
and reduced by these amendments.
DOL/ESA–24, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Special Fund System, has been
amended with respect to the category
for Routine Uses. Disclosures have been
both expanded and reduced by these
amendments.
DOL/ESA–25, Office of Federal
Contract Compliance Programs,
Executive Management Information
Systems (OFCCP/EIS), is amended to
include ‘‘TRIS’’ in the system names, to
change Location, to change Categories of
Individuals Covered By The System, to
change Categories of Records In The
System, to change Authority for
Maintenance of the system, to change
Purpose, to change Retrievability.
DOL/ESA–26, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Investigation Files, has been amended
by adding a note to the category for
Routine Uses to provide that, pursuant
to 5 U.S.C. 552a(b)(1), information from
this system of records may be disclosed
to members and staff of the Benefits
Review Board, the 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.
DOL/ESA–27, Office of Workers’
Compensation Programs, Longshore and
Harbor Workers’ Compensation Act
Claimant Representatives, has been
amended by adding a note to the
category for Routine Uses to provide
that, pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records
may be disclosed to members and staff
of the Benefits Review Board, the 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.
DOL/ESA–28, Office of Workers’
Compensation Programs, Physicians
and Health Care Providers Excluded
under the Longshore Act, has been

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amended with respect to the category
for Routine Uses. Disclosures have been
both expanded and reduced by these
amendments. In addition, a note has
been added to the category for Routine
Uses to provide that, pursuant to 5
U.S.C. 552a(b)(1), information from this
system of records may be disclosed to
members and staff of the Benefits
Review Board, the 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.
DOL/ESA–29, Office of Workers’
Compensation Programs, Physicians
and Health Care Providers Excluded
under the Federal Employees’
Compensation Act. The same changes
are made as described above with
respect to DOL/ESA–28.
DOL/ESA–30, Office of Workers’
Compensation Programs, Black Lung
Automated Support Package, has been
refined in a non-substantive manner.
DOL/ESA–31, Office of Federal
Contract Compliance Programs, Time
Reporting Information System (TRIS) is
being deleted because it has been
merged into DOL/ESA–25, Office of
Federal Contract Compliance Programs,
Management Information System
(OFCCP/MIS).
DOL/ESA–33, Time Report
Component of the Wage and Hour
Investigative Support and Reporting
Database (WHISARD), Compliance
Officer’s Weekly Report, is amended to
add ‘‘leave records’’ to the Categories of
Records, add ‘‘statute’’ to Purpose, add
‘‘investigator’’ to Record Source
Category, add the ‘‘Systems Exempted’’
Category which was inadvertently
omitted from the previous publication.
DOL/ESA–34, Farm Labor Contractor
Registration File, is amended to correct
the name of the Florida system location,
remove extraneous references in the
Authority for Maintenance of the
System, correct the name of the Florida
storage location, correct the identity and
address of system manager, and correct
the identity and address of the person
to whom contesting inquiries should be
addressed and remove ‘‘Social Security
Number’’ from the information required
to make such inquiry.
DOL/ESA–35, Farm Labor Contractor
Employee Registration File, is changed
to correct the name of the Florida
system location, remove extraneous
references in the Authority for
Maintenance of the System, correct the
name of the Florida storage location,
correct the identity and address of the
System Manager, and correct the
identity and address of the person to
whom contesting inquiries should be

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addressed and remove ‘‘Social Security
Number’’ from the information required
to make such inquiry.
DOL/ESA–36, MSPA Civil Money
Penalties in the Wage and Hour
Investigative Support and Reporting
Database (WHISARD), is amended to:
Delete reference to ‘‘FLCRA’’ in the title
of the record; add ‘‘District’’ offices to
the system locations, remove extraneous
references in the Authority for
Maintenance of the System; add
‘‘District’’ offices to the storage
locations; correct the identity and
address of the system manager; correct
the identity and address for Notification
Procedure and remove ‘‘Social Security
Number’’ from the information required
to make such inquiry; correct the
identity and address for record access
procedures; and remove ‘‘social security
number’’ from the information required
to make such inquiry; and correct the
identity and address for contesting
record procedures and remove ‘‘social
security number’’ from the information
required to make such inquiry.
DOL/ESA–37, MSPA Public Central
Registry Records Files, is changed to
remove extraneous references in the
authority for maintenance of the system,
to add language in the routine uses
category to allow disclosure of
registration information via an ‘‘800’’
telephone number required by and
published in 29 CFR 500.170; correct
the identity and address of system
manager, correct the identity and
address for contesting record procedures
and remove ‘‘Social Security Number’’
from the information required to make
such inquiry, and to add ‘‘applications’’
to the record source categories.
DOL/ESA–38, Wage and Hour
Regional Office Clearance List—MSPA
Registration, is amended to show that
the category of records shown as
‘‘personal identification’’ means
‘‘names, addresses and Social Security
Numbers’’, to remove extraneous
references in the Authority for
Maintenance of the System, to include
‘‘providing historical and current
compliance information to Wage and
Hour National, Regional, and District
offices as a purpose, correct the identity
and address of system manager, and
correct the identity and address for
contesting record procedures and
remove ‘‘Social Security Number’’ from
the information required to make such
inquiry.
DOL/ESA–39, State Employment
Service Clearance List—MSPA
Registration, is changed to: Remove
‘‘Division of Labor and Industry,
Baltimore, Maryland; Delaware
Department of Labor, Dover, Delaware;
and New York Department of Labor,

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Albany, New York’’ from system
location; to show that the category of
records shown as ‘‘personal
identification’’ means ‘‘names,
addresses and social security numbers’’;
to remove extraneous references in the
Authority for Maintenance of the
System; to correct the routine uses of
records to show that this record will be
disclosed to the Department of Labor
and Employment Security, Tallahassee,
Florida; New Jersey Department of
Labor, Trenton, New Jersey; and
Virginia Employment Commission,
Richmond, Virginia; to correct the
identity and address of the system
manager; and to correct the identity and
address for contesting record procedures
and remove ‘‘Social Security Number’’
from the information required to make
such inquiry.
DOL/ESA–40, MSPA Tracer List, is
amended in Categories of Records to
Delete reference to ‘‘FLCRA’’ in the title
of the record, remove ‘‘Social Security
Numbers’’ and add ‘‘certificate of
registration numbers’’, to remove
extraneous references in the authority
for maintenance of the system, correct
the identity and address of system
manager, correct the identity and
address for notification procedure and
remove ‘‘social security number’’ from
the information required to make such
inquiry, correct the identity and address
for record access procedures and
remove ‘‘Social Security Number’’ from
the information required to make such
inquiry, and correct the identity and
address for contesting record procedures
and remove ‘‘Social Security Number’’
from the information required to make
such inquiry.
DOL/ESA–41, MSPA Certificate
Action Records Files, is amended to:
Delete reference to ‘‘FLCRA’’ in the title
of the record, remove extraneous
references in the authority for
maintenance of the system, add ‘‘and
maintain a record’’ of persons who filed
applications to the purpose, correct the
identity and address of system manager,
correct the identity and address for
contesting record procedures and
remove ‘‘Social Security Number’’ from
information required to make such
inquiry.
DOL/ESA–42, Case Registration/
Investigator Form; in the Wage and
Hour Investigative Reporting Database
(WHISARD), is amended to change
system name, to change categories of
individuals covered, to change
retrievability, and to make it an exempt
system.
DOL/ESA–43, Office of Workers’
Compensation Programs, Federal
Employees’ Compensation Act and
Longshore and Harbor Workers’

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Compensation Act Rehabilitation Files,
has been amended with respect to the
category for Routine Uses. Disclosures
have been both expanded and reduced
by these amendments. In addition, a
note has been added to the category for
Routine Uses to provide that, pursuant
to 5 U.S.C. 552a(b)(1), information from
this system of records may be disclosed
to members and staff of the Benefits
Review Board, the 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.
DOL/ESA–44, Office of Workers’
Compensation Programs, Federal
Employees’ Compensation Act (FEC)
and Longshore and Longshore and
Harbor Workers’ Compensation Act
Rehabilitation Counselor Case
Assignment, Contract Management and
Performance, and Federal Employees’
Compensation Act Field Nurses Files,
has been amended by the following
additions: The note following the
routine uses category regarding
telephonic disclosure of information,
which currently appears in the other
ESA/OWCP Privacy Act Systems of
Records, has been added and language
is inserted into this note to reflect that,
pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records
is disclosed to members and staff of the
Benefits Review Board, the Employees’
Compensation Appeals Board, the
Office of Administrative Law Judges, the
Office of the Solicitor and other
components of the Department who
have a need for the record in the
performance of their duties.
DOL/ESA–45, Investigative Files of
the Office of Labor-Management
Standards (Formerly DOL/OAW–1), has
been amended to reflect a reorganization
of the Office of Labor-Management
Standards (OLMS); to clarify the
Categories of Individuals Covered by the
System; to include the Congressional
Accountability Act of 1995 (CAA); to
change the authority citations; to
include CAA in the Purpose; to make
changes in the retention schedule, and
to make typographical corrections.
DOL/ESA–46, is a new system
entitled, Migrant and Seasonal
Agricultural Worker Protection Act
(MSPA) Ineligible Farm Labor
Contractors, which is being established
in order to maintain a listing of
individuals who are ineligible to engage
in any activity as a farm labor contractor
or farm labor contractor employee. This
listing is available to the general public,
upon request.
DOL/ESA–47 is a new electronic
system, entitled Youth Peddler Bulletin

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Board, which is being established to
exchange information with law
enforcement agencies about individuals
and organizations that employ young
children as ‘‘door-to-door candy
sellers.’’ Access is available only to
those enforcement agencies through the
issuance of a ‘‘password’’.
DOL/ESA–48 is a new system,
entitled ‘‘Customer Service’’ component
of the Wage Hour Investigative Support
and Reporting Database (WHISARD),
which is being established to provide
Wage and Hour employees with an
index of individuals who contact the
Wage and Hour Division. This
information may be used to provide
assistance or to facilitate the processing
of complaints.
DOL/ESA–49 is a new system,
entitled Office of Workers’
Compensation Programs, Energy
Employees’ Occupational Illness
Compensation Program Act File, which
is being established in order to
adjudicate claims of current and former
employees of the Department of Energy,
its contractors, and predecessor
agencies, and other individuals for
compensation under the Energy
Employees’ Occupational Illness
Compensation Programs Act (EEOICPA).
DOL/ESA–50 is a new system entitled
Office of Workers’ Compensation
Programs, Physicians and Health Care
Providers Excluded under the Energy
Employees’ Occupational Illness
Compensation Program Act, which is
being established as a companion
system to DOL/ESA–49 in order to
adjudicate claims of individuals for
compensation under the Energy
Employees’ Occupational Illness
Compensation Programs Act (EEOICPA).
DOL/ESA–51 is a new system entitled
OLMS Public Disclosure Request
Tracking System, which is being
established to process requests made to
the OLMS Public Disclosure Room, to
prepare requests for payment, and to
process payments.
Employment and Training
Administration (ETA)
DOL/ETA–1, Bureau of
Apprenticeship and Training, Budget
and Position Control File, has been
amended to include information from
DOL/ETA–2, Bureau of Apprenticeship
and Training, Program Management
Group, Budget and Position Control
File.
DOL/ETA–2 has been deleted since its
records and function have been
transferred into to DOL/ETA–1.
DOL/ETA–4, Apprenticeship
Management System (AMS), is being
renamed Apprenticeship Information
Management System (AIMS).

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DOL/ETA–8, Job Corps Management
Information System (JCMIS) File is being
renamed Job Corps Student Pay,
Allotment and Management Information
System (SPAMIS).
DOL/ETA–21, Employment and
Training Administration Advisory
Committees Members Files, has been
deleted. Information and data for all of
the Department’s advisory committees
have been transferred to the Office of
Small Business Programs(SBA) which
has established a new system of records
for this purpose, entitled DOL/OSBP–2,
Department of Labor Advisory
Committees Members Files.
DOL/ETA–23, Federal Committee on
Apprenticeship, has been deleted. The
information is to be included in a new
department-wide system DOL/OSBP–2,
described above.
DOL/ETA–25, DOL/ETA Evaluation
Research Projects of the Unemployment
Compensation System, has been
amended to reflect a new name, and a
new system manager.
DOL/ETA–27, Youth Opportunity
Grant Program Information Files, is a
new management information system
designed to facilitate the uniform
compilation and analysis of
programmatic data necessary for
reporting, monitoring, and evaluation
purposes.
Office of Inspector General (OIG)
DOL/OIG–1, General Investigative
Files, Case Tracking Files, and Subject/
Title Index, USDOL/OIG, has been
amended to reflect the title change (to
Investigative Files, Case Tracking
System, Analysis, Complaints,
Inspections, and Evaluation Files,
describe the system’s categories of
records more completely, clarify the
routine uses and reflect the number of
years files are retained.
DOL/OIG–2, Freedom of Information/
Privacy Act Records, has been amended
to clarify the routine uses.
DOL/OIG–3, Case Development
Records, has been amended to reflect its
title change (to Investigative Case Files,
Case Development and Intelligence
Records), to clarify the routine uses and
to reflect the number of years
information is retained.
DOL/OIG–5, Audit Information,
Tracking and Reporting System US
DOL/OIG, has been amended to clarify
the routine uses and to change the
number of years files are retained.
Bureau of International Labor Affairs
(ILAB)
DOL/ILAB–2, entitled Senior
Technical Assistance Register, has been
deleted since this program has ended
and the records have been destroyed.

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Mine Safety and Health Administration
(MSHA)
DOL/MSHA–1, Coal and Metal and
Nonmetal Mine Accident, Injury, and
Illness, has been amended to make
editorial changes and corrections to
these paragraphs: system name, system
location, safeguards, retention and
disposal, and system manager and
address.
DOL/MSHA–3, Metal and Nonmetal
Mine Safety and Health Management
Information System, has been amended
to make an editorial change in the area
of retention and disposal.
DOL/MSHA–10, Discrimination
Investigations, has been amended to
make editorial changes and corrections
to the categories of: Categories of
Records in the system, Retrievability,
Safeguards, Notification Procedure,
Records Source categories, and to delete
information in the categories of Record
Access procedures and Contesting
Record procedures.
DOL/MSHA–13, Coal Mine Respirable
Dust Program, has been amended to
make editorial changes, clarify
categories of records in the system, and
to update the retention and disposal
procedures.
DOL/MSHA–15, Health and Safety
Training and Examination Records, is
revised to add clarity to the descriptions
of types, uses, and safeguard of records,
and to modify the retention and
disposal section of the record system.
DOL/MSHA–18, Coal Mine Safety
and Health Management Information
System, has been amended to remove
references to training personnel and add
information related to samples taken by
inspectors.
DOL/MSHA–19, Employee Conduct
Investigations System, is amended to
make editorial changes and corrections
in the categories of: Categories of
Records in the System; Storage;
Safeguards; and Records Access
Procedures.
DOL/MSHA–20, Civil/Criminal
Investigations, has been amended to
make editorial changes and corrections
to the categories of: Individuals Covered
by the System, Records in the System,
Authority for Maintenance of the
System, Retrievability, Notification
Procedure, and to delete information in
categories of Record Access Procedures
and Contesting Record Procedures.
DOL/MSHA–21, Assessments and
Civil Penalty Debt Collection Activity
and Reporting System, is a new system
to maintain records on operating
companies and individuals indebted to
the U.S. Department of Labor, Mine
Safety and Health Administration, for
civil penalties assessed as a result of

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violations of the Mine Safety and Health
Act of 1977 (Mine Act).
DOL/MSHA–22, Education Policy
and Development; National Mine Health
and Safety Academy Permanent Record
Card, is a new system to maintain
records on Mine Safety and Health
inspectors who receive training. Records
are used to track training and grades.
DOL/MSHA–23, Educational Policy
and Development; Education Field
Services (EFS) Activity Reporting
System, is a new system of records. The
Mine Safety and Health Administration
has transferred all training specialists
from Coal Mine Safety and Health and
Metal/Nonmetal Safety and Health to
Educational Policy and Development.
This new system of records has been
established to track information on the
training specialists with regard to the
mine being visited; number of personnel
contacted; activities conducted; time
spent on activities; and information on
time utilization for Training Specialists.
DOL/MSHA–24, Radon Daughter
Exposure, is a new system of records for
the purpose of preventing over exposure
of miners to radon daughters, a form of
radiation which has been documented
as causing cancer in humans and is well
known as a severe hazard for metal and
nonmetal miners.
Occupational Safety and Health
Administration (OSHA)
DOL/OSHA–1, Discrimination
Complaint File, is amended by revising
the categories of System Location,
Individuals Covered, Authority, System
Manager, Purpose and Routine Uses.
DOL/OSHA–4, Advisory Committee
Candidates’ Biographies, is being
deleted. As noted above, information
and data for all of the Department’s
advisory committees have been
transferred to the Office of Small
Business Programs(OSBP) which has
established a new system of records for
this purpose, entitled DOL/OSBP–2,
Department of Labor Advisory
Committees Members Files.
DOL/OSHA–10, OSHA Train-theTrainer Outreach Program, is amended
by revising several of the categories,
including the name of this system to the
above name.
Pension and Welfare Benefits
Administration (PWBA)
DOL/PWBA–1, Employee Retirement
Income Security Act Advisory Council
on Employee Welfare and Pension
Benefit Plan, has been deleted and is
included in the Department-wide
system, entitled DOL/OSBP–2.
DOL/PWBA–2, Office of Enforcement
Index Cards and Investigation Files, has
been renamed as PWBA

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EnforcementManagement System due to
the elimination of the use of index
cards. The system has been
computerized. No other substantive
changes have been made.
DOL/PWBA–3, ERISA Coverage
Correspondence Files, has been
renamed as PWBA Correspondence Files
to reflect that the system has been
expanded to several PWBA national and
field office components. The categories
for System Location(s) and System
Manager(s) reflect these changes. The
Categories of Individuals Covered has
been simplified. Categories of Records,
Purpose and Retention and Disposal
have been expanded to better reflect the
variety of documents in the system.
DOL/PWBA–4, Inquiry
Correspondence Files, has been
renamed as Technical Assistance and
Inquiry System. The system is now in
use in all PWBA offices and services are
now provided via telephone as well as
through correspondence. The entire
notice has been adjusted to reflect the
expansion of the technical assistance
program and to correct the retention and
disposal information.
DOL/PWBA–5, Public Disclosure
Request Tracking System, has been
amended to reflect the change in
location of the system and clarify the
Categories of Individuals Covered and
correct the Retention and Disposal
Category.
DOL/PWBA–6, entitled PWBA Debt
Collection/Management System, has
been amended to clarify the Categories
of Individuals Covered and the
Categories of Records in the System.
DOL/PWBA–7, entitled Employee
Conduct Investigations, has been
amended to correct the system location.
DOL/PWBA–8, entitled PWBA
Consolidated Training Record is a new
system of records which is used to
identify which employees have
completed certain training courses, and
the number of employees awaiting
training.
DOL/PWBA–9, entitled Office of
Enforcement Correspondence Tracking
System is a new system of records used
to track the progress of correspondence
through the Office of Enforcement.
DOL/PWBA–10, entitled PWBA Civil
Litigation Case Information System, is a
new system of records used to access
information related to civil litigation
case files involving investigation
initiated by DOL under Title I of ERISA.
DOL/PWBA–11, entitled PWBA
Criminal Case Information System, is a
new system of records used to maintain
information about the progress and/or
disposition of criminal cases involving
private sector employee benefit plans.

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DOL/PWBA–12, entitled Publication
Hotline Requests, is a new system of
records used to process requests made
to the PWBA toll-free hotline for
publications.
DOL/PWBA–13, entitled Office of
Exemption Determinations ERISA
Section 502(l) Files, is a new system of
records used to document the
Department’s response to petitioners’
requests for relief from the Section
502(l) penalties assessed upon those
who are found to have violated the
fiduciary and prohibited transaction
provisions of Part 4 Title I of ERISA.
DOL/PWBA–14, entitled Investment
Advisor Registration Data Base, is a new
system of records used to develop a
listing of individuals who have status as
an investment advisor under ERISA.
DOL/PWBA–15, entitled, PWBA
Inventory Management Data Base, is a
new system of records used to identify
the makes and models of all PWBA
owned ADP hardware, the equipment’s
current location within the agency and
the individual to whom it is assigned.
DOL/PWBA–16, entitled, Form
5500EZ, is a new system of records
which maintains records on individuals
who have filed pension plan reporting
Form 5500EZ.
Office of Small Business Programs
(OSBP)
DOL/OSBP–2, Department of Labor
Advisory Committee Members Files, is a
new system of records which centralizes
all of the advisory committees’ members
files which were previously maintained
by the various component agencies of
the Department.
Office of the Solicitor (OSOL)
DOL/SOL–1, Conflict of Interest File,
has been deleted because its remaining
records and function have been
transferred into an enlarged DOL/SOL–
15, Solicitor’s Office Litigation Files.
Older records from this system have
been destroyed pursuant to the records
retention schedule.
DOL/SOL–2, Employment and
Training Legal Services Litigation and
Investigation File, has been deleted,
because its records and function have
been transferred into an enlarged DOL/
SOL–15, Solicitor’s Office Litigation
Files.
DOL/SOL–5, Job Training Partnership
Act, has been renamed as the Workforce
Investment Act Tort Claims Files, and
has been amended to reflect that its
underlying statute has been superceded,
and that its system’s location has been
narrowed to the Offices of the Regional
Solicitors.
DOL/SOL–8, Special Litigation Files,
has been deleted because its remaining

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records and function have been
transferred into an enlarged DOL/SOL–
15, Solicitor’s Office Litigation Files.
Older records from this system have
been destroyed pursuant to the records
retention schedule.
DOL/SOL–10, Privacy Act Litigation
Files, has been deleted, because its
records and function have been
transferred into an enlarged DOL/SOL–
15, Solicitor’s Office Litigation Files.
DOL/SOL–11, Division of Civil Rights
Defensive Litigation Files, has been
deleted, because its records and
function have been transferred into an
enlarged DOL/SOL–15, Solicitor’s Office
Litigation Files.
DOL/SOL–12, Third-Party Recovery
Files, has been deleted, because its
records and function have been
transferred into an enlarged DOL/SOL–
15, Solicitor’s Office Litigation Files.
DOL/SOL–14, DOL Subpoena
Tracking System, has been deleted,
because its records and function have
been transferred into an enlarged DOL/
SOL–15, Solicitor’s Office Litigation
Files.
DOL/SOL–15, Solicitor’s Office
Litigation Files, has been greatly
enlarged in order to accept information
from the six litigation systems, which
have been deleted, as noted above.
DOL/SOL–16, Solicitor’s Office
Directory of Senior Management, has
been deleted because these records are
no longer maintained. Older records
from this system have been destroyed
pursuant to the record retention
schedule.
DOL/SOL–17, Solicitor’s Office
Equipment Files, has been renamed and
enlarged in order to contain all of the
component’s equipment.
Veterans Employment and Training
Administration (VETS)
DOL/VETS–1, Veterans’
Reemployment Complaint File, has been
renamed as the Uniformed Services
Employment and Re-employment Right
Act (USERRA) Complaint File.
DOL/VETS–2, Veterans’ Preference
Complaint File, has been renamed as
Veterans’ Preference Complaint File
under the Veterans Equal Opportunities
Act of 1998 (VEOA). It has been
amended to reflect its new function of
investigating possible violations of those
federal laws pertaining to veterans’
preference and other special
considerations related to employment
with Federal agencies.
Routine Uses of the Records
The Department, in the General
Prefatory Statement, sets forth twelve
paragraphs containing routine uses of
the records which apply to all systems.

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The first eleven routine uses are a more
refined version of those universal
routine uses which were published on
September 23, 1993, at pages 49554–
49555 of Volume 58 of the Federal
Register. The twelfth routine use is a
new use.
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 governmentwide 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.
These systems are the Federal
Employees’ Compensation Act files and
the Job Corps Student Records.
Signed at Washington, DC, this 19th day of
March, 2002.
Elaine L. Chao,
Secretary of Labor.
Table of Contents
General Prefatory Statement
Government-Wide Systems by the U.S.
Department of Labor
DOL/GOVT–1—Office of Workers’
Compensation Programs, Federal Employees’
Compensation File.
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.

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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.

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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.

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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.

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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.
Pension and Welfare Benefits Administration
(PWBA)
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.

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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.
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: (a) The agency
or any component thereof; or (b) any
employee of the agency in his or her official
capacity; or (c) the United States
Government, is a party to litigation or has an
interest in such litigation, and by careful
review, the agency determines that the
records are both relevant and necessary to the
litigation, and the use of such records by the
Department of Justice is for a purpose that is

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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 Pub.
L. 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

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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 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.
B. System Location—Flexiplace Programs
The following paragraph applies to and is
incorporated by reference into all of the
Department’s systems of records under the
Privacy Act, within the category entitled,
SYSTEM LOCATION:
‘‘Pursuant to the Department of Labor’s
Flexiplace Programs, copies of records may
be temporarily located at alternative
worksites, including employees’ homes or at
geographically convenient satellite offices for
part of the workweek. All appropriate
safeguards will be taken at these sites.’’
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’

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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 governmentwide 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.

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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.

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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

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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

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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 FECAcovered 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

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16827

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

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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,

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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.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status and history of
overdue debts, the name and address,
taxpayer identification (SSAN), and
other information necessary to establish
the identity of a debtor, the agency and
program under which the claim arose,
may be disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting
agencies as defined by section 603(f) of
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or in accordance with section
3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966 as amended (31
U.S.C. 3711(f)) for the purpose of
encouraging the repayment of an
overdue debt.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper case files are maintained in
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

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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 nonexempt 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

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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.

DOL/GOVT–2

CONTESTING RECORD PROCEDURES:

SYSTEM LOCATION:

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.

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SYSTEM NAME:

Job Corps Student Records.
SECURITY CLASSIFICATION:

None.
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 THE 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.

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16829

(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

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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

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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 PROCEDURES:

Requests for access of terminated
student’s records are to be directed to
the appropriate U.S. DOL Regional Job
Corps Office, or to the System Manager
at the above address. Requests for
current records can be directed to the
appropriate center director or screening
contractor.
RECORD ACCESS PROCEDURES:

A request for access to a record from
this system shall be made in writing to
the System Manager or appropriate
center director, Regional Job Corps
Director, or screening contractor, in
accordance with rules and regulations of
the Privacy Act of 1974, as amended,
with the envelope and the letter clearly
marked ‘‘Privacy Act Request’’, and the
record sufficiently described in the
letter for identification.
CONTESTING RECORD PROCEDURES:

Individuals desiring to contest or
amend information maintained in this
system should direct their request to the
System Manager listed above, or
appropriate center director, Regional Job
Corps Director, or screening contractor,
stating clearly and concisely what
information is contested, the reasons for
contesting the information, and the
proposed amendment to the information
sought. Details required for records
identification are: (a) Full Name(s) (i.e.,
name during enrollment); (b) 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:

DOL/OSEC–1
SYSTEM NAME:

Supervisor’s/Team Leader’s Records
of Employees.

Frm 00016

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):

None.

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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.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES AND USERS AND
THE PURPOSE 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.

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

DOL/OASAM–4
SYSTEM NAME:

Safety and Health Information
Management System (SHIMS).
SECURITY CLASSIFICATION:

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

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:

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:

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DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

STORAGE:

Records are stored on computer disks,
and on hard copies filed in locked file
cabinets.
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:

DOL employees and Job Corps
students involved in occupationally
related accidents, injuries and illnesses.

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.

CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Reports of on-the-job accidents,
injuries, and illnesses generated as a
result of filing forms CA–1, CA–2, and
CA–6.

Director, Safety and Health Center,
OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington,
DC 20210.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

NOTIFICATION PROCEDURE:

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.

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

PURPOSE(S):

All supervisor(s)/team leader(s)
having responsibility for performance
management plans, performance
standards, or ratings.

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

RETRIEVABILITY:

SYSTEM LOCATION:

Records are maintained in manual
files.

POLICIES FOR STORING, RETRIEVING, ACCESSING,
RETAINING, AND DISPOSING OF RECORDS IN THE
SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

None.

reported through the SHIMS; and (e) to
use as a reference when adjudicating
tort and employee claims.

None.

None.

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.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

16831

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

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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

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CATEGORIES OF RECORDS IN THE SYSTEM:

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.
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.

19:00 Apr 05, 2002

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):

SYSTEM LOCATION:

VerDate 112000

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.

Jkt 197001

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

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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

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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, AND 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.

approximate dates when EAP services
were received, date and place of birth,
and signature.
RECORD ACCESS PROCEDURES:

Follow the same steps described
above.

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

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

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.
RECORDS 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

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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:

CONTESTING RECORD PROCEDURES:

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.

16833

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

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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 WageHour 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.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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)

VerDate 112000

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.

19:00 Apr 05, 2002

Jkt 197001

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

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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 governmentwide 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 governmentwide 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

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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, factfinder’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.

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19:00 Apr 05, 2002

Jkt 197001

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.

STORAGE:

Manual file.
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.

Fmt 4701

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 PROCEDURE:

See Notification Procedure above.
CONTESTING RECORD PROCEDURE:

Contact the personnel office where
the grievance was processed.
Individuals must furnish the following
information for their records to be
located and identified:
a. Name;
b. Approximate date of closing of the
case and kind of action taken; and
c. Organizational component
involved.
RECORDS 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

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:

RETRIEVABILITY:

Frm 00021

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM NAME:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, SAFEGUARDING, AND RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

PO 00000

16835

Sfmt 4703

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

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

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).

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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.

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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;

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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,

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CATEGORIES OF RECORDS IN THE SYSTEM:

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.

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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 USE OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records and information in
these records that are relevant and
necessary may be used:
a. To disclose information to 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.

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16837

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 PROCEDURES:

Contact system manager at above
address.
RECORD ACCESS PROCEDURE:

Contact system manager at above
address.
CONTESTING RECORD PROCEDURE:

Contact system manager at above
address.
RECORD SOURCE CATEGORIES:

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 decisionmaking 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

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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.

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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

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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, ASSESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are maintained in file folders
and on index cards.
RETRIEVABILITY:

Records are retrieved by the name of
the individual on whom they are
maintained.
SAFEGUARDS:

Folders are maintained in file cabinets
secured by three position combination
locks. The index to the system and those
records which are maintained on index
cards are contained in covered and
locked Wheeldex machines. All
employees are required to have an
appropriate security clearance before
they are allowed access to the records.
RETENTION AND DISPOSAL:

a. Index cards which show the
scheduling or completion of an
investigation, and investigative files, if
any, are retained for 2 years, plus the
current year from the date of the most
recent investigative activity. Other

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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.

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:

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.

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

CONTESTING RECORD PROCEDURES:

SYSTEM NAME:

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.

Civil Rights Center Discrimination
Complaint Case Files.

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SECURITY CLASSIFICATION:

None.
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

Frm 00025

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):

SYSTEM LOCATION:

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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

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governments that exercise
responsibilities, regulate, or administer
services, programs, or activities in all
programs, services, and regulatory
activities relating to labor and the
workforce.

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.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SYSTEM MANAGER(S) AND ADDRESS:

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.

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.
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.

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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:

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

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

NOTIFICATION PROCEDURE:

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).

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETENTION AND DISPOSAL:

Civil Rights Center, OASAM, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.

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

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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

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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.

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:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Individuals who have submitted
Privacy Act and Freedom Of
Information Act requests under (5
U.S.C. 552a and 552).

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

This system contains initial requests
under the Acts, responses, and related
documents.

Paper records in file cabinets.
Computer records within a computer
and attached equipment.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETRIEVABILITY:

By name and/or social security
number of traveler.

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).

SAFEGUARDS:

PURPOSE(S):

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-toknow basis.

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.

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.

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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.

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16841

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.

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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.

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

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:

SYSTEM NAME:

Intergovernmental Personnel Act
Assignment Records.
SECURITY CLASSIFICATION:

Director, Human Resource Services
Center, U.S. Department of Labor, 200
Constitution Avenue, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

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:

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.
RECORDS 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.

The Intergovernmental Personnel Act
of 1970. (5 U.S.C. 3371 through 3376).

SECURITY CLASSIFICATION:

PURPOSE(S):

SYSTEM LOCATION:

CONTESTING RECORD PROCEDURES:

These records are maintained to
document and track mobility
assignments under IPA.

A petition for amendment shall be
addressed to the System Manager listed
above.

Office of Facilities Management,
Frances Perkins Building, 200
Constitution Avenue, NW, Washington,
DC 20210.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

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

VerDate 112000

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Jkt 197001

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.

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None.

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

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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.

RECORD ACCESS PROCEDURE:

Individuals wishing to request access
to records should contact the
appropriate office listed in the
notification procedure section.
Individuals must furnish the name or
permit number for the record they wish
to access.
CONTESTING RECORDS PROCEDURES:

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.
RECORDS 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.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOL/OASAM–27

None.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
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:

SYSTEM NAME:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Employee/Contractor Identification
Program.

STORAGE:

SECURITY CLASSIFICATION:

Manual files are stored in a local,
three drawer file cabinet. Computer
records are stored in a personal
computer with a password control.

None.

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:

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Jkt 197001

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 OF MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
To maintain records on the
identification of persons to be rightfully
admitted to DOL facilities.

Frm 00029

Fmt 4701

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.

PURPOSE(S):

PO 00000

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
RECORD ACCESS PROCEDURE:

SYSTEM LOCATION:

RETRIEVABILITY:

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Director, Office of Facilities
Management, 200 Constitution Avenue,
NW, Washington, DC 20210.

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DOL/OASAM–28
SYSTEM NAME:

Incident Report/Restriction Notice.

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SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURE:

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.

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.

5 U.S.C. 301.

Sources of information contained in
this system are from individuals, DOL
records, Federal Protective Service
records and FBI records.

None.

PURPOSE(S):

DOL/OASAM–29

Records provide a means of
identifying security problems thereby
making it possible to better utilize
security resources.

SYSTEM NAME:

OASAM Employee Administrative
Investigation File.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSE OF SUCH USES:

SECURITY CLASSIFICATION:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

SYSTEM LOCATION:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

CATEGORIES OF INDIVIDUALS COVERED BY 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.
Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.

19:00 Apr 05, 2002

Jkt 197001

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:

NOTIFICATION PROCEDURE:

VerDate 112000

None.
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.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

5 U.S.C. 301.
PURPOSE(S):

To maintain records on investigations
of allegations of misconduct.

PO 00000

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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.

RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

AUTHORITY OF MAINTENANCE OF THE SYSTEM:

ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USERS:

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.
RECORDS 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

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PURPOSE(S):

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:

None.
SYSTEM LOCATION:

A. Offices in Washington, DC: Safety
and Health Center, OASAM, and
B. OASAM Regional Personnel
Offices.

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.

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.

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.

RETENTION AND DISPOSAL:

Records are maintained in the ICS
system for 5 years.
SYSTEM MANAGER(S) ADDRESS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Jkt 197001

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

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.

SECURITY CLASSIFICATION:

19:00 Apr 05, 2002

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

Injury Compensation System (ICS).

VerDate 112000

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.

16845

Director, Office of Safety and Health,
U.S. Department of Labor, 200
Constitution Avenue, NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

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 CONSUMER REPORTING
AGENCIES:

None.

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.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Records are maintained in manual
files and on computer disks.

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.

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Fmt 4701

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STORAGE:

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

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
CATEGORIES OF RECORDS IN THE SYSTEM:

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.

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.
To maintain records on the Transit
Subsidy Program.

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:

DOL/OASAM–32

Transit Subsidy Management System.
SECURITY CLASSIFICATION:

None.

SECURITY CLASSIFICATION:

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.

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19:00 Apr 05, 2002

Jkt 197001

Entity Database.
None.
SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

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:

RETENTION AND DISPOSAL:

Director, Business Operations Center,
OASAM, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington
DC, 20210.
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 RECORDS PROCEDURES:

A petition for amendments shall be
addressed to the System Manager and

PO 00000

Frm 00032

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.

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.

NOTIFICATION PROCEDURES:

SYSTEM LOCATION:

DOL/OASAM–33

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

SYSTEM MANAGER(S) AND ADDRESS:
SYSTEM NAME:

None.

SYSTEM NAME:

Records are retained for three years
and then destroyed.

Not applicable.

Information contained in this system
is from the DOL Payroll System and the
applicant.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None.

RECORDS ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

PURPOSE(S):

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.

must meet the requirements of the DOL
Privacy Act regulations at 29 CFR 71.

Fmt 4701

Sfmt 4703

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
PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

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

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
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.

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
PURPOSE 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 nonmedical 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:

CONTESTING RECORDS PROCEDURES:

None.

16847

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 RECORDS 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:

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.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

SYSTEM NAME:

RECORD SOURCE CATEGORIES:

Records are maintained in locking file
cabinets, and in computer files.

DOL Child Care Subsidy Program
Records.

RETRIEVABILITY:

SECURITY CLASSIFICATION:

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.

Records may be retrieved by name.
SAFEGUARDS:

RETENTION AND DISPOSAL:

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

Records are destroyed five years after
a member terminates membership in
DOLFA.

19:00 Apr 05, 2002

Jkt 197001

PO 00000

Frm 00033

DOL/OASAM–35

None.
SYSTEM LOCATION:

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.

SYSTEM LOCATION:

VerDate 112000

None.

Fmt 4701

Sfmt 4703

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

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

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.

CONTESTING RECORD PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

DOL employees who apply for the
child care subsidy program.

Pub. L. 106–58, sec. 643 and E.O.
9397.

RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

PURPOSE(S):

To establish and verify DOL
employees’ eligibility for child care
subsidies in order for DOL to provide
monetary assistance to its employees.

None.

SYSTEM NAME:

None, except for those universal
routine uses set forth in the General
Prefatory Statement to this document.

PeoplePower.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

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.

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.

RETRIEVABILITY:

By name.

CATEGORIES OF RECORDS IN THE SYSTEM:

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.
RECORDS ACCESS PROCEDURE:

Individuals wishing to request access
to records pertaining to them should
contact the system manager.

19:00 Apr 05, 2002

Jkt 197001

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

PO 00000

Frm 00034

workflow within the human resources
offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

DOL/OASAM–36

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

VerDate 112000

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).

Fmt 4701

Sfmt 4703

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 PROCEDURES:

Inquiries should be mailed or
presented to the system manager noted
at the address listed above.

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RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the system manager listed
above.
CONTESTING RECORDS 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

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

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

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16849

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; WagnerPeyser 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 hearingrelated 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.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES 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 PROCEDURES:

Inquiries regarding the existence of
records should be in the form of a
written, signed request to the above
address.
RECORD ACCESS PROCEDURES:

As in notification procedures.
CONTESTING RECORD PROCEDURES:

As in notification procedures.
RECORD SOURCE CATEGORIES:

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.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

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

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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; WagnerPeyser 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

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
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.
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

19:00 Apr 05, 2002

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.

Jkt 197001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Administrative Procedure Act, 5
U.S.C. 553, 554, 556, 557, 571 et seq.;
Department of Labor Acquisition
Regulation, 48 CFR Chapter 29;
Department of Labor Manual Series,
Chapter 2–800.
PURPOSE(S):

To maintain a contractor list to assist
in managing agency contracts with
contractors.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

NOTIFICATION PROCEDURES:

Inquiries regarding the existence of
records should be in the form of a
written, signed request to the above
address.
RECORD ACCESS PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files and computer disk.

As in notification procedures.

RETRIEVABILITY:

By contractor’s name.

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:

SAFEGUARDS:

Access limited to agency personnel
who manage the contractors. Routine
computer precautions limiting access to
authorized users.
RETENTION AND DISPOSAL:

Records are maintained for three years
after the contract relationship between
the contractor and the Office of
Administrative Law Judges has ended,
and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

DOL/OALJ–3

Director of Program Operations, U.S.
Department of Labor, Office of
Administrative Law Judges (OALJ), 800
K St., NW, Washington, DC 20001.

SYSTEM NAME:

NOTIFICATION PROCEDURES:

None.

Contract list.

Inquiries regarding the existence of
records should be in the form of a
written, signed request to the above
address.

SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

RECORD ACCESS PROCEDURES:

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:

RETENTION AND DISPOSAL:

VerDate 112000

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.

16851

Contractors.
Names, addresses and other contact
information regarding contractors.

Frm 00037

Fmt 4701

CONTESTING RECORD PROCEDURES:

As in notification procedures.
RECORD SOURCE CATEGORIES:

Contract applications.

CATEGORIES OF RECORDS IN THE SYSTEM:

PO 00000

As in notification procedures.

Sfmt 4703

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

DOL/OALJ–4

RECORD ACCESS PROCEDURES:

As in notification procedures.

SYSTEM NAME:

Notification List.

CONTESTING RECORD PROCEDURES:

As in notification procedures.

SECURITY CLASSIFICATION:

Unclassified.

RECORD SOURCE CATEGORIES:

Web site users.

SYSTEM LOCATION:

U.S. Department of Labor, Office of
Administrative Law Judges (OALJ), 800
K St., NW, Washington, DC 20001.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DOL/ARB–1

Registrants for e-mail notifications of
web site updates.

SYSTEM NAME:

CATEGORIES OF RECORDS IN THE SYSTEM:

None

Administrative Review Board Appeals
Files-DOL ARB–1.

Names and e-mail addresses of
registrants.

SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM LOCATION:

Administrative Procedure Act, 5
U.S.C. 553, 554, 556, 557, 571 et seq.

Administrative Review Board, U.S.
Department of Labor, 200 Constitution
Ave., NW, Washington, DC 20210.

None.

PURPOSE(S):

To provide e-mail notifications of web
site updates to registrants.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those uses listed in
the General Prefatory Statement to this
document.

Parties in cases which are before the
Secretary, Deputy Secretary or other
deciding officials of the Department and
for which ARB is assigned
responsibility.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information and decisions assembled
in case files pertaining to proceedings
relating to administrative adjudications
of orders and decisions issued by
Departmental officials and
Administrative Law Judges.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING , RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

STORAGE:

Computer disk.
RETRIEVABILITY:

By name or e-mail address.
SAFEGUARDS:

Access limited to agency personnel
who manage the web site. Routine
computer precautions limiting access to
authorized users.
RETENTION AND DISPOSAL:

Records are maintained until the
registrant asks to be removed from the
notification list, or the e-mail address
expires, and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Program Operations, U.S.
Department of Labor, Office of
Administrative Law Judges (OALJ), 800
K St., NW, Washington, DC 20001.
NOTIFICATION PROCEDURES:

Inquiries regarding the existence of
records should be in the form of a
written, signed request to the above
address.

VerDate 112000

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

19:00 Apr 05, 2002

Jkt 197001

Surface Transportation Assistance Act
of 1982, 49 U.S.C. app. 2305 (1988);
Energy Reorganization Act of 1974, as
amended, 42 U.S.C. 5851 (1988); Clean
Air Act, 42 U.S.C. 7622 (1988); Water
Pollution Control Act, 33 U.S.C. 1367
(1988); Solid Waste Disposal Act, 42
U.S.C. 6971(a) (1988); Safe Drinking
Water Act, 42 U.S.C. 300j–9(I) (1988);
Toxic Substances Control Act, 15 U.S.C.
2622 (1988); Comprehensive
Environmental Response Compensation
and Liability Act, 42 U.S.C. 9610 (1988);
Comprehensive Employment and
Training Act, as amended, 29 U.S.C.
801–999 (Supp. V 1981); Job Training
Partnership Act, 29 U.S.C. 1501–1781
(1988); The Workforce Investment Act
of 1998, 29 U.S.C. 2801 et seq., DavisBacon Act, 40 U.S.C. 270a (1994);
McNamara-O’Hara Service Contract Act
of 1965, as amended, 41 U.S.C. 351–358
(1988); Migrant and Seasonal
Agricultural Worker Protection Act, 29
U.S.C. 1813(b), 1853(b) (1988);
Longshore and Harbor Workers’
Compensation Act, 33 U.S.C. 907(j)

PO 00000

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Sfmt 4703

(1988); Walsh-Healey Public Contracts
Act, as amended, 41 U.S.C. 35–45
(1988); Age Discrimination Act of 1975,
42 U.S.C. 6101–6107 (1988); Title VI of
the Civil Rights Act of 1964, as
amended, 42 U.S.C. 601–605 (1988);
Contract Work Hours and Safety
Standards Act, 40 U.S.C. 327–332
(1988); Title IX of the Education
Amendments of 1972, 20 U.S.C. 1681–
1686 (1988); Employee Polygraph
Protection Act of 1988, 29 U.S.C. 2001–
2009 (1988); Equal Access to Justice Act,
5 U.S.C. 504 (1988); Executive Order
No. 11,246, as amended, 3 CFR 339
(1964–1965 Comp.) reprinted in 42
U.S.C. 2000e app. at 28–31 (1988); Fair
Labor Standards Act of 1938, as
amended, 29 U.S.C. 203(m) and (t),
211(d), 214(c) (1988); Federal
Unemployment Tax Act, 26 U.S.C. 3304;
Immigration Reform and Control Act of
1986, 8 U.S.C. 1101(a)(15)(H)(ii)(a),
1184(c), 1188 (1988); National
Apprenticeship Act, 29 U.S.C. 50
(1988); Program Fraud Civil Remedies
Act of 1986, 31 U.S.C. 3801–3812
(1988); Sections 503 and 504 of the
Rehabilitation Act of 1973, as amended,
29 U.S.C. 793, 794 (1988); Social
Security Act, 42 U.S.C. 503 (Supp. V
1987); Single Audit Act of 1984, 31
U.S.C. 7500–7507 (1988); Trade Act of
1974, as amended, 26 U.S.C. 3302;
Vietnam Era Veterans Readjustment
Assistance Act, as amended, 38 U.S.C.
4212 (1988); and any laws enacted after
May 3,1996, which by statute, law or
regulation provide for final decisions by
the Secretary of Labor upon appeal or
review of decisions or recommended
decisions of ALJs.
PURPOSE(S):

The records are maintained for use in
adjudication of cases before the ARB.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosures may be made to District
Courts or Courts of Appeals that are
relevant to appeals from ARB decisions.
ARB decisions are published on the
ARB web-site by using a link to the
Internet web-site maintained by the
Office of Administrative Law Judges
(ALJs) where the decisions are
published.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, REMAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Maintained in manual form in file
folders and containers, and with case

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tracking information in a computer
system.
RETRIEVABILITY:

Indexed by name of complainant,
respondent, and docket number.
SAFEGUARD

Kept in offices which are locked
during non-work hours. Computer data
are protected by use of a password.
RETENTION AND DISPOSAL:

After the ARB function is completed,
case records are returned to Office of
Administrative Law Judges or to the
other originating office, except for
Davis-Bacon or Service Contract Act
cases which are retained at the Board.
A file containing copies of decisions,
orders and ARB correspondence related
to the case is retained in the office files
for ten years, and thereafter sent to the
National Archives and Records
Administration (NARA) for permanent
retention.
SYSTEM MANAGER(S) AND ADDRESS:

Chairman, Administrative Review
Board, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries regarding records should be
in the form of a written, signed request
to the above address.
As in notification procedure.

The respondents in the National
Agricultural Workers Survey. These will
be randomly selected individuals who
are engaged in crop activities. There
will be approximately 4,000 individuals
per year included in the file.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system will contain records of the
employment history and living
conditions of crop workers and their
families. It will also contain information
about the wages, working conditions
and recruitment procedures, and health
and occupational injury experienced by
crop workers. The records will contain
the names, and addresses of the
respondents in the NAWS. All of this
data will have been obtained in a
personal interview with the
respondents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

CONTESTING RECORD PROCEDURES:

As in notification procedure.
RECORD SOURCE CATEGORIES:

Records include information
submitted by claimants, respondents,
other parties in the case, Administrative
Law Judges, government representatives
and the deciding official.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ASP–1
SYSTEM NAME:

National Agricultural Workers Survey
(NAWS) Research File.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

The NAWS Sponsor, Office of the
Assistant Secretary for Policy, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210;
the office of the System Manager,
currently Aguirre International, 480 East
4th Avenue, Unit A, San Mateo, CA
94401–3349; and in two locations of the

19:00 Apr 05, 2002

CATEGORIES OF INDIVIDUAL COVERED BY THE
SYSTEM:

5 U.S.C. 301.

RECORD ACCESS PROCEDURES:

VerDate 112000

NAWS Co-Sponsor, the National
Institute for Occupational Safety and
Health (NIOSH): (1) The Division of
Surveillance, Health Hazard
Evaluations, and Field Studies, NIOSH,
4676 Columbia Drive, Cincinnati, Ohio
45226, and (2) The Division of Safety
Research, NIOSH, 1095 Willowdale
Road—mail stop 180-p, Morgantown,
West Virginia 26505.

Jkt 197001

To gather and analyze farm worker
data on all demographic, employment,
wage and working conditions, health,
safety, educational, social service, and
housing issues. The demographic
characteristics of farmworkers have
been gathered by the federal government
continuously throughout the postwar
period. Until 1987 they were gathered
by the Current Population Survey
through a supplement and then
elaborated by USDA’s Economic
Research Service (ERS). In 1987, the
OASP/DOL assumed the responsibility
to carry out this national survey,
initially to accomplish the mandate of
the Immigration Reform and Control Act
of 1986 to measure the supply of the
farm labor during fiscal years 1990
through 1993. Along with the task of
carrying out the labor supply estimate
assigned to OASP came the
responsibility and the associated
resources of the traditional survey on
farmworkers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General

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16853

Prefatory Statement to this document
with the following limitations: The
Routine Uses listed at paragraphs 3, 4,
7, 8, 9, and 11 in the General Prefatory
Statement to this document are not
applicable to this system of records. The
records also may be disclosed where
required by law.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

In the initial stages the information
will be stored on interview
questionnaires which will be handled
by Aguirre International of San Mateo
California. This company will transfer
the questionnaires as quickly as possible
to their San Mateo Offices where they
will be kept in locked filing cabinets.
The information will be entered onto
computer and stored on computer tape
by the System Manager, currently
Aguirre International, the System
Sponsor OASP/DOL and by the System
Co-Sponsor NIOSH.
RETRIEVABILITY:

By names of respondents.
SAFEGUARDS:

The practice and procedure of the
Assistant Secretary for Policy prohibits
the transfer of any record filed with a
personal identifier to any location
outside of the contractors’ (currently
Aguirre International) premises. At all
the other system locations, including
OASP/DOL, only files without personal
identifiers will be stored. At all
locations, files will be maintained with
secure password protection.
RETENTION AND DISPOSAL:

Names will be removed from the
records and destroyed not later than
four years after the collection of the
data.
SYSTEM MANAGER(S) AND ADDRESS:

The NAWS Sponsor, Office of the
Assistant Secretary for Policy, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210;
the System Manager, currently Aguirre
International, 480 East 4th Avenue, Unit
A, San Mateo, CA, 94401–3349; and the
NAWS Co-Sponsor, the National
Institute for Occupational Safety and
Health (NIOSH): (1) The Division of
Surveillance, Health Hazard
Evaluations, and Field Studies, NIOSH,
4676 Columbia Drive, Cincinnati, Ohio
45226, and (2) The Division of Safety
Research, NIOSH, 1095 Willowdale

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Road—mail stop 180-p, Morgantown,
West Virginia 26505.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

NOTIFICATION PROCEDURE:

Disclosure outside the Department of
Labor may be made to federal courts.
BRB decisions are sent to commercial
publishing companies for publication,
and are also placed on the BRB’s
Internet Web site.

Individuals wishing to inquire
whether this system of records contains
information about them should contact
OASP/DOL. Individuals must furnish
the following information for their
records to be located and identified:
a. Full name
b. Year of interview
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to their own records should contact
OASP/DOL and comply with the
requirements of the DOL regulation at
29 CFR part 71.2.
CONTESTING RECORD PROCEDURES:

To seek amendment of record
procedures individuals should direct
their requests to OASP/DOL.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Maintained in manual form in file
folders with data maintained in a
computerized case tracking system.
RETRIEVABILITY:

By Benefits Review Board docket
number, ALJ number, and claimant’s
name.

RECORD SOURCE CATEGORIES:

The information in this system will be
received from respondents.
SYSTEMS EXEMPTED FROM CERTAIN PROVISION
OF THE ACT:

None.
DOL/BRB–1
SYSTEM NAME:

Appeals Files—Benefits Review Board
(BRB).
SYSTEM LOCATION:

Benefits Review Board, 200
Constitution Avenue, NW, Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Parties involved in appeals
proceedings before the Benefits Review
Board.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information assembled in case files
pertaining to appeals to the Benefits
Review Board with respect to claims of
employees for benefits under the
Longshoremen’s and Harbor Workers
Compensation Act as amended, and its
extensions and the Federal Coal Mine
Health and Safety Act, as amended.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

Maintained in offices which are
locked after normal work hours.
Case materials returned to the Office
of Workers’ Compensation Programs,
Employment Standards Administration,
Department of Labor after completion of
Benefits Review Board functions. Copies
of the case decision are retained
permanently.
SYSTEM MANAGER(S) AND ADDRESS:

Clerk of the Board, Benefits Review
Board, U.S. Department of Labor, 200
Constitution Avenue, NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

A written and signed request to the
System Manager stating that the
requester seeks information concerning
records pertaining to him is required.
A request for access may be addressed
to the System Manager. The request
must be in writing and be signed by the
requester.
A petition for amendment shall be
addressed to the System Manager.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Jkt 197001

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Records stored on computer at The
National Institutes of Health, Bethesda,
MD. Access and maintenance is
generally by remote terminal in the
Postal Square Building, 2 Massachusetts
Ave. NE, Washington, DC 20212.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All Regional Office (R.O.) BLS
employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Staff utilization and travel
expenditures data: Name, Social
Security Number, pay period, hours
worked and units accomplished by PAS
code for functions such as personal
visit, telephone collection, training, and
costs for transportation and subsistence.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

To capture and electronically enter
time distribution data into the DOL
Time Distribution and Accounting
Systems. To provide BLS managers a
means of monitoring regional staff hours
worked per unit and travel expenditures
on assigned functions and tasks.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Magnetic tapes and disks.
RETRIEVABILITY:

Retrievable by a data field, including
name and Social Security Number.

CONTESTING RECORD PROCEDURES:

PURPOSE(S):

19:00 Apr 05, 2002

Regional Office Staff Utilization File.

STORAGE:

RECORD ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

VerDate 112000

SYSTEM NAME:

5 U.S.C. 301.

RETENTION AND DISPOSAL:

(a) 30 U.S.C. 901–62 (1982) (b) 33
U.S.C. 901–50 (1982) (c) 42 U.S.C.
1651–54 (1982) (d) 36 DC Code 501–04
(1973) (e) 43 U.S.C. 1331–43 (1982) (f)
5 U.S.C. 8171–73 (1982) (g) 42 U.S.C.
1701–17 (1982)
Records are maintained for use in
adjudication of appeals.

DOL/BLS–3

Records in the system include
information submitted by the claimants,
employers, carriers, and other persons
involved in the appeals proceedings, as
well as by the Government.

None.

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SAFEGUARDS:

Only authorized employees have
access to tapes/disks, to the programs,
and to the Regions’ backup documents.
RETENTION AND DISPOSAL:

Cumulative file is retained by fiscal
year. Original input documents are
retained for 4 years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Field Collection
Activities, Postal Square Building, 2

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Massachusetts Ave. NE, Washington, DC
20212.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

NOTIFICATION PROCEDURE:

Mail all inquiries or present in writing
to System Manager at above address.
Give name, and dates of employment.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

CONTESTING RECORD PROCEDURES:

Retrievable by any element, including
name and SSN.

As above.
RECORD SOURCE CATEGORIES:

SAFEGUARDS:

The ‘‘Staff Utilization Report’’ (Form
SO–1) from each individual R.O.
employee who fills it out each pay
period, (in place of the DL 1–291,
‘‘Project Reporting Form’’) and SF–1012
(Travel Voucher).

Only authorized employees have
access.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/BLS–6
SYSTEM NAME:

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

RETENTION AND DISPOSAL:

Cumulative file is retained by fiscal
year until all analysis is completed, then
it is destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Personnel Officer, Division of Human
Resources and Organization
Management, Postal Square Building, 2
Massachusetts Ave. N.E., Washington,
DC 20212.

None.

RECORD ACCESS PROCEDURES:

SYSTEM LOCATION:

Bureau of Labor Statistics, Postal
Square Building, 2 Massachusetts Ave.
N.E., Washington, DC 20212.

As in notification procedure.
CONTESTING RECORD PROCEDURES:

As in notification procedure.
RECORD SOURCE CATEGORIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individual job applicants who
complete Form E 618, Applicant Race
and National Origin Questionnaire.

Job applicants.
CATEGORIES OF RECORDS IN THE SYSTEM:

DOL Form E 618, Applicant race and
National origin data. Records contain:
Name, SSN, grade, title of position,
location of position, race, occupational
code, date received, ARNO Code, title of
announcement, number of
announcement, authorization number.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SECURITY CLASSIFICATION:

5 U.S.C. 301.

None.
DOL/BLS–7

BLS Employee Conduct Investigation.

PURPOSE(S):

SYSTEM LOCATION:

To comply with the data collection
requirements of the Luevano V. Devine
decree (November 19, 1981) for
applicants. See Civil Service Action
Number 79–0271, 93 Federal Rules
Decisions 68.

Bureau of Labor Statistics, National
Office and eight Regional Offices.

The reports are sent to the Office of
Personnel Management (OPM) to
develop statistical reports on the
number and race of applicants.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

BLS employee(s) against whom any
allegations of misconduct, illegal acts,
conflicts of interest, etc., have been
made.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, organization and other
information relating to the individual
involved. It also contains investigative

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Frm 00041

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records are stored in file folders
in metal cabinets.
RETRIEVABILITY:

SAFEGUARDS:

The files are maintained in locked file
cabinets with access only to those with
a need to know the information to
perform their duties.
RETENTION AND DISPOSAL:

Records are retained for four years
following the date either: (a) They are
referred to the OIG; (b) they are
transferred to OPM/GOVT–3 Records of
Adverse Actions and Actions Based on
Unacceptable Performance; or (c) it is
determined that the allegation was
without sufficient merit to warrant
further action, after which they are
destroyed by burning.
SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM NAME:

None.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

5 U.S.C. 301.

By name or case file number.

NOTIFICATION PROCEDURE:

Requests should be submitted to
above address.

SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

To investigate allegations of problems,
misconduct, illegal acts, and conflicts of
interest.

Magnetic disk packs.

As above.

report(s) associated with the case,
including interviews and other data
gathered.

PURPOSE(S):

STORAGE:
RECORD ACCESS PROCEDURES:

16855

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Personnel Officer, Division of Human
Resources and Organization
Management, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC
20212, and appropriate Regional
Offices.
NOTIFICATION PROCEDURE:

Inquiries should be mailed or
presented to the system manager noted
at the address listed above.
RECORD ACCESS PROCEDURES:

As noted in notification procedure.
CONTESTING RECORD PROCEDURES:

As noted in notification procedure.
RECORD SOURCE CATEGORIES:

Individuals, supervisors, hotline
complaints through the Office of the

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DOL/BLS–9

Inspector General’s hotline; hotline
complaints through the General
Accounting Office’s hotline system;
incident reports submitted by
employees; interview reports and
investigative reports.

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.

SECURITY CLASSIFICATION:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM LOCATION:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/BLS–8
SYSTEM NAME:

BLS Employee ADP Training History.
SECURITY CLASSIFICATION:

None.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The paper records are stored in file
folders in metal cabinets. Machinereadable versions of the records are kept
in a microcomputer database.
RETRIEVABILITY:

Filed and retrieved by course title or
other identifying codes such as course
number. Also, filed and retrieved by the
name or Social Security Number of
employee attending course.
SAFEGUARDS:

The files are maintained in locked file
cabinets with access only to those with
a need to know the information to
perform their duties. Access to machine
readable data will be limited to those
with a need to know.
RETENTION AND DISPOSAL:

Destroy when 5 years old or when
superseded or obsolete, whichever is
sooner.

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

Bureau of Labor Statistics, National
Office.

Chief, Division of Technology
Measurement and Strategic Initiatives,
Room 5110, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC
20212.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SYSTEM NAMES:

Routine Administrative Files.
None.
Bureau of Labor Statistics, Postal
Square Building, 2 Massachusetts Ave.
NE, Washington, DC 20212.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

BLS employees, BLS contractors, and
visitors for longer than 30 days.
CATEGORIES OF RECORDS IN THE SYSTEM:

Several groups of records exist:
records containing tuition information,
contractor ID card records, cardkey
security records, Polaroid ID card
records, DAS separations database
records, imprest fund records, visitor
control records, PSB Phone system
records, facility service requests records,
Sprint telephone card records transit
subsidy records, government credit card
records, and printing and duplications
records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

To record and track routine
administrative data, to maintain
security, to manage the facility, to plan
expenditures, to maintain an employee
locator system, and to process fund
reimbursement vouchers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

BLS employees who take training
under BLS’s ADP training contract.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Inquiries should be mailed or
presented to the system manager noted
at the address noted above.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Employee name, employee Social
Security Number, employee
organization, course taken, course start
date, course end date, total hours for
course, indication whether or not the
course was completed, and cost of the
course for this student to the student’s
organization.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

The records are maintained to enable
BLS to allocate costs of training to
appropriate organization within BLS
and to enable employees’ managers and
employees to determine what courses
employees have taken.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

As noted in notification procedure.
CONTESTING RECORD PROCEDURES:

STORAGE:

As noted in notification procedure.
RECORD SOURCE CATEGORIES:

Application for Training forms such
as DL–101 or other application forms
BLS may designate. Certificates of
course completion and BLS
management information system
records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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None.

Stored on file server with tape backup
capabilities and on personal computer
hard drives with floppy disk backup.
Manual files are stored in a secured area
in locked file cabinets.
RETRIEVABILITY:

By individual’s name and Social
Security Number.
SAFEGUARDS:

Authorized personnel only. File
servers and personal computers are

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located in secured rooms. Passwords are
necessary to access records. Access
levels are created within automated
systems to restrict unauthorized access
to system utilities.
RETENTION AND DISPOSAL:

All records are temporary, usually one
to four years, and disposal is based on
BLS records disposition schedule N1–
257–88–1 and the National Archives
and Records Administration (NARA)
General Records Schedule (GRS)
Numbers 1–4, 6, 11–13, and 18.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Branch of Records Management
and General Services, Division of
Administrative Services, Postal Square
Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.

PURPOSE(S):

To record the receipt of
correspondence, to monitor the
handling of correspondence, and to
facilitate a timely response to
correspondence.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Mail all inquiries or present in writing
to System Manager at above address.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Electronic file server with backup
tapes.
RETRIEVABILITY:

RECORD ACCESS PROCEDURES:

Name, control number, office assigned
response, dates.

As in notification procedure.
CONTESTING RECORD PROCEDURES:

SAFEGUARDS:

As in notification procedure.

Access by authorized personnel only.
Passwords are used.

RECORD SOURCE CATEGORIES:

BLS Form OA–189, OA–193, DL 1–
101, DL 1–107, OAM–165, OA–185,
SO–68, and from individuals concerned.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

RETENTION AND DISPOSAL:

SYSTEM MANAGER(S) AND ADDRESS:

DOL/BLS–10
SYSTEM NAME:

NOTIFICATION PROCEDURE:

Commissioner’s Correspondence
Control System.

Inquiries should be mailed or
presented to the system manager noted
at the address listed above.

SECURITY CLASSIFICATION:

None.

As noted in notification procedure.

Bureau of Labor Statistics, Postal
Square Building, 2 Massachusetts Ave.
NE, Washington, DC 20212.

Individuals from whom
correspondence is received in the
Commissioner’s Office of the Bureau of
Labor Statistics.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information about correspondence
and the originators including the name
of the sender, the subject of the
correspondence, the name of the
individual and office instructed to
prepare a response, a control number,
dates, and related information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

CONTESTING RECORD PROCEDURES:

As noted in notification procedure.
Correspondents and correspondence
received in the Commissioner’s Office.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

Mainframe User ID Database.
SECURITY CLASSIFICATION:

5 U.S.C. 301
PURPOSE(S):

To assign and maintain ID numbers to
use NIH and Boeing mainframe
computers, to locate mainframe users
and to run an accounting program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Online in mainframe computer and
paper copies.
RETRIEVABILITY:

By any of the fields listed under
Categories of Records in the System.
Access by authorized personnel only.
Passwords are necessary for electronic
retrieval. Paper files maintained in
locked office.
Reviewed at the beginning of each
fiscal year to delete inactive IDs from
the previous year. Data files identified
for transfer to the National Archives will
be transferred as specified.

Mail all inquiries or present in writing
to System Manager at above address.

SYSTEM LOCATION:

Electronic records stored on computer
at SunGard Computer Center, Voorhees,

Fmt 4701

Chief, Division of Technology and
Network Management, Postal Square
Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
NOTIFICATION PROCEDURE:

None.

Frm 00043

Records include name, ID to access
system, office address and phone
number, and account number.

SYSTEM MANAGER(S) AND ADDRESS:

DOL/BLS–11

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CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

RECORD SOURCE CATEGORIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

BLS employees, BLS contractors, state
agencies employees.

SAFEGUARDS:

RECORD ACCESS PROCEDURES:

SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

Dispose when 5 years old.
Chief, Division of Management
Systems, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC
20212.

None.

NJ and the National Institutes of Health,
Bethesda, MD. Access and maintenance
occur by remote terminal in the Postal
Square Building, 2 Massachusetts Ave.
NE, Washington, DC 20212. Paper copy
kept at above address.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

STORAGE:

NOTIFICATION PROCEDURE:

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RECORD ACCESS PROCEDURES:

As in notification process.

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CONTESTING RECORD PROCEDURES:

RETENTION AND DISPOSAL:

As in notification process.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Destroy 3 years after employee is
transferred or released from government
service.

RECORD SOURCE CATEGORIES:

Individuals concerned.

SYSTEM MANAGER(S) AND ADDRESS:
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DOL/BLS–12

Chief, Division of Management
Systems, Postal Square Building, 2
Massachusetts Ave. NE, Washington, DC
20212.

SYSTEM NAME:

NOTIFICATION PROCEDURE:

Employee Acknowledgement Letter
Control System.

Inquiries should be mailed or
presented to the system manager noted
at the address noted above.

None.

SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURES:

None.

As noted in notification procedure.

SYSTEM LOCATION:

Bureau of Labor Statistics, Postal
Square Building, 2 Massachusetts Ave.
NE, Washington, DC 20212.

CONTESTING RECORD PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees who signed
acknowledgement letters.

BLS employees.

RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

CATEGORIES OF RECORDS IN THE SYSTEM:

Records include name, office address,
telephone number, supervisor’s name,
last day of individual’s first pay period,
region, cost center, date
acknowledgement was signed.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

None.
DOL/BLS–13
SYSTEM NAME:

National Longitudinal Survey of
Youth 1979 (NLSY79) Database.
SECURITY CLASSIFICATION:

None.

PURPOSE(S):

Used by BLS to monitor whether
employees have signed the
acknowledgement letter regarding the
safeguarding of confidential
information.

SYSTEM LOCATION:

National Opinion Research Center
(NORC), University of Chicago, 1155 E.
60th Street, Chicago, IL 60637.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Electronic file server with backup
tapes. Paper files of the signed letters
are also maintained.
RETRIEVABILITY:

Name, date signed, Social Security
Number, regional office.
SAFEGUARDS:

Access by authorized personnel only.
Passwords are used for electronic
system. Paper files are kept in an office
which is locked after working hours.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

A sample of the general population
who were ages 14–21 on December 31,
1978 (referred to as respondents), with
over representation of blacks, Hispanics,
poor whites, and persons serving in the
military.
CATEGORIES OF RECORDS IN THE SYSTEM:

None.

VerDate 112000

As noted in notification procedure.

Records include, but are not limited
to, name, Social Security Number,
control number, marital history,
education, job history, unemployment
history, military service, training
history, fertility/family planning, child
health history, alcohol use, drug use,
reported police contacts, anti-social
behavior, assets and income, school
records, Government assistance program
participation, childhood residence,
child development outcomes,
expectations, history of parent/child
relationship, time use, time spent on
child care and household chores,
immigration history, and Armed
Services Vocational Aptitude Battery
scores.

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29 U.S.C. Sec. 2.
PURPOSE(S):

To serve a variety of policy-related
research interests concerning the labor
market problems of youth. Data are used
for studies such as (but not limited to):
Diffusion of useful information on labor,
examination of employment and
training programs, understanding labor
markets, guiding military manpower
and measuring the effect of military
service, analysis of social indicators and
measuring parental and child inputs
and outcomes.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

The Bureau of Labor Statistics may
release records to the National Opinion
Research Center (NORC) and/or Ohio
State University to compile data which
are not individually identifiable for use
by the general public and Federal
agencies who are conducting labor force
research. Under written agreement to
protect the confidentiality and security
of identifying information, BLS may
provide potentially identifying
geographic information to researchers to
conduct specific research projects
which further the mission and functions
of BLS. The records also may be
disclosed where required by law. Items
3, 4, 7, 8, 9, 10, and 11 listed in the
General Prefatory Statement to this
document are not applicable to this
system of records.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Files are stored electronically and on
paper.
RETRIEVABILITY:

Name or Control Number.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
RETENTION AND DISPOSAL:

Permanent. Transfer a copy of the
data files, together with the
documentation, to the National
Archives when the data are made
available to the public.
SYSTEM MANAGER(S) AND ADDRESS:

Program Manager, NLS Youth 1979
Cohort Study, Office of Employment

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
records also may be disclosed where
required by law.

and Unemployment Statistics, Room
4945, Postal Square Building, 2
Massachusetts Ave., NE, Washington,
DC 20212.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

NOTIFICATION PROCEDURE:

None.

Mail, or present in writing, all
inquiries to the System Manager at the
above address.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

STORAGE:

As in notification procedure.

Paper files, and some electronic files
stored on magnetic disks and/or video
tapes.

CONTESTING RECORD PROCEDURES:

As in notification procedure.

RETRIEVABILITY:

RECORD SOURCE CATEGORIES:

Respondent name and study title.

Individuals concerned.

SAFEGUARDS:
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

Available to authorized personnel
only. Files are kept in locked offices.
One to three years.

SYSTEM NAME:

Director, Behavioral Sciences
Research Center, Office of Research and
Evaluation, Postal Square Building, 2
Massachusetts Ave., NE, Washington,
DC 20212.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

NOTIFICATION PROCEDURE:

Bureau of Labor Statistics, National
Office.

Mail all inquiries or present in writing
to System Manager at above address.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD ACCESS PROCEDURES:

As in notification procedure.

Individual respondents who
participate in studies.

CONTESTING RECORD PROCEDURES:

As in notification procedure.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records include respondent’s name,
name of study, biographic/personal
information on the respondent, and test
results and observations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 2.

RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

Biographic/personal information is
used by BLS to select participants for
studies. Test results and observations
are used by BLS to better understand the
behavioral and psychological processes
of individuals, as they reflect on the
accuracy of BLS information collections.

SYSTEM NAME:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

National Opinion Research Center
(NORC), University of Chicago, 1155 E.
60th Street, Chicago, IL 60637.

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document
with the following limitations: The
Routine Uses listed at paragraphs 3, 4,
7, 8, 9, and 11 in the General Prefatory
Statement to this document are not
applicable to this system of records. The

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Jkt 197001

National Longitudinal Survey of
Youth 1997 (NLSY97) Database.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

A sample of the general population
who were ages 12–16 on December 31,
1996 (referred to as respondents), with
over representation of blacks, Hispanics,
and disabled students.

PO 00000

Frm 00045

Fmt 4701

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Sfmt 4703

To serve a variety of policy-related
research interests concerning the
school-to-work transition and the labor
market problems of youth. Data are used
for studies such as (but not limited to):
diffusion of useful information on labor,
examination of employment and
training programs, understanding labor
markets, analysis of social indicators,
measuring parental and child input and
outcomes, norming the Department of
Defense Armed Services Vocational
Aptitude Battery in its computerized
adaptive form, and creation of norms for
the Department of Defense Interest
Measure.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Individual respondents.

DOL/BLS–17

PURPOSE(S):

Records include, but are not limited
to, name, Social Security Number,
control number, marital history,
education, job history, unemployment
history, military service, training
history, fertility/family planning, child
health history, alcohol use, drug use,
reported police contacts, anti-social
behavior, assets and income, school
records, Government assistance program
participation, childhood residence,
child development outcomes,
expectations, history of parent/child
relationship, time use, time spent on
child care and household chores,
immigration history, and Armed
Services Vocational Aptitude Battery
scores.

PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

BLS Behavioral Science Research
Laboratory Project Files.

CATEGORIES OF RECORDS IN THE SYSTEM:

29 U.S.C. Sec. 2.

RETENTION AND DISPOSAL:

DOL/BLS–14

16859

The Bureau of Labor Statistics may
release records to the National Opinion
Research Center (NORC) and/or Ohio
State University to compile data which
are not individually identifiable for use
by the general public and Federal
agencies who are conducting labor force
research. Under written agreement to
protect the confidentiality and security
of identifying information, BLS may
provide potentially identifying
geographic information to researchers to
conduct specific research projects
which further the mission and functions
of BLS. The records also may be
disclosed where required by law. Items
3, 4, 7, 8, 9, 10, and 11 listed in the
General Prefatory Statement to this
document are not applicable to this
system of records.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data, and
locked locations for paper files.

or applying for parking privileges in the
Postal Square Building: Name of driver
and rider(s); office building and room
number; office telephone number;
employing agency home address
including city, State and zip code;
federal service computation date;
handicap certification; automobile
license numbers, make and year of car,
permit number (if assigned parking
privileges); category of assignments, and
estimated times of arrival and departure,
office location; and whether the
applicant is in or out of the zone of
special consideration.

RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

STORAGE:

Files are stored electronically and on
paper.
RETRIEVABILITY:

Name or Control Number.
SAFEGUARDS:

Permanent. Transfer a copy of the
data files, together with the
documentation, to the National
Archives when the data are made
available to the public.

5 U.S.C. 301.
PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

Program Manager, NLS Youth 1997
Cohort Study, Office of Employment
and Unemployment Statistics, Postal
Square Building, 2 Massachusetts Ave.,
NE, Washington, DC 20212.
NOTIFICATION PROCEDURE:

Mail, or present in writing, all
inquiries to the System Manager at the
above address.
RECORD ACCESS PROCEDURES:

As in notification procedure.
CONTESTING RECORD PROCEDURES:

As in notification procedure.
RECORD SOURCE CATEGORIES:

Individuals concerned.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Disclosure of information may be
made to other government agencies to
compare names of car pool members.
For verification and, as a service to car
pool seekers, the name of each driver
and rider and permit number; his or her
office telephone number and address;
and his or her home city, state and zip
code, will be displayed within BLS
facilities and on automated information
systems including the Intranet.
Information may be provided to other
applicants or listed members of the
carpool, their supervisors, or their
administrative personnel/timekeepers in
order to confirm information provided
on the application.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DOL/BLS–18

None.

SYSTEM NAME:

Postal Square Building Parking
Management Records.

SYSTEM LOCATION:

Bureau of Labor Statistics, Postal
Square Building, 2 Massachusetts, Ave.
NE, Washington, DC 20212.

All individuals assigned or applying
for assignment of parking privileges in
the Postal Square Building, Washington,
DC.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system includes the following
information on all individuals assigned

19:00 Apr 05, 2002

Jkt 197001

Manual files are stored in a locked file
cabinet. Computer records are stored on
diskettes, on personal computer hard
drives, and on the BLS wide-area
network.
RETRIEVABILITY:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Records may be filed and retrieved by
name or permit number or other
information in the System as needed.
SAFEGUARDS:

Access to and use of these records is
limited to personnel whose official
duties require access. The information
in automated systems is protected from

PO 00000

Frm 00046

Paper records and the database are
destroyed three (3) months after the
return of the credentials to the issuing
office.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Administrative
Services, 2 Massachusetts Ave., NE.,
Washington, DC 20212.
NOTIFICATION PROCEDURE:

Access to these records may be
obtained by request in writing to: Chief,
Division of Administrative Services, 2
Massachusetts Ave., NE., Washington,
DC 20212.
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to records should contact the
appropriate office listed in the
notification procedure section.
Individuals must furnish the name for
the record they wish to access.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment of the records should
contact the official at the address
specified under notification procedures
above and reasonably identify the
record and specify the information to be
contested.
RECORD SOURCE CATEGORIES:

Individuals concerned and from
information provided by parking
applicants on Form DL 1–127,
Application for Parking Assignment and
OA–205 BLS Application for Parking
Permit.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT

DOL/BLS–19
SYSTEM NAME:

Customer Information Files.

STORAGE:

None.

RETENTION AND DISPOSAL:

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SECURITY CLASSIFICATION:

VerDate 112000

The information is used by the Bureau
of Labor Statistics in the administration
of the Postal Square Building parking
and car pool programs.

unauthorized access. Written
application data are placed in locked
file cabinets.

Fmt 4701

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SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Offices in the Bureau of Labor
Statistics (BLS) at the National Office
and in each of the BLS Regional Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals (customers) requesting
BLS information.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information necessary to satisfy
customer requests and enhance service

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
to customers. Depending on the nature
of the request, may include (but is not
limited to) name, title, occupation,
mailing address, telephone and fax
numbers, Internet Protocol (I.P.)
addresses, material requested, consent
forms, E-Mail addresses and dates.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

To enhance customer service by
improving the availability of BLS
information on automated systems; to
facilitate sending information about new
data products to customers with
corresponding interests; to provide
usage statistics associated with the BLS
public access Internet site, and to
provide a frame from which to select an
unbiased sample of customers for
customer service surveys. Maintaining
the names, addresses, etc. of customers
requesting BLS data/publications will
enable BLS to streamline the process for
handling subsequent customer inquiries
and requests by eliminating duplicative
gathering of mailing information.
Internet Protocol (IP) addresses will be
used only to calculate general usage
statistics; the addresses themselves will
be discarded.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

16861

SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE(S):

Associate Commissioner for
Publications and Special Studies, Postal
Square Building, 2 Massachusetts Ave.,
NE, Washington, DC 20212.
Associate Commissioner for Field
Operations, Postal Square Building, 2
Massachusetts Ave., NE, Washington,
DC 20212.
Chief, Division of Data Dissemination
Systems, Postal Square Building, 2
Massachusetts Ave., NE., Washington,
DC 20212.

To assure that the appropriate records
on fellowship awards are maintained
and are available for official use.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

NOTIFICATION PROCEDURE:

Mail, or present in writing, all
inquiries to the System Managers at the
above addresses.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

STORAGE:

As in notification procedure.
CONTESTING RECORD PROCEDURES:

As in notification procedure.
RECORD SOURCE CATEGORIES:

Files are stored electronically and on
paper.
RETRIEVABILITY:

By name.
SAFEGUARDS:

Individuals concerned.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data, and
locked locations for paper files.
RETENTION AND DISPOSAL:

DOL/BLS–20
SYSTEM NAME:

Fellowship Applicants and Recipients
Files.
SECURITY CLASSIFICATION:

Unclassified.

These records are permanent. Records
are transferred to the Federal Records
Center when five (5) years old. They are
offered to NARA in ten (10) year blocks,
when the most recent record is twenty
(20) years old.
SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Offices in the Bureau of Labor
Statistics (BLS) National Office.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

STORAGE:

Files are stored electronically and/or
on paper.
RETRIEVABILITY:

By name, telephone or fax number
(including the telephone number from
which the customer dials), or other
identifying information in the System.
SAFEGUARDS:

Access by authorized personnel only.
Computer security safeguards are used
for electronically stored data and locked
locations for paper files.
RETENTION AND DISPOSAL:

Current customer information service
files are updated as required and are
destroyed when three (3) months old or
when no longer needed.

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Jkt 197001

Applicants and recipients of
fellowship awards (e.g., Fellows in the
American Statistical Association/
National Science Foundation/BLS
Fellowship Program), who are not
Federal employees but are assigned to
work with BLS staff and/or BLS nonpublic data files.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records include the individual’s
name, Social Security Number, school
transcripts, work address and telephone
number, home address and telephone
number, and biographical information;
applications, research proposals, and
related papers; test results, and other
documents such as correspondence with
the individual.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

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Frm 00047

Fmt 4701

Associate Commissioner for Survey
Methods Research, Postal Square
Building, 2 Massachusetts Ave. NE,
Washington, DC 20212.
NOTIFICATION PROCEDURE:

Mail, or present in writing, all
inquiries to the System Manager at the
above address.
RECORD ACCESS PROCEDURES:

As in notification procedure.
CONTESTING RECORD PROCEDURES:

As in notification procedure.
RECORD SOURCE CATEGORIES:

Individuals concerned; from
references, the Education Testing
Service, educational institutions
supplying transcripts, review records;
and administrative data developed
during the selection process and/or
award tenure.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

DOL/OCFO–1
SYSTEM NAME:

Attendance, Leave, and Payroll File.
SECURITY CLASSIFICATION:

Note: Sign-in and sign-out records are filed
chronologically and are not part of this
system.

None.
SYSTEM LOCATION:

A. All Departmental component
offices in Washington DC.
B. All Departmental component
offices in the Regions and Areas.
C. Timekeepers.
D. Offices of the Chief Financial
Officer.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

31 U.S.C. 66(A).
PURPOSE(S):

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Department of Labor employees.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, social security number and
employee number, grade, step, and
salary, transit subsidies, organization
(code), retirement or FICA data as
applicable. Federal, State, and local tax
deductions, as appropriate. IRS tax lien
data, commercial garnishment, child
support, authorization forms for savings
bond and charity deductions;
authorization forms for regular and
optional government life insurance
deduction(s), health insurance
deduction and plan or code; cash award
data; jury duty data, military leave data,
pay differentials, authorization forms for
labor union dues deductions, allotments
by type and amount, Thrift Savings Plan
contributions, financial institution code
and employee account number, leave
status and leave data of all types
(including annual, compensatory, jury
duty, maternity, military, retirement,
disability, sick, transferred, donated,
and without pay), time and attendance
records, including flexitime log sheets
indicating number of regular, overtime,
holiday, Sunday, and other hours
worked, pay period number and ending
date, cost of living allowances, co-owner
and/or beneficiary of bonds, marital
status, number of dependents, mailing
address, ‘‘Notification of Personnel
Action’’, and claims by the employee for
overtime, for back wages and for
waivers. Consumer credit reports of
individuals indebted to the United
States, correspondence to and from the
debtor, information or records relating
to the debtor’s current whereabouts,
assets, liabilities, income and expenses,
debtor’s personal financial statements
and other information such as the
nature, amount and history of a debt
owed by an individual covered by this
system, and other records and reports
relating to the implementation of the
Debt Collection Act of 1982, as amended
by the Debt Collection Improvement Act

VerDate 112000

19:00 Apr 05, 2002

of 1996, including any investigative
reports or administrative review
matters. The individual records listed
herein are included only as pertinent or
applicable to the individual employee.

Jkt 197001

In compliance with principles and
standards prescribed by the Comptroller
General, this system manages the
Department of Labor’s compensation
and benefits processing, accounting, and
reporting. The system provides control
procedures and systems to assure the
complete and timely processing of input
documents and output reports necessary
to update and maintain the
Department’s Interactive Payroll
System.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. In addition to the general prefatory
routine uses, transmittal of data to the
U.S. Treasury to effect issuance of
paychecks or electronic fund transfers
(EFT) to employees and distribution of
pay according to employee directions
for savings bonds, allotments to
financial institutions, and other
authorized purposes. Transmittal of
Thrift Savings Plan data to the Thrift
Savings Board to effect contributions to
the Thrift Savings Plan. Tax
withholding data sent to the Internal
Revenue Service and appropriate State
and local taxing authorities, FICA
deductions to the Social Security
Administration, information concerning
dues deductions to labor unions,
withholdings for health insurance to
insurance carriers and the Office of
Personnel Management, charity
deductions to agents of charitable
institutions, annual W–2 statements to
taxing authorities and the individual,
and transmittal of computer tape data to
appropriate State and local governments
for their benefits matching projects.
Transmittal of employee’s name, social
security number, salary history to state
unemployment insurance agencies in
order to facilitate the processing of state
unemployment insurance claims for
DOL employees.
B. Pursuant to section 13 of the Debt
Collection Act of 1982, as amended by
the Debt Collection Improvement Act of
1996, the name, Social Security
Number, address(es), telephone
number(s), and nature, amount and
history of the debt of a current or former

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Sfmt 4703

employee may be disclosed to private
collection agencies for the purpose of
collecting or compromising a debt
existing in this system.
C. Department of Justice and General
Accounting Office: Information may be
forwarded to the General Accounting
Office and/or the Department of Justice
as prescribed in the Joint Federal Claims
Collection Standards (4 CFR Chapter II).
When debtors fail to make payment
through normal collection routines, the
files are analyzed to determine the
feasibility of enforced collection by
referring the cases to the Department of
Justice for litigation.
D. Other Federal Agencies:
Pursuant to sections 5 and 10 of the
Debt Collection Act of 1982, as amended
by the Debt Collection Improvement Act
of 1996, information relating to the
implementation of the Debt Collection
Act of 1982 may be disclosed to other
Federal Agencies to effect salary or
administrative offsets, or for other
purposes connected with the collection
of debts owed to the United States.
E. Internal Revenue Service:
(1) Information contained in the
system of records may be disclosed to
the Internal Revenue Service to obtain
taxpayer mailing addresses for the
purpose of locating such taxpayer to
collect, compromise, or write-off a
Federal claim against the taxpayer.
(2) Records from this system of
records may be disclosed to the Internal
Revenue Service for the purpose of
offsetting a Federal claim from any
income tax refund that may be due to
the debtor.
(3) Information may be disclosed to
the Internal Revenue Service concerning
the discharge of an indebtedness owed
by an individual.
F. Records from this system of records
may be disclosed to the Defense
Manpower Data Center—Department of
Defense and the United States Postal
Service to conduct computer matching
programs for the purpose of identifying
and locating individuals who are
receiving Federal salaries or benefit
payments and are delinquent in their
repayment of debts owed to the United
States Government under certain
programs administered by the United
States Department of Labor in order to
collect debts under the provisions of the
Debt Collection Act of 1982 (Pub. L. 97–
365) by voluntary repayment, or by
salary or administrative offset
procedures.
G. The names, social security
numbers, home addresses, dates of
birth, dates of hire, quarterly earnings,
employer identifying information, and
State of hire of employees may be
disclosed to the Office of Child Support

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Enforcement, Administration for
Children and Families, Department of
Health and Human Services for the
purpose of locating individuals to
establish paternity, establishing and
modifying orders of child support,
identifying sources of income, and for
other child support enforcement actions
as required by the Personal
Responsibility and Work Opportunity
Reconciliation Act (Welfare Reform law,
Pub. L. 104–193).
H. A record from this system of
records, reflecting the employee’s transit
subsidy, may be disclosed to other
governmental agencies for purposes of
comparing transit subsidy recipients
and car pool applicants.

furnish their name and address for their
records to be located and identified:
a. Name and address.
CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager.
RECORD SOURCE CATEGORIES:

Employees, supervisors, timekeepers,
official personnel records, the IRS,
consumer credit reports, personal
financial statements, correspondence
with the debtor, records relating to
hearings on the debt, and from other
DOL systems of records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status, and history of
overdue debts; the name and address,
taxpayer identification number (SSN),
and other information necessary to
establish the identity of a debtor, the
agency and program under which the
claim arose, are disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer
reporting agencies as defined by section
603(f) of the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)), in accordance with
section 3(d)(4)(A)(ii) of the Federal
Claims Collection Act of 1966, as
amended (31 U.S.C. 3711(f)) for the
purpose of encouraging the repayment
of an overdue debt.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual and machine-readable files.
RETRIEVABILITY:

By name and SSN.
SAFEGUARDS:

Personnel screening and locked
storage equipment.

SYSTEM NAME:

Department of Labor Accounting and
Related Systems.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

A. All Departmental component
offices in Washington DC:
B. All Departmental component
offices in the Regions and the Areas.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All persons who receive or who owe
a payment from agency/regional
financial offices. Persons receiving
payments include, but are not limited
to: Employees, vendors, travelers on
official business, grantees, contractors,
consultants, and recipients of loans and
scholarships. Persons owing monies
include, but are not limited, to persons
who have been overpaid and who owe
DOL a refund and persons who have
received from DOL goods or services for
which there is a charge or fee (e.g.,
Freedom of Information Act requesters).
CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Accounting and
Payment Services, Office of the Chief
Financial Officer, Department of Labor,
200 Constitution Ave, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the system manager at the
address listed above. Individuals must

VerDate 112000

19:00 Apr 05, 2002

Name, identification number
(Taxpayer Identification Number or
other identifying number), address,
purpose of payment, accounting
classification, amount to be paid, and
amount paid.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.

Inquiries should be mailed or
presented to the system manager noted
at the addresses listed above.

Jkt 197001

PURPOSE(S):

These records are an integral part of
the accounting systems at principal
operating components, agency regional
offices and specific area locations. The
records are used to keep track of all
payments to individuals, exclusive of

PO 00000

Frm 00049

salaries and wages, based upon prior
entry into the systems of the official
commitment and obligation of
government funds. When an individual
is to repay funds advanced as a loan or
scholarship, etc., the records will be
used to establish a receivable record and
to track repayment status. In event of an
overpayment to an individual, the
record is used to establish a receivable
record for recovery of the amount
claimed. The records are also used
internally to develop reports to the
Internal Revenue Service and applicable
state and local taxing officials of taxable
income. This is a Department-wide
notice of payment and collection
activities at all locations listed under
system locations.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

DOL/OCFO–2

RETENTION AND DISPOSAL:

Retained for fifty-six (56) years.

16863

Fmt 4701

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A. Transmittal of the records to the
U.S. Treasury to effect issuance of
payments to payees.
B. Pursuant to section 13 of the Debt
Collection Act of 1982, the name,
address(es), telephone number(s), social
security number, and nature, amount
and history of debts of an individual
may be disclosed to private debt
collection agencies for the purpose of
collecting or compromising a debt
existing in this system.
C. Information may be forwarded to
the Department of Justice as prescribed
in the Joint Federal Claims Collection
Standards (4 CFR Chapter II) for the
purpose of determining the feasibility of
enforced collection, by referring the
cases to the Department of Justice for
litigation.
D. Pursuant to sections 5 and 10 of the
Debt Collection Act of 1982, information
relating to the implementation of the
Debt Collection Act of 1982 may be
disclosed to other Federal Agencies to
effect salary or administrative offsets.
E. Information contained in the
system of records may be disclosed to
the Internal Revenue Service to obtain
taxpayer mailing addresses for the
purpose of locating such taxpayer to
collect, compromise, or write off a
Federal claim against the taxpayer.
F. Information may be disclosed to the
Internal Revenue Service concerning the
discharge of an indebtedness owed by
an individual.
H. Information will be disclosed:
1. To credit card companies for billing
purposes;
2. To other Federal agencies for travel
management purposes;
3. To airlines, hotels, car rental
companies and other travel related
companies for the purpose of serving
the traveler. This information will

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has been reconciled for the year in
which the employee has left.

generally include the name, phone
number, addresses, charge card
information and itineraries.
4. To state and local taxing officials
informing them of taxable income.

SYSTEM MANAGER(S) AND ADDRESS:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status, and history of
overdue debts; the name and address,
taxpayer identification number (SSN),
and other information necessary to
establish the identity of a debtor, the
agency and program under which the
claim arose, are disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer
reporting agencies as defined by section
603(f) of the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)), in accordance with
section 3(d)(4)(A)(ii) of the Federal
Claims Collection Act of 1966, as
amended (31 U.S.C. 3711(f)) for the
purpose of encouraging the repayment
of an overdue debt.
Note: Debts incurred by use of the official
travel charge card are personal and the
charge card company may report account
information to credit collection and reporting
agencies.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Director, Office of Accounting and
Payment Services, Office of the Chief
Financial Officer, Department of Labor,
200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be mailed or
presented to the system manager noted
at the address listed above.
RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the system manager at the
address listed above.
CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager.
RECORD SOURCE CATEGORIES:

Individuals, employees, other DOL
systems, other Federal agencies,
consumer reporting agencies, credit card
companies, government contractors,
state and local law enforcement.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

STORAGE:

Paper records in file cabinets.
Computer records within a computer, its
attached equipment or some magnetic
form.

DOL/OCFO–3

RETRIEVABILITY:

SECURITY CLASSIFICATION:

This varies according to the particular
operating accounting system within the
Operating Division, Agency and
Regional Office. Usually the hard copy
document is retrieved by name within
accounting classification. Computer
records may be retrieved by social
security number and voucher number or
on any field in the record.
Records stored in lockable file
cabinets or secured rooms.
Computerized records protected by
password system.
Records are purged from automated
files once the accounting purpose has
been served; printed copy and manual
documents are retained and disposed of
after six years and three months.
Generally, on the accounting side,
information is kept until at least the
employee has left the Department, and
perhaps longer, until all existing activity
for the employee is closed out.
Generally, on the payroll side, the
information stays on the Master
Employee Record until the retirement

Jkt 197001

None.
SYSTEM LOCATION:

A. All component offices in
Washington DC
B. Regional and area offices of the
components.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

19:00 Apr 05, 2002

Travel and Transportation System

All individuals who travel in an
official capacity for the Department of
Labor.

SAFEGUARDS:

VerDate 112000

SYSTEM NAME:

Various records are created and
maintained in support of official travel.
The forms or succeeding forms may
include the following:
DL 1–33 Travel Authorization
SF 1038 Advance of Funds
Application and Account
SF 1012 Travel Voucher
DL 1–2024 Request and Authorization
for Exception From Standard Contract
Terms for City-Pair Service
DL 1–289 Request for Approval of
GSA Vehicle Option or Exemption
DL 1–473 Employment Agreement for
Transfers Within the Continental U.S.

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DL 1–474 Employment Agreement for
Persons Assigned to Posts Outside the
Continental U.S.
DL–1–2030 Estimated PCS Travel and
Transportation Data for Travel
Authorization DL–1–2031 Claim
Form for Payment of Relocation
Income Tax Allowance
DL–1–2032 Covered Taxable
Reimbursements
DL–1–2033R Withholding Tax
Allowance, Summary of Transactions,
Withholding of Taxes, and W–2
Reporting
DL 1–472 Employee Application for
Reimbursement of Expenses Incurred
in Sale or Purchase (or both) of
Residence Upon Change of Official
Station
SF 1164 Claim for Reimbursement for
Expenditures on Official Business
DL 1–101 Training Authorization and
Evaluation Form
DL 1–478 Administrative Exception to
Travel Claim
DL 1–423 Expense Record for
Temporary Quarters
SF 1169 Government Transportation
Request (will be phased out within
next 5 years)
Telephone charge cards.
As a result of travel, individuals may
become indebted to the Government.
Records used to cure these claims
include: consumer credit reports,
information or records relating to the
debtor’s current whereabouts, assets,
liabilities, income and expenses,
debtor’s personal financial statements,
and other information such as the
nature, amount and history of the debt,
and other records and reports relating to
the implementation of the Debt
Collection Act of 1982, including any
investigative reports or administrative
review matters.
Individuals expecting to travel at least
two times per year are required to have
charge cards provided by Government
contract. Besides the application for
such cards, records created include
transaction, payment and account status
data.
Travel arrangement services are also
available by Government contract.
Records include traveler’s profile
containing name of individual, social
security number, home and office
telephones, agency’s name, address, and
telephone number, air travel preference,
rental car identification number and
preference of car, hotel preference,
current passport and/or visa number,
personal credit card numbers, and
additional information; travel
authorization; and monthly reports from
travel agent(s) showing charges to
individuals, balances, and other types of

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account analyses. Permanent change of
station travel arrangements may include
information about real estate and
movement of household goods. To
provide more efficient processing of
travel documents, travel document
processing software will be used by
employees to record travel planning
information, expenses incurred,
traveler/employer identification
information (SSN, and other identifying
information used in conjunction with
the purposes of the software), user ID’s,
passwords, electronic signatures,
routing lists and other information used
by the system to track and process travel
documentation.
Vendors and contractors provide to
the Department itemized statements of
invoices, and reports of transactions
including refunds and adjustments to
enable audits of charges to the
Government.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

41 CFR part 101–7 (Federal Travel
Regulations); interpret or apply 31
U.S.C. 3511, 3512, and 3523; 31 U.S.C.
3711 et seq. (Debt Collection Act of
1982); section 206 of Executive Order
11222 (May 8, 1965); 5 CFR 735.207
(Office of Personnel Management
Regulations).
PURPOSE(S):

To facilitate performance of official
Government travel by documenting the
authorization of travel; payment of
advances; payment of claims, invoices,
vouchers, judgments; debts created by
advance payments and overpayments;
provision and use of government
contractor-issued charge cards; and to
make travel arrangements.
Data received from a charge card
company under government contract
will be used to perform responsibilities
under section 206 of Executive Order
11222 (May 8, 1965) and 5 CFR 735.207
(Office of Personnel Management
Regulations) concerning requirements
for employees to pay their just financial
obligations in a proper and timely
manner. Reports will also be monitored
to insure that the charge cards are used
only in the course of official travel as
required by the contract. Data will also
be analyzed to permit more efficient and
cost effective travel planning and
management, including negotiated costs
of transportation, lodging, subsistence
and related services.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. Transmittal of data to the U.S.
Treasury to effect issuance of checks
and Electronic Funds Transfer (EFT)
payments to payees.

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19:58 Apr 05, 2002

Jkt 197001

B. Information may be forwarded to
the Department of Justice as prescribed
in the Joint Federal Claims Collection
Standards (4 CFR Chapter II). When
debtors fail to make payment through
normal collection routines, the files are
analyzed to determine the feasibility of
enforced collection by referring the
cases to the Department of Justice for
litigation.
C. Pursuant to sections 5 and 10 of the
Debt Collection Act of 1982, information
relating to the implementation of the
Debt Collection Act of 1982 may be
disclosed to other Federal Agencies to
effect salary or administrative offsets, or
for other purposes connected with the
collection of debts owed to the United
States.
D. Information contained in the
system of records may be disclosed to
the Internal Revenue Service to obtain
taxpayer mailing addresses for the
purpose of locating such taxpayer to
collect, compromise, or write off a
Federal claim against the taxpayer.
E. Information may be disclosed to the
Internal Revenue Service concerning the
discharge of an indebtedness owed by
an individual, or other taxable benefits
received by the employee.
F. Information will be disclosed:
1. To credit card companies for billing
purposes.
2. To Departmental and other Federal
agencies such as GSA for travel
management purposes.
3. To airlines, hotels, car rental
companies, travel management centers
and other travel related companies for
the purpose of serving the traveler. This
information will generally include the
name, phone number, addresses, charge
card information and itineraries.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status, and history of
overdue debts; the name and address,
taxpayer identification number (SSN),
and other information necessary to
establish the identity of a debtor, the
agency and program under which the
claim arose, are disclosed pursuant to 5
U.S.C. 552a(b)(12) to consumer
reporting agencies as defined by section
603(f) of the Fair Credit Reporting Act
(15 U.S.C. 1681a(f)), in accordance with
section 3(d)(4)(A)(ii) of the Federal
Claims Collection Act of 1966, as
amended (31 U.S.C. 3711(f)) for the
purpose of encouraging the repayment
of an overdue debt.
Note: Debts incurred by use of the official
travel charge card are personal and the
charge card company may report account
information to credit collection and reporting
agencies.

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16865

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper records in file cabinets.
Computer records within a computer
and attached equipment.
RETRIEVABILITY:

Filed by name and/or social security
number of traveler or by travel
document number at each location.
SAFEGUARDS:

Records stored in lockable file
cabinets or secured rooms.
Computerized records protected by
password system. Information released
only to authorized officials on a needto-know basis.
RETENTION AND DISPOSAL:

Records are held for 6 years or until
audit whichever is sooner and then
destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Office of the Chief Financial Officer,
Division of Planning and Internal
Control, Department of Labor, 200
Constitution Avenue, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries from individuals should be
addressed to the appropriate agency’s
administrative office for which they
traveled.
RECORDS ACCESS PROCEDURES:

Requests from individuals should be
addressed to the appropriate
Department of Labor agency’s
administrative office for which they
traveled. Individuals must furnish their
full name and the authorizing agency
component for their records to be
located and identified.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment of their records should
contact the appropriate Department of
Labor administrative office of which
they traveled. Individuals must furnish
their full name and the name of the
authorizing agency, including duty
station where they were employed when
traveling if applicable.
RECORD SOURCE CATEGORIES:

Individuals, employees, other Federal
agencies, consumer reporting agencies,
credit card companies, government
contractors, state and local law
enforcement.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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DOL/ODEP–1

SAFEGUARDS:

SYSTEM NAME:

The data is stored on computer disk,
stored in a secure central file server.

Job Accommodation Network (JAN)
Files.

RETRIEVABILITY:

Records are retrieved by caller’s
name, state, and job interest category.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

RETENTION AND DISPOSAL:

Job Accommodation Network, West
Virginia University, P.O. Box 6080,
Morgantown, West Virginia, 26505–
6080.

Data is maintained permanently on
the file server with access by program
personnel only.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

The systems manager is the Project
Director of the Job Accommodations
Network, West Virginia University, P.O.
Box 6080, Morgantown, WV 26506–
6080.

SYSTEM MANAGER(S) AND ADDRESS:

Individuals with disabilities,
employers and the general public who
request information through the JAN
system.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Caller’s name, address, telephone
number, type of disability, functional
limitations caused by the disability,
accommodations discussed, type of firm
or organization for whom the caller
works, and anecdotal information
recorded by the human factors
consultant.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301
PURPOSE(S):

This system provides technical
assistance to businesses and to
individuals for the purpose of making
job accommodations for individuals
with disabilities. It also makes possible
the sharing of information about job
accommodations. The JAN system
compiles a comprehensive resource data
bank for job accommodations currently
available. Finally, the system provides
technical assistance to employers on
how to comply with the Americans with
Disabilities Act (ADA).

Mail all inquiries or present in writing
to the Office of Disability Employment
Policy, 1331 F Street, NW, DC 20004 or
to the Freedom of Information Act/
Privacy Act Coordinator, at U.S.
Department of Labor/Office of Disability
Employment Policy, 200 Constitution
Avenue., NW, Washington, DC 20210.
RECORDS ACCESS PROCEDURES:

Individuals wishing to gain access
shall write to Assistant Secretary for
Disability Employment Policy at the
above addresses.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest
information in their files may write to
the system manager at the specified
address above, reasonably identify the
records pertaining to them, the
information which is being contested in
those records, the corrective action(s)
being sought, and the reasons for the
correction(s).
RECORD SOURCE CATEGORIES:

Individual participants in the JAN
system.

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, relevant
information may be disclosed to
employers for the purpose of hiring
individuals with disabilities and/or for
enabling the employers to accommodate
employees with disabilities.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

STORAGE:

Computer disks.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

CATEGORIES OF RECORDS IN THE SYSTEM:

Student’s name, address, telephone
number, e-mail address, college, major,
credits earned, degree sought, job
preference categories, job location
preference, type of disability, job
accommodation information, recruiter’s
summary of student’s interview.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

To provide federal and private sector
employers a database resource of college
students with disabilities from which to
identify qualified temporary and
permanent employees in a variety of
fields.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses, listed in the General Prefatory
Statement to this document, relevant
information concerning student
interviewees may be disclosed to
interested federal and private sector
employers. Disability information
concerning interviewees is disclosed to
interested federal employers but not to
private sector employers.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

SAFEGUARDS:

The data is stored on CD–ROMs and
stored on program manager’s hard drive.
RETRIEVABILITY:

None.
DOL/ODEP–2

Records are retrieved by student’s
name, state, or job interest category.

SYSTEM NAME:

RETENTION AND DISPOSAL:

Workforce Recruitment Program
(WRP) Database.

Data is maintained indefinitely on
CD–ROMs and on the project manager’s
hard drive. Paper files are maintained
by the project manager and destroyed
after one year.

SECURITY CLASSIFICATION:

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

College students with disabilities who
have interviewed with a WRP recruiter
on a college campus.

CD–ROMs.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

Office of Disability Employment
Policy, U.S. Department of Labor, 1331
F Street, NW, Third Floor, Washington,
DC 20004.

The system manager is the WRP
Project Manager, Office of Disability
Employment Policy, 1331 F Street, NW,
Third Floor, Washington, DC 20004.

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NOTIFICATION PROCEDURE:

Mail all inquiries or present in writing
to the Office of Disability Employment
Policy, 1331 F Street, NW, Third Floor,
Washington, DC, 20004.
Individuals wishing to gain access
shall write to the Office of Disability
Employment Policy at the above
address.

STORAGE:

Maintained in manual hard copy form
in file folders; summary data
maintained in computer based case
tracking system.

A petition for amendment shall be
addressed to the System Manager.
RECORD SOURCE CATEGORIES:

College students with disabilities who
have participated in an interview with
a WRP recruiter.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

RETRIEVABILITY:

Indexed by ECAB Docket case
number, can be cross-referenced to
individual’s name.

SYSTEM NAME:

Employees’ Compensation Appeals
Board Docket Records.
None.
SYSTEM LOCATION:

U.S. Department of Labor, Employees’
Compensation Appeals Board, 200
Constitution Avenue, NW, Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Former or current Federal employees
appealing final decisions of the Office of
Workers’ Compensation Programs.
CATEGORIES OF RECORDS IN THE SYSTEM:

Documents pertaining to appeals of
final decisions rendered by the Office of
Workers’ Compensation Programs
arising under the Federal Employees
Compensation Act, including incoming
and outgoing correspondence, a
summary of processing transactions,
pleadings, motions, orders, and final
disposition.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Manual Docket records are retired to
the National Records Center after three
years; they are destroyed after 20 years.
Historical computer records are stored
permanently on diskette in a locked
cabinet.
SYSTEM MANAGER(S) AND ADDRESS:

Chairman, Employees’ Compensation
Appeals Board, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries regarding records should be
in the form of a written, signed request
to the System Manager at the above
address and should specify the ECAB
Docket number.
RECORD ACCESS PROCEDURES:

Information or assistance regarding
access to ECAB Docket records may be
obtained by contacting the Clerk of the
Board, Employees’ Compensation
Appeals Board, 200 Constitution
Avenue, NW, Washington, DC 20210.
CONTESTING RECORD PROCEDURES:

5 U.S.C. 8101 et seq.

Individuals who wish to contest their
records should notify the System
Manager in writing.

PURPOSE(S):

To maintain records of appeals and
track appeals through processing and
disposition operations.

RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, ECAB
decisions are sent for publication to the

Jkt 197001

Records in this system contain
information supplied by the appellant
and Government officials involved in
the appeals proceedings.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Not applicable.

PO 00000

Frm 00053

Employees’ Compensation Appeals
Board Disposition Records.
None.
SYSTEM LOCATION:

U.S. Department of Labor, Employees’
Compensation Appeals Board, 200
Constitution Avenue, NW, Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Former or current Federal employees
who appealed final decisions of the
Office of Workers’ Compensation
Programs.

Fmt 4701

Sfmt 4703

Final decisions and/or orders
determining appeals of benefits claims
under the Federal Employees’
Compensation Act.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 8101 et seq.

RETENTION AND DISPOSAL:

SECURITY CLASSIFICATION:

SYSTEM NAME:

CATEGORIES OF RECORDS IN THE SYSTEM:

SAFEGUARDS:

Manual Docket records are
maintained in a separate file room with
access restricted to ECAB employees
and which is locked during non-work
hours.

DOL/ECAB–01

DOL/ECAB–02

SECURITY CLASSIFICATION:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

19:00 Apr 05, 2002

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

RECORDS ACCESS PROCEDURES:

VerDate 112000

U.S. Government Printing Office (GPO)
and are available on ECAB’s Internet
web-site.

16867

PURPOSE(S):

To maintain formal records of appeal
dispositions determined by the
Employees’ Compensation Appeals
Board.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Board final decisions and/or orders
are public documents and are accessible
to interested persons. Precedent setting
decisions are sent to the U.S.
Government Printing Office (GPO) for
publication in an annual Volume, which
is available for sale from the GPO, and
deposited in over 500 Federal
Depository Libraries throughout the
country.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Recent decisions are maintained in
hard copy form in binders in the ECAB
library; older decisions are published in
bound volumes. Published volumes are
also on deposit in designated Federal
Depository Libraries, and on the ECAB’S
Internet Website.
RETRIEVABILITY:

Published decisions are indexed by
appellant’s last name, by category of
medical condition and legal issue, by

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

ECAB Docket number and by ECAB
Volume number and page. Unpublished
decisions are indexed by ECAB Docket
number, and can be cross-referenced to
appellant’s name.
SAFEGUARDS:

Access to ECAB Library and Decision
Files is by request and available during
regular office hours.
RETENTION AND DISPOSAL:

Records are retained permanently.
SYSTEM MANAGER(S) AND ADDRESS:

Chairman, Employees’ Compensation
Appeals Board, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries should be in the form of a
written, signed request to the System
Manager at the above address and
should specify the ECAB Docket
number, name of appellant and
approximate date of disposition.
Alternatively, if disposition is known to
be a published decision, inquiry should
specify the Volume and page number.
RECORD ACCESS PROCEDURES:

Information or assistance regarding
access to ECAB Disposition Records
may be obtained by contacting the Clerk
of the Board, Employees’ Compensation
Appeals Board, 200 Constitution
Avenue, NW, Washington, DC.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals, classes of individuals or
representatives authorized to act on
behalf of individuals or classes of
individuals who have filed complaints
of discrimination.
CATEGORIES OF RECORDS IN THE SYSTEM:

Medical records, investigative reports
and materials, complaints, contract
coverage information, employment
applications, time and attendance
records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Executive Order 11246, as amended;
the Vietnam Era Veterans’ Readjustment
Assistance Act of 1974, as amended, 38
U.S.C. 4212, section 503 of the
Rehabilitation Act of 1973, as amended,
29 U.S.C. 793.
PURPOSE(S):

To maintain information that is used
to investigate and to resolve complaints
of discrimination filed by individuals
under Executive Order 11246, as
amended; the Veteran Era Veterans’
Readjustment Assistance Act of 1974,
amended, 38 U.S.C. 4212; and section
503 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 793.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM INCLUDING CATEGORIES OR USERS AND
THE PURPOSES OF SUCH USES:

SYSTEM NAME:

These records and information in
these records may be disclosed to:
(1) The Equal Employment
Opportunity Commission, Department
of Justice, or other Federal, State or local
agencies with jurisdiction over a
complaint, when relevant and necessary
for investigatory, conciliation or
enforcement purposes;
(2) To Federal contractors and
subcontractors against whom a
complaint is filed, including providing
a copy of the complaint or a summary
for purposes of notice;
(3) A physician or medical provider
records or information for the purpose
of evaluating the complaint or medical
records in cases involving complaints of
discrimination on the basis of disability;

Office of Federal Contract Compliance
Programs Complaint Case Files.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

Appellants who wish to contest their
Disposition Records should notify the
System Manager in writing.
RECORD SOURCE CATEGORIES:

Records in this system are composed
of formal, final decisions and/or orders
of the Employees’ Compensation
Appeals Board.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–2

None.

SECURITY CLASSIFICATION:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Unclassified.
SYSTEM LOCATION:

Office of Federal Contract Compliance
Programs (OFFCP), 200 Constitution
Avenue, NW, Washington, DC 20210,
and OFCCP Regional and District
Offices (see the Appendix to this
document for addresses).

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

STORAGE:

Power files/Magnetic tape/Manual
files.
RETRIEVABILITY:

By name or OFCCP control number.

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Frm 00054

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SAFEGUARDS:

Locked files and computer access
codes.
RETENTION AND DISPOSAL:

Active files retained 2–3 years from
date of closure, referred to a Federal
Records Center for an additional 4 years
then they are destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Assistant Secretary for Federal
Contract Compliance, 200 Constitution
Avenue, NW, Washington, DC 20210;
Regional Directors for OFCCP, see The
Appendix to this document for
addresses.
NOTIFICATION PROCEDURE:

Individuals, wishing to inquire
whether this system of records contains
information about them, should contact
the appropriate system manager. Such
person should provide his or her full
name, date of birth, and signature.
RECORD ACCESS PROCEDURES:

An individual or organization
representing an individual wishing to
gain access to records shall follow
guidelines set forth under the
notification procedures summarized
above.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest
information in their files may write the
appropriate system manager at the
specified address, reasonably
identifying the record pertaining to
them, the information which is being
contested in that record, the corrective
action(s) being sought, and the reason
for the correction(s).
RECORD SOURCE CATEGORIES:

Individual and class action
complainants, employers, co-workers,
witnesses, State rehabilitation agencies,
physicians, and other health care
providers.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

This system contains complaints and
investigative files compiled during the
course of complaint investigations and
compliance reviews. In accordance with
paragraph (k)(2) of the Privacy Act, 5
U.S.C. 552a(k)(2), these files have been
exempted from subsections
(c)(3),(d),(e)(1), (e)(4)(G),(H), and (I) and
(f) of the Act. The disclosure of
information contained in these files may
in some circumstances discourage nonmanagement persons who have
knowledge of facts and circumstances
pertinent to charges from giving
statements or cooperating in
investigations. In addition, disclosure of

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16869

medical records contained in these files
may adversely affect the health of
individuals without guidance of a
responsible physician.

SAFEGUARDS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Files located in restricted area of a
Federal building under guard by
security officers.

DOL/ESA–5

RETENTION AND DISPOSAL:

SYSTEM NAME:

Files are destroyed 10 years after case
is closed.

Personal (name, date of birth, social
security number, claim type, miner’s
date of death), medical, and financial.
Information gathered in connection with
investigations concerning possible
violations of Federal law, whether civil
or criminal, under the authorizing
legislation and related Acts. This record
also contains investigative records and
the work product of the Department of
Labor and other governmental personnel
and consultants involved in the
investigations. If the individual has
received benefits to which he or she is
not entitled, the system may contain
consumer credit reports correspondence
to and from the debtor, information or
records relating to the debtor’s current
whereabouts, assets, liabilities, income
and expenses, debtor’s personal
financial statements, and other
information such as the nature, amount
and history of a claim filed by an
individual covered by this system, and
other records and reports relating to the
implementation of the Debt Collection
Act of 1982 including any investigative
records or administrative review
matters. The individual records listed
herein are included only as pertinent to
the individual claimant.

Office of Workers’ Compensation
Programs, Black Lung
Antidiscrimination Files.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Coal Mine
Workers’ Compensation, Department of
Labor Building, 200 Constitution
Avenue, NW, Washington, DC 20210.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Workers’ Compensation
Programs, Division of Coal Mine
Workers’ Compensation, Department of
Labor Building, 200 Constitution
Avenue, NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing complaints against
employers on account of discharge or
other acts of discrimination by reason of
pneumoconiosis disease.
CATEGORIES OF RECORDS IN THE SYSTEM:

Individual correspondence,
investigative records, employment
records, payroll records, medical
reports, any other documents or reports
pertaining to an individual’s work
history, education, medical condition or
hiring practices of the employer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 938.
To maintain records that are used to
process complaints against employers
who discharge or otherwise
discriminate against individuals
because they suffer from
pneumoconiosis disease.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosure of file content may be
made to any party in interest to the
complaint, including the coal company,
the claimant, medical providers, and
legal representatives of any party for
purposes related to the complaint.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to their records should contact the
system manager at the above address.
Individuals must furnish their name,
address and signature.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment of any record should
contact the system manager at the above
address. Individuals must furnish their
name, address and signature.
RECORD SOURCE CATEGORIES:

Manual files.
RETRIEVABILITY:

Coal miner’s name and social security
number.

Jkt 197001

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Not applicable.
DOL/ESA–6
SYSTEM NAME: OFFICE OF WORKERS’
COMPENSATION, BLACK LUNG

Benefits Claim File.
SECURITY CLASSIFICATION:

SYSTEM LOCATION:

Office of Workers’ Compensation
Programs, Division of Coal Mine
Workers’ Compensation, Department of
Labor Building, 200 Constitution
Avenue, NW, Washington, DC 20210,
and district offices (see addresses in the
Appendix to this document).

Individuals filing claims for black
lung (pneumoconiosis) benefits under
the provisions of Black Lung Benefits
Act, as amended, including miners, and
their surviving spouses, children,
dependent parents and siblings.

PO 00000

Frm 00055

Fmt 4701

Sfmt 4703

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 901 et seq., 20 CFR 715.1 et
seq., 20 CFR 720.1 et seq., 20 CFR 725.1
et seq.
PURPOSE(S):

To maintain records that are used to
process all aspects of claims for black
lung (pneumoconiosis) benefits under
the provisions of the Black Lung
Benefits Act, as amended, including
claims filed by miners and their
surviving spouses, children, dependent
parents and siblings. These records are
also used to process the recoupment of
overpayments under the Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Unclassified.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

STORAGE:

19:00 Apr 05, 2002

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the above
address. Individuals must furnish their
name, address and signature.

Individuals, employers, medical
providers and investigators.

PURPOSE(S):

VerDate 112000

NOTIFICATION PROCEDURE:

In addition to those universal routine
uses listed in the General Prefatory
Statement of this document, disclosure
of relevant and necessary information
may be made to the following:
a. Mine operators (and/or any party
providing the operator with benefits
insurance) who have been determined
potentially liable for the claim at any
time after the filing of a claim for Black
Lung Benefits for the purpose of
determining liability for payment.
b. State workers’ compensation
agencies and the Social Security
Administration for the purpose of
determining offsets as specified under
the Act.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

c. Doctors and medical services
providers for the purpose of obtaining
medical evaluations, physical
rehabilitation or other services.
d. Representatives of the claimant for
the purpose of processing the claim,
responsible operator and program
representation on contested issues.
e. Labor unions and other voluntary
employee associations of which the
claimant is a member for the purpose of
assisting the member.
f. Contractors providing automated
data processing services to the
Department of Labor, or to any agency
or entity to whom release is authorized,
where the contractor is providing a
service relating to the purpose for which
the information can be released.
g. Federal, state or local agencies if
necessary to obtain information relevant
to a Departmental decision concerning
the determination of initial or
continuing eligibility for program
benefits, including whether benefits
have been or are being paid improperly;
whether dual benefits prohibited under
any federal or state law are being paid;
and including salary offset and debt
collection procedures, including any
action required by the Debt Collection
Act of 1982.
h. Debt collection agency that DOL
has contracted for collection services to
recover indebtedness owed to the
United States.
i. Internal Revenue Service for the
purpose of obtaining taxpayer mailing
addresses in order to locate such
taxpayers to collect, compromise, or
write-off a Federal claim against the
taxpayer; discharging an indebtedness
owed by an individual.
j. Credit Bureaus for the purpose of
receiving consumer credit reports
identifying the assets, liabilities, income
and expenses of a debtor to ascertain the
debtor’s ability to pay a debt and to
establish a payment schedule.
Note: Disclosure to a claimant or a person
who is duly authorized to act on the
claimant’s or beneficiary’s behalf, of
information contained in the file may be
made over the telephone. Disclosure over the
telephone will only be done where the
requestor provides appropriate identifying
information to OWCP personnel. Telephonic
disclosure of information is essential to allow
OWCP to efficiently perform its functions in
adjudicating and servicing claims.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The amount, status and history of
overdue debts; the name and address,
taxpayer identification (SSAN), and
other information necessary to establish
the identity of a debtor, the agency and
program under which the claim arose,
are disclosed pursuant to 5 U.S.C.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

552a(b)(12) to consumer reporting
agencies as defined by the Fair Credit
Reporting Act (15 U.S.C. 1681a(f), or in
accordance with the Federal Claims
Collection Act of 1966 as amended (31
U.S.C. 3711(e) for the purpose of
encouraging the repayment of an
overdue debt.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Case file documents, both original and
copies, in manual files.
RETRIEVABILITY:

Coal miner’s name, social security
number, and claimant’s social security
number different from miner’s.
SAFEGUARDS:

Files are located in the restricted area
of a Federal building under guard by
security officers.
RETENTION AND DISPOSAL:

Approved claims files are destroyed
10 years after death of last beneficiary.
Denied claims are destroyed 30 years
after final denial.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Coal Mine
Workers’ Compensation, Department of
Labor Building, Room C–3520, 200
Constitution Avenue, NW, Washington,
DC 20210, and district office directors
(see addresses in the Appendix to this
document).
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the above
address, or district office directors. (See
addresses in the Appendix to this
document.) Individuals must furnish
claimant’s name, and signature.
RECORD ACCESS PROCEDURE:

Individuals wishing to request access
to non-exempt records should contact
the appropriate office listed in the
Notification Procedure section. The
individual must furnish his or her
name, signature and address.
CONTESTING RECORD PROCEDURES:

Specific materials in this system have
been exempted from Privacy Act
provisions (5 U.S.C. 552a(d)), regarding
access to records. The section of this
notice titled ‘‘Systems Exempted from
Certain Provisions of the Act’’ indicates
the kinds of materials exempted from
access and the reasons for exempting
them from access. Individuals wishing
to request amendment of any non-

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Sfmt 4703

exempt records should contact the
appropriate office listed in the
Notification Procedure section.
Individuals must furnish their name,
address and signature.
RECORD SOURCE CATEGORIES:

Individuals, organizations, and
investigators.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ESA–15
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Longshore and Harbor
Workers’ Compensation Act Case Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Division of Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs,
Washington, DC 20210, and district
offices of the Office of Workers’
Compensation Programs set forth in the
Appendix to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees injured or killed while
working in private industry who are
covered by the provisions of the
Longshore and Harbor Workers’
Compensation Act, the NonAppropriated Fund Instrumentalities
Act, the Defense Base Act, the War
Hazards Act, and the DC Workers’
Compensation Act, referred to
collectively herein as the Longshore and
Harbor Workers’ Compensation Act
(LHWCA).

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CATEGORIES OF RECORDS IN THE SYSTEM:

This system may contain the
following kinds of records: reports of
injury by the employee and/or
employing agency; claim forms filed by
or on behalf of injured employees
covered under the LHWCA or their
survivors seeking benefits under the
LHWCA; forms authorizing medical care
and treatment; other medical records
and reports; bills and other payments
records; compensation payments
records (including section 8(f) payment
records); section 8(f) applications filed
by the employer; formal orders for or
against the payment of benefits;
transcripts of hearings conducted; and
any other medical employer or personal
information submitted or gathered in
connection with the claim. The system
may also contain information relating to
dates of birth, marriage, divorce, and
death, notes of telephone conversations
conducted in connection with the claim;
information relating to vocational and/
or medical rehabilitation plans and
progress reports; records relating to
court proceedings, insurance, banking,
and employment; articles from
newspapers and insurance, banking and
employment; articles from newspapers
and other publications; information
relating to other benefits (financial and
otherwise) the claimant or employer
may be entitled to; and information
received from various investigative
agencies concerning possible violations
of Federal civil or criminal law.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

33 U.S.C. 901 et seq. (20 CFR parts
701 et seq.); 36 DC Code 501 et seq.; 42
U.S.C. 1651 et seq.; 43 U.S.C. 1331 et
seq.; 5 U.S.C. 8171 et seq.
PURPOSE(S):

To maintain records on the actions of
insurance carriers, employers, and
injured workers with respect to injuries
reported under the Longshore and
Harbor Workers’ Compensation Act and
related Acts, to ensure that eligible
claimants receive appropriate benefits
as provided by the Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of information from this system of
records may also be made to the
following individuals and entities for
the purposes noted when the purpose of
the disclosure is compatible with the
purpose for which the information was
collected:
a. The employer or its representatives,
including third-party administrators,
and/or any party providing the

VerDate 112000

19:58 Apr 05, 2002

Jkt 197001

employer with workers’ compensation
insurance coverage since the employer
and insurance carrier are parties-ininterest to all actions on a case, for the
purpose of assisting in the litigation of
the claim, at any time after report of the
injury or report of the onset of the
occupational illness, or the filing of a
notice of injury or claim related to such
injury or occupational illness.
b. Doctors, pharmacies, and other
health care providers for the purpose of
treating the claimant, conducting
medical examinations, physical
rehabilitation or other services or
obtaining medical evaluations.
c. Public or private rehabilitation
agencies to whom the injured worker
has been referred for vocational
rehabilitation services so that they may
properly evaluate the injured worker’s
experience, physical limitations and
future employment capabilities.
d. Federal, state and local agencies
conducting similar or related
investigations to verify whether
prohibited dual benefits were provided,
whether benefits have been or are being
paid properly, including whether dual
benefits prohibited by federal law are
being paid; salary offset and debt
collection procedures including those
actions required by the Debt Collection
Act of 1982.
e. Labor unions and other voluntary
associations from which the claimant
has requested assistance in connection
with the processing of the LHWCA
claim.
f. Attorneys or other persons
authorized to represent the interests of
the LHWCA claimant in connection
with a claim for benefits under the
LHWCA, and/or a LHWCA beneficiary
in connection with a claim for damages
filed against a third party.
g. Internal Revenue Service for the
purpose of obtaining taxpayer mailing
addresses in order to locate a taxpayer
to collect, compromise, or write-off a
Federal claim against such taxpayer;
discharging an indebtedness owed by an
individual.
h. Trust funds that have demonstrated
to the OWCP a right to a lien under 33
U.S.C. 917, for the purpose of permitting
the trust funds to identify potential
entitlement to payments upon which
the trust funds may execute the lien.
Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.

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16871

Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records is
disclosed to members and staff of the Office
of Administrative Law Judges, the Benefits
Review Board, the Office of the Solicitor and
other components of the Department who
have a need for the record in the performance
of their duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Case files are maintained in manual
files and magnetic tapes.
RETRIEVABILITY:

Case files are retrieved after
identification by coded file number,
which is cross-referenced to injured
worker by name.
SAFEGUARDS:

Files are maintained under
supervision of OWCP personnel during
normal working hours. Files and
magnetic tapes are maintained in locked
offices after normal working hours.
Confidential passwords are required for
access to automated records.
RETENTION AND DISPOSAL:

Time retained varies by type of case,
ranging from lost-time disability cases,
in which records are destroyed 20 years
after the case is closed, to other cases
where the last possible beneficiary has
died, in which the records are destroyed
6 years and 3 months after the death of
such beneficiary. ‘‘No Lost Time’’ cases
are destroyed three years after the end
of the fiscal year during which the
related report was received.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Longshore and Harbor
Workers’ Compensation, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210;
and District Directors at the district
offices set forth in the Appendix.
NOTIFICATION PROCEDURE:

Requests, including name, date of
injury, employer at time of injury, and
case file number, if known, should be
addressed to the system manager listed
above, at the office where the case is
located.
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to records should contact the system
manager indicated above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to contest the
contents of a record should contact the
appropriate System Manager.

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RECORD SOURCE CATEGORIES:

Information is obtained from injured
employees, their qualified dependents,
employers, insurance carriers,
physicians, medical facilities,
educational institutions, attorneys, and
State, Federal, and private vocational
rehabilitation agencies.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–24
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Longshore and Harbor
Workers’ Compensation Act Special
Fund System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Division of Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons receiving compensation and
related benefits under the Longshore
and Harbor Workers’ Compensation Act,
the Non-Appropriated Fund
Instrumentalities Act, the Defense Base
Act, the War Hazards Act, and the DC
Workers’ Compensation Act, referred to
collectively herein as the Longshore and
Harbor Workers’ Compensation Act
(LHWCA).
CATEGORIES OF RECORDS IN THE SYSTEM:

Medical and vocational rehabilitation
reports, bills, vouchers and records of
payment for compensation and related
benefits, statements of employment
status, and formal orders for payment of
compensation, and U.S. Treasury
Records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

33 U.S.C. 901 et seq. (20 CFR parts
701 et seq.); 36 DC Code 501 et seq.; 42
U.S.C. 1651 et seq.; 43 U.S.C. 1331 et
seq.; 5 U.S.C. 8171 et seq.;
PURPOSE(S):

This system provides a record of
payments to claimants, their qualified
dependents, or providers of services to
claimants from the Special Fund
established pursuant to Section 44 of
the Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory

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Statement to this document, disclosure
of information from this system of
records may also be made to the
following individuals and entities for
the purposes noted when the purpose of
the disclosure is compatible with the
purpose for which the information was
collected:
a. The employer or employer’s
representatives, including third-party
administrators, and/or any party
providing the employer with workers’
compensation insurance coverage since
the employer and insurance carrier are
parties-in-interest to all actions on a
case, for the purpose of assisting in the
litigation of the claim, at any time after
report of the injury or report of the onset
of the occupational illness, or the filing
of a notice of injury or claim related to
such injury or occupational illness.
b. Doctors, pharmacies, and other
health care providers for the purpose of
treating the claimant, conducting
medical examinations, physical
rehabilitation or other services or
obtaining medical evaluations.
c. Public or private rehabilitation
agencies to whom the injured worker
has been referred for vocational
rehabilitation services so that they may
properly evaluate the injured worker’s
experience, physical limitations and
future employment capabilities.
d. Federal, state and local agencies
conducting similar or related
investigations to verify whether
prohibited dual benefits were provided,
whether benefits have been or are being
paid properly, including whether dual
benefits prohibited by federal law are
being paid; salary offset and debt
collection procedures including those
actions required by the Debt Collection
Act of 1982.
e. Labor unions and other voluntary
associations from which the claimant
has requested assistance with the
processing of the LHWCA claim.
f. Internal Revenue Service for the
purpose of obtaining taxpayer mailing
addresses in order to locate such
taxpayer to collect, compromise, or
write-off a Federal claim against the
taxpayer; discharging an indebtedness
owed by an individual.
g. Trust funds that have demonstrated
to the OWCP a right to a lien under 33
U.S.C. 917, for the purpose of permitting
the trust funds to identify potential
entitlement to payments upon which
the trust funds may execute the lien.
h. To individuals, and their attorneys
and other representatives, and
government agencies, seeking to enforce
a legal obligation on behalf of such
individual, to pay alimony and/or child
support, for the purpose of enforcing
such an obligation, pursuant to an order

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of a state or local court of competent
jurisdiction, including Indian tribal
courts, within any State, territory or
possession of the United States, or the
District of Columbia or to an order of a
State agency authorized to issue income
withholding notices pursuant to State or
local law or pursuant to the
requirements of section 666(b) of title
42, United States Code, or for the
purpose of denying the existence of
funds subject to such legal obligation.
Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.
Note: Information from this system of
records is disclosed to members and staff of
the Office of Administrative Law Judges, the
Benefits Review Board, the Office of the
Solicitor and other components of the
Department who have a need for the record
in the performance of their duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Case files are maintained in manual
files and magnetic tapes.
RETRIEVABILITY:

Case files are retrieved by social
security number, which is crossreferenced to injured worker by name.
SAFEGUARDS:

Files are maintained under
supervision of OWCP personnel during
normal working hours. Confidential
passwords are required for access to
automated records. Files and magnetic
tapes are in Federal office building.
RETENTION AND DISPOSAL:

Files are destroyed 7 years after last
payment is made.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Requests, including name and case
number, if known, should be addressed
to the System Manager.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to records should contact the System
Manager indicated above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to contest the
contents of a record should contact the
System Manager indicated above.
RECORD SOURCE CATEGORIES:

The system obtains information from
injured employees, their qualified
dependents, employers, insurance
carriers, physicians, medical facilities,
educational institutions, attorneys, and
State, Federal, and private vocational
rehabilitation agencies.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

the reporting side of the total system.
The Office of Contract Compliance
Programs Case Management System
(OFCMS) provides the umbrella under
which numerous applications can be
accessed. The purposes of the systems
are: To track and monitor by means of
an automated data base complaint
investigations of employment
discrimination by Federal contractors.
To provide OFCCP Managers with a
viable means of tracking the number of
hours used in performing OFCCP
program responsibilities. To track the
number of hours utilized by compliance
officers in performing their assigned
program duties and responsibilities.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

DOL/ESA–25
SYSTEM NAME:

Office of Federal Contract Compliance
Programs, Executive Management
Information System (OFCCP/EIS) which
includes the Case Management System
(CMS), and Time Reporting Information
System (TRIS).
SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN SYSTEM:
STORAGE:

Unclassified.
SYSTEM LOCATION:

OFCCP, Department of Labor, 200
Constitution Avenue, NW, Washington,
DC 20210; Ten Regional Offices, see the
Appendix to this document for
addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing complaints of
employment discrimination by Federal
Contractors and Compliance Officers.
CATEGORIES OF RECORDS IN THE SYSTEM:

Listing of hours utilized to perform
OFCCP program responsibilities. Listing
of complaints filed by individuals
alleging employment and listing of
hours utilized to perform OFCCP
program responsibilities.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Manual files for working copies of
source documents and magnetic tapes
and disks for central computer
processing.
RETRIEVABILITY:

By the name of the complainant,
OFCCP control number, contractor
establishment name and number. By
identification numbers assigned to each
compliance officer.
SAFEGUARDS:

Files are locked except during
working hours, and only authorized
personnel have access to files. Computer
systems are restricted to authorized
operators and each subsystem has
multiple layers of password protection
depending upon sensitivity of data.
RETENTION AND DISPOSAL:

Executive Order 11246, as amended;
the Vietnam Era Veterans’ Readjustment
Assistance Act of 1974, as amended, 38
U.S.C. 2012; section 503 of the
Rehabilitation Act of 1973, as amended,
29 U.S.C. 793.

Inactive records retained in system for
two years from last date of action on
record before being purged to history
files where they are stored for three
years. Transfer to NARA and destroy
five years after transfer.

PURPOSE(S):

SYSTEM MANAGER(S) AND ADDRESS:

The Case Management System is the
data entry portion of OFCCP’s core case
management and management
information system. OFCCP Executive
Information System (OFEIS) makes up

Director, OFCCP, Room C–3325, 200
Constitution Avenue, NW, Washington,
DC 20210; Regional Directors for
OFCCP, see Appendix I to this
document for Addresses.

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16873

NOTIFICATION PROCEDURES:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the appropriate system manager or the
Regional Office servicing the state
where they are employed (see list of the
Regional Office addresses in Appendix).
Such person should provide his or her
full name, date of birth, and signature.
RECORD ACCESS PROCEDURES:

A request for access shall be mailed
or presented to the appropriate system
manager at the address listed above.
Individuals must furnish the following
information for their records to be
identified: (a) Name and (b) verification
of identity as required by the regulations
implementing the Privacy Act of 1974,
at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest
information in their files may write the
appropriate system manager at the
specified address, reasonably
identifying the records pertaining to
them, the information which is being
contested in that record, the corrective
action(s) being sought, and the reason
for the correction(s). See also 29 CFR
71.9.
RECORD SOURCE CATEGORIES:

OFCCP personnel working in district
and regional offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of the source would be held
in confidence.
DOL/ESA–26
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Longshore and Harbor
Workers’ Compensation Act
Investigation Files.
SECURITY CLASSIFICATION:

None.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

SYSTEM LOCATION:

Division of Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs,
Washington, DC 20210, and district
offices of the Office of Workers’
Compensation Programs set forth in the
Appendix to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing claims for workers’
compensation benefits under the
Longshore and Harbor Workers’
Compensation Act, the NonAppropriated Fund Instrumentalities
Act, the Defense Base Act, the War
Hazards Act, and the DC Workers’
Compensation Act, referred to
collectively herein as the Longshore and
Harbor Workers’ Compensation Act
(LHWCA); individuals providing
medical and other services to the
Division; employees of insurance
companies and of medical and other
services providers to claimants; and
other persons suspected of violations of
law under the Act, including related
civil and criminal provisions.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records which contain information
gathered in connection with
investigations concerning possible
violations of Federal law, whether civil
or criminal, under the LHWCA. This
system also contains the work product
of the Department of Labor and other
government personnel and consultants
involved in the investigations.
AUTHORITY FOR MAINTENANCE OF SYSTEM:

33 U.S.C. 901 et seq. (20 CFR parts
701 et seq.); 36 DC Code 501 et seq.; 42
U.S.C. 1651 et seq.; 43 U.S.C. 1331 et
seq.; 5 U.S.C. 8171 et seq.
PURPOSE(S):

To maintain records for the purpose
of assisting in determinations of
possible violations of Federal law,
whether civil or criminal, in connection
with reported injuries under the
LHWCA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of relevant and necessary information
from this system of records may also be
made to the following individuals and
entities for the purposes noted when the
purpose of the disclosure is compatible
with the purpose for which the
information was collected: Internal
Revenue Service, for the purpose of
obtaining taxpayer mailing addresses in

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order to locate a taxpayer to collect,
compromise, or write-off a Federal
claim against such taxpayer; discharging
an indebtedness owed by an individual.
Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records is
disclosed to members and staff of the Office
of Administrative Law Judges, the Benefits
Review Board, the Office of the Solicitor and
other components of the Department who
have a need for the record in the performance
of their duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to records should contact the System
Manager indicated above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to contest the
contents of a record should contact the
System Manager.
RECORD SOURCE CATEGORIES:

Records are from Division claim and
payment files (DOL/ESA–15 and DOL/
ESA–24) and from employees, insurers,
service providers; and information
received from parties leading to the
opening of an investigation, or from
interviews held during the course of an
investigation.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

STORAGE:

Records are maintained in manual
files.
RETRIEVABILITY:

Records are retrieved by name of
individual being investigated.
SAFEGUARDS:

Files are maintained under the
supervision of OWCP personnel and
access is provided only to authorized
personnel.
RETENTION AND DISPOSAL:

Time retained varies by type of
compensation case involved, and the
investigative file is retained according to
the same schedule as the particular
compensation case to which it relates.
For example, if the investigative file is
about a lost-time case, it is transferred
to the Federal Records Center 2 years
after the related compensation case is
closed, and destroyed 20 years after the
case is closed. If the investigative file is
about a death case, it is retained in the
office as long as there are qualified
dependents, and destroyed 6 years, 3
months after final closing. ‘‘No Lost
Time cases are destroyed three years
after the end of the fiscal year during
which the related report was received.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210, and District Directors in the
district offices of the Office of Workers’
Compensation Programs set forth in the
Appendix to this document.

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ESA–27
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Longshore and Harbor
Workers’ Compensation Act Claimant
Representatives.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Division of Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs,
Washington, DC 20210, and district
offices of the Office of Workers’
Compensation Programs set forth in the
Appendix to this document.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Requests, including name of
individual being investigated, should be
addressed to the System Manager.

Individuals alleged to have violated
the provisions of the Longshore and
Harbor Workers’ Compensation Act and

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
its implementing regulations relating to
representation of claimants/
beneficiaries before the Department of
Labor, those found to have committed
such violations and who have been
disqualified, and those who are
investigated but not disqualified. This
system would also cover those persons
who have been reinstated as qualified
claimant representatives.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records in the system will consist of
information such as the representative’s
name and address, the names and
addresses of affected claimants/
beneficiaries, copies of relevant
documents obtained from claimant/
beneficiary files relating to the issue of
representation; all documents received
or created as a result of the investigation
of and/or hearing on the alleged
violation of the Longshore Act and/or its
regulations relating to representation,
including investigations conducted by
the DOL Office of Inspector General or
other agency; and copies of documents
notifying the representative and other
interested persons of the
disqualification.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Longshore and Harbor Workers’
Compensation Act, 33 U.S.C.
931(b)(2)(B).
These records contain information on
activities—including billing— relating
to representation of claimants/
beneficiaries, including documents
relating to the debarment of
representatives under other Federal or
state programs.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of relevant and necessary information
from this system of records may also be
made to the following individuals and
entities for the purposes noted when the
purpose of the disclosure is compatible
with the purpose for which the
information was collected:
a. A claimant/beneficiary for the
purpose of informing him/her that his/
her representative has been disqualified
from further representation under the
Longshore Act.
b. Employers, insurance carriers, state
bar disciplinary authorities, and the
general public, for the purpose of
providing information concerning the
qualification of person(s) to act as a
claimant representative under the Act.

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Note: Disclosure of information contained
in the file of the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.

Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records
is disclosed to members and staff of the
Office of Administrative Law Judges, the
Benefits Review Board, the Office of the
Solicitor and other components of the
Department who have a need for the
record in the performance of their
duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PROCEDURES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THIS SYSTEM:
STORAGE:

PURPOSE(S):

VerDate 112000

c. Federal, state or local agency
maintaining pertinent records, if
necessary to obtain information relevant
to a Departmental decision relating to
debarment actions.

The information collected in
connection with complaints is kept in
manual files.
RETRIEVABILITY:

The records are retrieved by the name
of the representative.
SAFEGUARDS:

Records are stored in locked file
cabinets.
RETENTION AND DISPOSAL:

File is retained in the office for three
years after the debarment action is final
and then transferred to the Federal
Records Center, and destroyed thirty
years after the debarment action is final.
Where the period of exclusion is
defined as a set period of time, the file
will be retained two years after the
period of exclusion expires (or the
individual is otherwise reinstated), then
transferred to the Federal Records
Center, and destroyed thirty years after
the debarment action is final.

16875

NOTIFICATION PROCEDURE:

Requests, including name, date of
injury, employer at the time of injury,
and case file number, if known, should
be addressed to the appropriate system
manager indicated above.
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to records should contact the
appropriate system manager listed
above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to contest the
contents of a record should contact the
System Manager.
RECORD SOURCE CATEGORIES:

Information in this system is obtained
from employees, employers, insurance
carriers, members of the public, agency
investigative reports, and from other
DOL systems of records.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ESA–28
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Physicians and Health Care
Providers Excluded under the
Longshore Act.
SECURITY CLASSIFICATION:

None.

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

Director for Longshore and Harbor
Workers’ Compensation Act, Office of
Workers’ Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210, and District Directors in
district offices set forth in the
Appendix.

Division of Longshore and Harbor
Workers’ Compensation, Office of
Workers’ Compensation Programs,
Washington, DC 20210, and district
offices of the Office of Workers’
Compensation Programs set forth in the
Appendix to this document.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Providers of medical goods and
services, including physicians,
hospitals, and providers of medical
support services or supplies excluded or
considered for exclusion from payment
under the Longshore Act, 33 U.S.C.
907(c).
CATEGORIES OF RECORDS IN THE SYSTEM:

Copies of letters, lists, and documents
from Federal and state agencies
concerning the administrative
debarment of providers from
participation in programs providing
benefits similar to those of the
Longshore and Harbor Workers’
Compensation Act and their
reinstatement; materials concerning
possible fraud or abuse which could
lead to exclusion of a provider;
documents relative to reinstatement of
providers; materials concerning the
conviction of providers for fraudulent
activities in connection with any
Federal or state program for which
payments are made to providers for
similar medical services; all letters,
memoranda, and other documents
regarding the consideration of a
provider’s exclusion, the actual
exclusion, or reinstatement under the
provisions of 20 CFR 702.431 et seq.;
copies of all documents in a claimant’s
file relating to medical care and/or
treatment, including bills for such
services; as well as letters, memoranda,
and other documents obtained during
investigations, hearings, and other
administrative proceedings concerning
exclusion for fraud or abuse, as well as
reinstatement, and recommendations
and decisions; lists of excluded
providers released by the OWCP.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Longshore and Harbor Workers’
Compensation Act, 33 U.S.C. 901,
907(c).
PURPOSE(S):

To maintain records to determine the
propriety of instituting debarment
actions under the Longshore Act. These
records also provide information on
treatment, billing and other aspects of a
medical provider’s actions, and/or
documentation relating to the
debarment of the medical care provider
under another Federal or state program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of information from this system of
records may be made to the following

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Jkt 197001

individuals and entities for the purposes
noted when the purpose of the
disclosure is compatible with the
purpose for which the information is
collected:
a. Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of
identifying an excluded or reinstated
provider, to ensure that authorization is
not issued nor payment made to an
excluded provider, and for the purpose
of providing notice that a formerly
excluded provider has been reinstated.
b. Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of obtaining
information necessary to ensure that the
list of excluded providers is correct,
useful, and updated, as appropriate, and
for the purpose of obtaining information
relevant to a Departmental decision
regarding a debarment action. This
routine use encompasses the disclosure
of such information which will enable
the Department to properly verify the
identity of a provider, to identify the
nature of a violation, and the penalty
imposed for such violation.

RETRIEVABILITY:

Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.

An individual wishing to inquire
whether this system of records contains
information about him/her may write
the system manager at the address
above. In order for the record to be
located, the individual must provide his
or her full name, date of birth, and
signature.

Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records is
disclosed to members and staff of the
Benefits Review Board, the Office of
Administrative Law Judges, the Office of the
Solicitor and other components of the
Department who have a need for the record
in the performance of their duties.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PROCEDURES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THIS SYSTEM:
STORAGE:

The records are in manual files,
magnetic tapes or other computer
storage media, or on computer
printouts.

PO 00000

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Material is maintained by the name of
the provider.
SAFEGUARDS:

Material in the possession of the
Office of Workers’ Compensation
Programs and its contractors will be,
when not in use, kept in closed file
cabinets, appropriate lockers and
storage areas, etc.
RETENTION AND DISPOSAL:

File is retained in the office for three
years after the debarment action is final
and then transferred to the Federal
Records Center, and destroyed thirty
years after the debarment action is final.
Where the period of exclusion is
defined as a set period of time, the file
will be retained two years after the
period of exclusion expires (or the
individual is otherwise reinstated), then
transferred to the Federal Records
Center, and destroyed thirty years after
the debarment action is final.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Longshore and Harbor
Workers’ Compensation Act, Office of
Workers’ Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210, and District Directors in the
district offices set forth in the Appendix
to this document.
NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURE:

Any individual seeking access to nonexempt information about a record
within this system of records may write
the appropriate system manager, and
arrangements will be made to provide
review of the file. In order for the record
to be located, the individual must
provide his or her full name, date of
birth, and signature.
CONTESTING RECORD PROCEDURE:

Specific materials in this system have
been exempted from certain Privacy Act
provisions regarding the amendment of
records. The section of this notice
entitled ‘‘Systems Exempted from
Certain Provisions of the Act’’ indicates
the kind of materials exempted, and the
reasons for exempting them. Any
individual requesting amendment of
non-exempt records should contact the
appropriate system manager. In order
for the record to be located, the

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
individual must provide his or her full
name, date of birth, and signature.
Individuals requesting amendment of
records must comply with the
Department’s Privacy Act regulations at
29 CFR 71.1 and 71.9.
RECORD SOURCE CATEGORIES:

Information in this system is obtained
from Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, any other entities or
individuals, public documents, and
newspapers, as well as from other
Department of Labor systems of records.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ESA–29
SYSTEM NAME:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

The Division of Federal Employees’
Compensation, Office of Workers’
Compensation Programs, Washington,
DC 20210, and district offices of the
Office of Workers’ Compensation
Programs set forth in the Appendix to
this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Providers of medical goods and
services, including physicians,
hospitals, and providers of medical
support services or supplies excluded or

19:00 Apr 05, 2002

Jkt 197001

CATEGORIES OF RECORDS IN THE SYSTEM:

Copies of letters, lists and documents
from Federal and state agencies
concerning the administrative
debarment of providers from
participation in programs providing
benefits similar to those of the Federal
Employees’ Compensation Act and their
reinstatement; materials concerning
possible fraud or abuse which could
lead to exclusion of a provider;
documents relative to reinstatement of
providers, materials concerning the
conviction of providers for fraudulent
activities in connection with any
Federal or state program for which
payments are made to providers for
similar medical services; all letters,
memoranda, and other documents
regarding the consideration of a
provider’s exclusion, the actual
exclusion, or reinstatement under the
provisions of 20 CFR 10.815–826; copies
of all documents in a claim file relating
to medical care and/or treatment
including bills for such services, as well
as letters, memoranda, and other
documents obtained during
investigations, hearings and other
administrative proceedings concerning
exclusion for fraud or abuse, as well as
reinstatement, along with
recommendations and decisions; lists of
excluded providers released by the
OWCP.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Federal Employees’ Compensation
Act (5 U.S.C. 8101 et seq.), and Title 20
CFR part 10.
PURPOSE(S):

Office of Workers’ Compensation
Programs, Physicians and Health Care
Providers Excluded under the Federal
Employees’ Compensation Act.

VerDate 112000

considered for exclusion from payment
under the Federal Employees’
Compensation Act for fraud or abuse (20
CFR 10.815–826).

To maintain records to determine the
propriety of instituting debarment
actions under the Federal Employees’
Compensation Act. These records also
provide information on treatment,
billing and other aspects of a medical
provider’s actions, and/or
documentation relating to the
debarment of the medical care provider
under another Federal or state program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of information from this system of
records may be made to the following
individuals and entities for the purposes
noted when the purpose of the
disclosure is compatible with the

PO 00000

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16877

purpose for which the information is
collected:
a. Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of
identifying an excluded or reinstated
provider, to ensure that authorization is
not issued nor payment made to an
excluded provider, and for the purpose
of providing notice that a formerly
excluded provider has been reinstated.
b. Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of obtaining
information necessary to ensure that the
list of excluded providers is correct,
useful, and updated, as appropriate, and
for the purpose of obtaining information
relevant to a Departmental decision
regarding a debarment action. This
routine use encompasses the disclosure
of such information that will enable the
Department to properly verify the
identity of a provider, to identify the
nature of a violation, and the penalty
imposed for such violation.
Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.
Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records is
disclosed to members and staff of the
Employees’ Compensation Appeals Board,
the Office of Administrative Law Judges, the
Office of the Solicitor and other components
of the Department who have a need for the
record in the performance of their duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PROCEDURES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THIS SYSTEM:
STORAGE:

The records are in manual files,
magnetic tapes or other computer
storage media, or on computer
printouts.
RETRIEVABILITY:

Material is maintained either by the
name of the provider, a case citation, or
date of release.

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SAFEGUARDS:

RECORD SOURCE CATEGORIES:

Material in the possession of the
Office of Workers’ Compensation
Programs and its contractors will be,
when not in use, kept in closed file
cabinets, appropriate lockers and
storage areas, etc.

Information in this system is obtained
from Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, any other entities or
individuals, public documents, and
newspapers, as well as from other
Department of Labor systems of records.

RETENTION AND DISPOSAL:

File is retained in the office for three
years after the debarment action is final
and then transferred to the Federal
Records Center, and destroyed thirty
years after the debarment action is final.
Where the period of exclusion is
defined as a set period of time, the file
will be retained two years after the
period of exclusion expires (or the
individual is otherwise reinstated), then
transferred to the Federal Records
Center, and destroyed thirty years after
the debarment action is final.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Federal Employees’
Compensation, Office of Workers’
Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210, and the District Directors of
the district offices set forth in the
Appendix to this document.
NOTIFICATION PROCEDURE:

An individual wishing to inquire
whether this system of records contains
information about him/her may write
the appropriate system manager at the
address above. In order for the record to
be located, the individual must provide
his or her full name, date of birth, and
signature.
RECORD ACCESS PROCEDURE:

Any individual seeking access to nonexempt information about a record
within this system of records may write
the OWCP district office where the case
is located, or the system manager, and
arrangements will be made to provide
review of the file. In order for the record
to be located, the individual must
provide his or her full name, date of
birth, and signature.
CONTESTING RECORD PROCEDURE:

Specific materials in this system have
been exempted from certain Privacy Act
provisions regarding the amendment of
records. The section of this notice
Entitled ‘‘Systems Exempted from
Certain Provisions of the Act’’ indicates
the kind of materials exempted, and the
reasons for exempting them. Any
individual requesting amendment of
non-exempt records should contact the
appropriate the system manager.
Individuals requesting amendment of
records must comply with the
Department’s Privacy Act regulations at
29 CFR 71.1 and 71.9.

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Jkt 197001

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material
compiled for law enforcement purposes
which is maintained in the investigation
files of the Office of Workers’
Compensation Programs, is exempt from
subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) of 5 U.S.C. 552a. The
disclosure of information contained in
civil investigative files, including the
names of persons and agencies to whom
the information has been transmitted,
would substantially compromise the
effectiveness of the investigation.
Knowledge of such investigations would
enable subjects to take such action as is
necessary to prevent detection of illegal
activities, conceal evidence or otherwise
escape civil enforcement action.
Disclosure of this information could
lead to the intimidation of, or harm to,
informants and witnesses, and their
respective families, and the well being
of investigative personnel and their
families.
DOL/ESA–30
SYSTEM NAME:

Office of Workers’ Compensation
Programs, Black Lung Automated
Support Package.
SECURITY CLASSIFICATION:

SYSTEM LOCATION:

Office of Workers’ Compensation
Programs, Division of Coal Mine
Workers’ Compensation, U.S.
Department of Labor Building, 200
Constitution Ave., NW, Washington, DC
20210, and district offices (see addresses
in the Appendix to this document).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing claims for black
lung benefits; claimants receiving
benefits; dependents of claimants and
beneficiaries; medical providers;
attorneys representing claimants; coal
mine operators (workers’ compensation
insurance carriers).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records included are personal (name,
date of birth, SSN, claim type, miner’s

Frm 00064

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 901 et seq., 20 CFR 715.1 et
seq., 20 CFR 720.1 et seq., 20 CFR 725.1
et seq.
PURPOSE(S):

To maintain data on claimants,
beneficiaries and their dependents;
attorneys representing claimants;
medical service providers; coal mine
operators and insurance carriers.
Provide means of automated payment of
medical and disability benefits.
Maintain a history of medical bills
submitted by beneficiaries and medical
service providers. Maintain a history of
disability benefit payments made to
beneficiaries and medical benefit
payments made to beneficiaries and
medical service providers. Maintain
program accounting information
including information on debts owed to
the United States. Provide a means for
the automatic recoupment of
overpayments made to beneficiaries and
medical service providers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Unclassified.

PO 00000

date of death); demographic (state,
county, city, congressional district, zip
code); mine employment history;
medical records; initial determination;
conference results; hearing results;
medical and disability payment history;
accounting information including data
on debts owed to the United States;
Social Security Administration black
lung benefits data; state workers’
compensation claim and benefits data;
coal mine operator names, addresses,
states of operation and histories of
insurance coverage; and medical service
providers names, addresses, license
numbers, medical specialties, tax
identifications and payment histories.

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document , disclosure
of relevant and necessary information
may be made to the following:
a. Mine operators (and/or any party
providing the operator with workers’
compensation insurance) who have
been determined potentially liable for
the claim at any time after the filing of
a notice of injury or claim related to
such injury or occupational illness, for
the purpose of determining liability for
payment.
b. State workers’ compensation
agencies and the Social Security
Administration for the purpose of
determining offsets as specified under
the Act.
c. Doctors and medical services
providers for the purpose of obtaining

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medical evaluations, physical
rehabilitation or other services.
d. Other Federal agencies conducting
scientific research concerning the
incidence and prevention of black lung
disease.
e. Legal representatives, or person
authorized to act on behalf of the
claimant, responsible operator and
program representation on contested
issues.
f. Labor unions and other voluntary
employee associations of which the
claimant is a member for the purpose of
exercising an interest in claims of
members as part of their service to the
members.
g. Contractors providing automated
data processing services to the
Department of Labor, or to any agency
or entity to whom release is authorized,
where the contractor is providing a
service relating to the purpose for which
the information can be released.
h. Federal, state or local agencies if
necessary to obtain information relevant
to a Department decision concerning the
determination of initial or continuing
eligibility for program benefits, whether
benefits have been or are being paid
improperly, including whether dual
benefits prohibited under any federal or
state law are being paid; and salary
offset and debt collection procedures,
including any action required by the
Debt Collection Act of 1982, 31 U.S.C.
3711.
i. Debt collection agency that DOL has
contracted for collection services to
recover indebtedness owed to the
United States.
j. Internal Revenue Service for the
purpose of obtaining taxpayer mailing
addresses in order to locate taxpayers to
collect, compromise, or write-off a
Federal claim against the taxpayer;
discharging an indebtedness owed by an
individual.
k. Credit Bureaus for the purpose of
receiving consumer credit reports
identifying the assets, liabilities, income
and expenses of a debtor to ascertain the
debtor’s ability to pay a debt and to
establish a payment schedule.

taxpayer identification (SSAN), and
other information necessary to establish
the identity of a debtor, the agency and
program under which the claim arose,
are disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting
agencies as defined by section 603(f) of
the Fair Credit Reporting Act (15 U.S.C.
1681a(f); or in accordance with section
3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966 as amended (31
U.S.C. 3711(f) for the purpose of
encouraging the repayment of an
overdue debt.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Magnetic media. Medical bills and
supporting medical reports transferred
to microfilm and magnetic media.
RETRIEVABILITY:

Coal miner’s name and social security
number; medical provider number; coal
mine operator number; insurance carrier
number.
SAFEGUARDS:

Files secured in a guarded facility;
teleprocessing access protected by
restrictions on access to equipment and
through use of encrypted passwords.
RETENTION AND DISPOSAL:

Electronic file data has permanent
retention. Claimant and benefit master
file data will be transferred to magnetic
tape and transmitted to NARA every ten
years. This data (which includes both
open and closed cases) will not be made
available to the public until 90 years
after transfer to NARA due to Privacy
Act restrictions.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Coal Mine
Workers’ Compensation, U.S.
Department of Labor, Room C–3520, 200
Constitution Ave., NW, Washington, DC
20210, and district office director (see
addresses in The Appendix to this
document).

Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.

NOTIFICATION PROCEDURE:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Individuals wishing to access any
records should contact the appropriate
office listed in the Notification
Procedure section. Individuals must

The amount, status and history of
overdue debts; the name and address,

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19:00 Apr 05, 2002

Jkt 197001

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the above address
or district office director (see addresses
in the Appendix to this document).
Individuals must furnish their name,
address, and signature.
RECORD ACCESS PROCEDURES:

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16879

furnish their name, address and
signature.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment of any non-exempt records
should contact the appropriate office
listed in the Notification Procedure
section. Individuals must furnish their
name, address, and signature.
RECORD SOURCE CATEGORIES:

Individuals, and organizations.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Investigatory portion of system
exempted from certain provisions of the
ACT: In accordance with paragraph
3(k)(2) of the Privacy Act, investigatory
material compiled for civil law
enforcement purposes, which is
maintained in this system’s files of the
Office of Workers’ Compensation
Programs of the Employment Standards
Administration, is exempt from
paragraphs (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and paragraph (f) of 5 U.S.C.
552a. The disclosure of civil
investigatory information, if any,
contained in this system’s files,
including the names of persons and
agencies to whom the information has
been transmitted, would substantially
compromise the effectiveness of
investigations. Knowledge of such
investigations would enable subjects to
take such action as is necessary to
prevent detection of illegal activities,
conceal evidence, or otherwise escape
civil enforcement action. Disclosure of
this information could lead to the
intimidation of, or harm to informants,
witnesses, and their respective families,
and in addition, could jeopardize the
safety and well-being of investigative
personnel and their families.
DOL/ESA–32
SYSTEM NAME:

ESA, Employee Conduct
Investigations.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

The Employment Standards
Administration National Office.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Subjects of complaints and/or
investigations covered under the
authority delegated to the Branch of

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Management Review and Internal
Control.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, organization and other
information relating to the individual
involved. It also contains investigative
report(s) associated with the case,
including interviews and other
confidential data gathered.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C.301.
PURPOSE(S):

To investigate allegations of
misconduct.

address listed above. Individuals must
furnish the following information for
their records to be located and
identified: Name; approximate date of
the investigation; and individuals
requesting access must also comply
with the Privacy Act regulations
regarding verification of identity to
records at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.2.
RECORD SOURCE CATEGORIES:

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:

Hotline complaints through the Office
of the Inspector General’s hotline;
hotline complaints through the General
Accounting Office’s hotline system,
personnel records; incident reports
submitted by other employees;
investigative reports, and individuals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ASSESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records are stored in file folders
in metal cabinets.
RETRIEVABILITY:

By name of the subject of the
complaint or the case file number.
SAFEGUARDS:

The files are maintained in locked file
cabinets with access only to those with
a need to know the information to
perform their duties.
RETENTION AND DISPOSAL:

Records are retained for four years
following the date either: (a) They are
referred to the OIG; (b) they are
transferred to OPM/GOVT–3 Records of
Adverse Actions and Actions Based on
Unacceptable Performance; or (c) it is
determined that the allegation was
without sufficient merit to warrant
further action, after which they are
destroyed by burning.
SYSTEM MANAGER(S) AND ADDRESS:

Branch of Management Review and
Internal Management Control, 200
Constitution Ave., NW, Room N–4414,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquires should be mailed or
presented to the system manager noted
at the address noted above.

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ESA–33
SYSTEM NAME:

‘‘Time Report’’ Component of the
Wage and Hour Investigative Support
and Reporting Database (WHISARD)
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO), and District
Offices (DO). See the Appendix to this
document for the addresses.

RECORD ACCESS PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

A request for access shall be
addressed to the system manager at the

Wage and Hour Division Investigators,
Assistants, and Supervisors.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

PO 00000

Frm 00066

Fmt 4701

Sfmt 4703

CATEGORIES OF RECORDS IN THE SYSTEM:

Listing of hours worked distributed
among the various programs Activities;
leave records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

To provide Wage and Hour District
Directors a method of monitoring the
activities of Investigators by providing a
daily record of Investigator activities
including expenditure of hours by case,
Act, non-case activity, and a record of
leave taken.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Printed copies of these records are
maintained in file cabinets and in an
electronic file database in the NO.
RETRIEVABILITY:

By name of Investigator, assistant, and
supervisor.
SAFEGUARDS:

Files are locked except during
working hours. Only authorized
personnel have access to files.
Electronic files are protected by the use
of passwords by authorized persons.
RETENTION AND DISPOSAL:

Printed forms generated by the
WHISARD system will be retained in
Wage and Hour DOs (see Records
Disposal Schedule #NN–168–43, items
1a and 1b). Database information will be
captured on tape at the end of each
fiscal year and retained for 25 years.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, Frances Perkins Building, 200
Constitution Avenue, NW, Washington
DC 20210; Regional Administrators
Wage and Hour Division (see the
Appendix of this document for
addresses).
NOTIFICATION PROCEDURES:

Individuals wishing to make inquiries
regarding this system should contact the
system manager, or the regional office
servicing the state where they are
employed (see the Appendix of this
document for addresses).

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
RECORD ACCESS PROCEDURES:

Individuals wishing to request these
records should contact the appropriate
system manager listed above.
CONTESTING RECORD PROCEDURES:

Individuals who wish to contest or
amend any nonexempt system should
direct their request to the system
manager listed in the Appendix. In
addition, the request should state
clearly and concisely what information
is being contested, the reason for
contesting it, and the proposed
amendment sought for the information.
See 29 CFR part 71.
RECORD SOURCE CATEGORIES:

Individual investigators, assistants
and supervisors, Wage and Hour
investigator personnel working in
District Offices.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, relevant
and necessary information may be
disclosed to the system manager of
DOL/ESA–37, MSPA Public Central
Register Records File, for the purpose of
preparing its list.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.

None.
DOL/ESA–34

Records are kept in letter size manual
files, computer discs and computer
printouts. Records are stored in metal
file cabinets in Wage and Hour Regional
Offices and in the office of the Florida
Department of Labor & Employment
Security, Agricultural Programs Section,
located in Tallahassee, Florida.

The applicant, insurance companies,
FBI, court and police records, and from
investigations conducted by DOL.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–35
SYSTEM NAME:

Farm Labor Contractor Employee
Registration File.
SECURITY CLASSIFICATION:

SYSTEM LOCATION:

All Wage and Hour Regional Offices
and the Florida Department of Labor &
Employment Security, Agricultural
Programs Section located in
Tallahassee, Florida.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Applicants for and holders of Farm
Labor Contractor Employee Certificates
of Registration.
CATEGORIES OF RECORDS IN THE SYSTEM:

SYSTEM NAME:

RETRIEVABILITY:

Farm Labor Contractor Registration
File.

Indexed by the name of the applicant/
holder.

SECURITY CLASSIFICATION:

SAFEGUARDS:

None.
SYSTEM LOCATION:

All Wage and Hour Regional Offices
and the Florida Department of Labor &
Employment Security, Agricultural
Programs Section located in
Tallahassee, Florida.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Accessible only to persons engaged in
the administration of the program and
there is screening to prevent
unauthorized disclosure.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records, which contain personal
identification, fingerprints, FBI records,
insurance records, court and police
records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Records must be retained for a period
of five years from the date of last
certificate of action, and then destroyed
when no longer needed.
Administrator, Wage and Hour
Division, 200 Constitution Avenue, NW,
Washington, DC 20210, and Regional
Administrator for Wage and Hour of
relevant Regional Offices.
NOTIFICATION PROCEDURE:

To System Manager(s) at above
address.

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.

RECORD ACCESS PROCEDURES:

PURPOSE(S):

CONTESTING RECORD PROCEDURES:

To maintain a record of applicants for
and holders of Farm Labor Contractor
Certificates of Registration. Records are
used to determine eligibility for
issuance of a certificate of registration
and for determining compliance with
MSPA.

Address inquiries to Administrator,
Wage and Hour Division, 200
Constitution Avenue, NW, Washington,
DC 20210, and Regional Administrator
for Wage and Hour of relevant Regional
Offices. Such inquiries should include
the full name of the requester.

19:00 Apr 05, 2002

Jkt 197001

Write to System Manager(s) indicated
above.

PO 00000

Frm 00067

Fmt 4701

Sfmt 4703

Records which contain personal
identification, fingerprints, FBI records,
insurance records, court and police
records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.
PURPOSE(S):

RETENTION AND DISPOSAL:

SYSTEM MANAGER(S) AND ADDRESS:

Applicants for and holders of Farm
Labor Contractor Certificates of
Registration.

VerDate 112000

RECORD SOURCE CATEGORIES:

Unclassified.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

16881

To maintain a record of applicants for
and holders of Farm Labor Contractor
Employee Certificates of Registration.
Records are used to determine eligibility
for issuance of a certificate of
registration and for determining
compliance with MSPA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, relevant
and necessary information may be
disclosed to the system manager of
DOL/ESA–37, MSPA Public Central
Register Records File, for the purpose of
preparing its list.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are kept in letter size manual
files, computer discs and computer

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

printouts. Records are stored in metal
file cabinets in Wage and Hour Regional
Offices and in the office of the Florida
Department of Labor & Employment
Security, Agricultural Programs Section,
located in Tallahassee, Florida.
RETRIEVABILITY:

Indexed by the name of the applicant/
holder.
SAFEGUARDS:

Accessible only to persons engaged in
the administration of the program and
there is screening to prevent
unauthorized disclosure.

SECURITY CLASSIFICATION:

RETENTION AND DISPOSAL:

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO) and District
Offices (DO), see The Appendix of this
document for addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All persons investigated and assessed
civil money penalties (CMPs) under the
Migrant and Seasonal Agricultural
Worker Protection Act (MSPA).
CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

Records must be retained for a period
of five years from the date of last
certificate of action, and then destroyed
when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, 200 Constitution Avenue, NW,
Washington, DC 20210, and Regional
Administrator for Wage and Hour of
relevant Regional Offices.
NOTIFICATION PROCEDURE:

Names, addresses, Social Security
numbers, complaint information,
employer information, employer/
employee interviews, payroll
information, housing and/or vehicle
inspection reports, outcome of
investigation, notification of
determination to assess a CMP, hearing
requests and/or subsequent legal
documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Write to System Manager(s) indicated
above.

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.

RECORD ACCESS PROCEDURES:

PURPOSE(S):

Write to appropriate System Manager
indicated above.

To maintain records on persons
assessed MSPA CMPs and all actions
connected therewith.

CONTESTING RECORD PROCEDURES:

Address inquiries to Administrator,
Wage and Hour Division, 200
Constitution Avenue, NW, Washington,
DC 20210, and Regional Administrator
for Wage and Hour of relevant Regional
Offices. Such inquiries should include
the full name of the requester.
RECORD SOURCE CATEGORIES:

The applicant, insurance companies,
FBI, court and police records, and from
investigations conducted by DOL.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–36
SYSTEM NAME:

MSPA Civil Money Penalties in the
Wage Hour Investigative Support and
Reporting Database (WHISARD).
SECURITY CLASSIFICATION:

None.

None, except for those routine uses
listed in the General Prefatory Statement
to this document.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

Not applicable.

SYSTEM NAME:

MSPA Civil Money Penalties in the
Wage Hour Investigative Support and
Reporting Database (WHISARD).

19:00 Apr 05, 2002

Jkt 197001

STORAGE:

Original records are stored in Wage
and Hour offices. These records and
other information are also maintained in
an electronic file database in these
offices.
Records are retrieved by employer
name, Employer Identification Number,
case file number or Act violated.

NOTIFICATION PROCEDURES:

Individuals wishing to make inquiries
regarding this system should contact the
system manager, or the regional office
that services the state in which they are
located (see list of the regional office
addresses in the Appendix of this
document). Inquiries should include the
full name of the requester and the date
and amount of assessment.
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to these records should contact the
appropriate regional office listed in the
Appendix.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest or
amend any records should direct their
request to the appropriate regional office
listed in the Appendix. Such inquiries
should include the full name of the
requester and the date and amount of
assessment.
The subject of the investigation,
employer(s), employee(s) (present and/
or former), insurance companies, other
government agencies, court documents,
and previous investigations (if
applicable).
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

MSPA Public Central Registry
Records File.
SECURITY CLASSIFICATION:

Only authorized personnel have
access by use of passwords to
information stored on the database.
Original records are securely stored in
Wage and Hour Regional Offices.

Frm 00068

Administrator, Wage and Hour
Division, Room S–3502, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210.

DOL/ESA–37

RETRIEVABILITY:

PO 00000

SYSTEM MANAGER(S) AND ADDRESS:

RECORD SOURCE CATEGORIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM

SAFEGUARDS:

DOL/ESA–36

VerDate 112000

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

1. Electronic records are electronically
archived; data tapes are retained for 25
years.
2. Printed information generated by
this system and retained in a Wage-Hour
office will be disposed of as follows:
Printed information, concerning cases
where violations were found, is
disposed of 12 years after the date the
case is closed. For cases where no
violation were found, printed
information is disposed of three years
after the closing date.

Fmt 4701

Sfmt 4703

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO) and District

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
Offices (DO), see the Appendix for
addresses.

Original records are securely stored in
Wage and Hour Regional Offices.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RETENTION AND DISPOSAL:

Holders of Farm Labor Contractor and
Farm Labor Contractor Employee
Certificates of Registration.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records which contain the name,
address, certificate of registration
number, authorization to transport,
house, or drive (if any), and effective
and expiration dates of holders of Farm
Labor Contractor and Farm Labor
Contractor Employee Certificates of
Registration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.
PURPOSE(S):

To maintain a record of holders of
Farm Labor Contractor and Farm Labor
Contractor Employee Certificates of
Registration.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to the routine uses listed
in the General Prefatory Statement to
this document, a public central registry
of all persons issued certificates of
registration is maintained by name and
address which is available to anyone,
upon request, as required by the Migrant
and Seasonal Agricultural Worker
Protection Act (MSPA), as amended
(Section 402). Alternatively, section
500.170 of 29 CFR Part 500 provides
that requests for registry information
may be made by telephone by calling a
toll-free number (listed). This registry is
the source for providing that
information.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

Not applicable.

1. Electronic records are updated on
a real-time basis. Expired certificate
records are electronically archived
daily. Data tapes are retained for 25
years.
2. Printed information generated by
the certificates program and retained in
a Wage-Hour office will be disposed of
5 years after the date of last certificate
action.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, Frances Perkins Building, 200
Constitution Avenue, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURES:

Individuals wishing to make inquiries
regarding this system should contact the
system manager, or the regional office
that services the state in which they are
located (see list of the regional office
addresses in the Appendix).
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to these records should contact the
appropriate regional office listed in the
Appendix.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest or
amend any records should direct their
request to the appropriate regional office
listed in the Appendix. Such inquiries
should include the full name of the
requester and the date and amount of
assessment.
RECORD SOURCE CATEGORIES:

Farm labor contractor and farm labor
contractor employee applications and
certificates of registration.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM

SYSTEM NAME:

Original records are stored in the
Wage and Hour Regional Offices. These
records are also maintained in an
electronic file Database in the DOL NO.

Wage and Hour Regional Office
Clearance List—MSPA Registration
None.
SYSTEM LOCATION:

Records are retrieved by name, Social
Security Number (or Employer
Identification Number), or Farm Labor
Contractor Registration Number.

Wage and Hour National Office (NO),
Regional Offices (RO) and District
Offices (DO), see the Appendix for
addresses.

SAFEGUARDS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

Farm labor contractors and farm labor
contractor employees who may not

PO 00000

Frm 00069

CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing names, addresses,
and social security numbers,
outstanding unpaid CMPs under MSPA,
injunctions, convictions, deportations,
and previous actions to deny or revoke
a certificate of registration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.
PURPOSE(S):

To provide a list of persons who may
not meet eligibility requirements for
issuance of a farm labor contractor or
farm labor contractor employee
Certificate of Registration to be used as
a reference document for screening
incoming applications by Wage and
Hour Regional Offices and to provide
historical and current compliance
information to Wage and Hour National,
Regional, and District Offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM
STORAGE:

Original records are stored in the
Wage and Hour Regional Offices. These
records are also maintained in an
electronic file Database in the DOL
National Office.

Fmt 4701

Sfmt 4703

Records are retrieved by name or
Social Security number (or Employer
Identification Number).
SAFEGUARDS:

SECURITY CLASSIFICATION:

RETRIEVABILITY:

Only authorized personnel have
access by use of passwords to
information stored on the database.

currently meet eligibility requirements,
as stated in the Migrant and Seasonal
Agricultural Worker Protection Act
(MSPA) for issuance of a certificate of
registration.

RETRIEVABILITY:

DOL/ESA–38

STORAGE:

16883

Only authorized personnel have
access by use of passwords to
information stored on the database.
Original records are securely stored in
Wage and Hour Regional Offices.
RETENTION AND DISPOSAL:

1. Electronic records are updated on
a real-time basis. Data tapes are retained
for 25 years.
2. Printed information retained in
Wage-Hour offices will be disposed of 5

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

years after the date of the last certifice
action.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, Frances Perkins Building, 200
Constitution Avenue, NW, Washington,
DC 20210.

Farm labor contractors and farm labor
contractor employees who may not
currently meet eligibility requirements,
as stated in the Migrant and Seasonal
Agricultural Worker Protection Act
(MSPA), for issuance of a certificate of
registration.

NOTIFICATION PROCEDURES:

Individuals wishing to make inquiries
regarding this system should write to
the system manager, or the regional
office that services the state in which
they are located (see list of the regional
office addresses in the Appendix of this
document).
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to these records should write to the
appropriate office listed in the
Appendix. Accessible only to persons
engaged in the administration of the
program.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest or
amend any record procedures should
write to the system manager listed in the
Appendix. The request should state
clearly and concisely what information
is being contested, the reason for
contesting it, and the proposed
amendment sought for the information.
RECORD SOURCE CATEGORIES:

Insurance companies, FBI, court and
police records, previous actions to deny
or revoke certificates of registration, and
from investigations conducted by DOL
and subsequent legal documents
following such investigations.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–39
SYSTEM NAME:

State Employment Service Clearance
List—MSPA Registration
None.
SYSTEM LOCATION:

The Department of Labor &
Employment Security, Tallahassee,
Florida; New Jersey Department of
Labor, Trenton, New Jersey; Virginia
Employment Commission, Richmond,
Virginia; Wage and Hour National Office
(NO), Regional Offices (RO) and District
Offices (DO), see the Appendix of this
document for addresses of the Wage and
Hour offices.

19:00 Apr 05, 2002

Records contain names, addresses,
and Social Security numbers.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Jkt 197001

Write to System Manager(s) indicated
above.
RECORD ACCESS PROCEDURES:

Write to System Manager(s) indicated
above.
CONTESTING RECORD PROCEDURES:

Write to System Manager(s) indicated
above.
RECORD SOURCE CATEGORIES:

Wage and Hour Clearance List—
MSPA Registration.

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

PURPOSE(S):

DOL/ESA–40

To provide a list of persons who may
not meet eligibility requirements for
issuance of a farm labor contractor or
farm labor contractor employee
Certificate of Registration to be used as
a reference document for screening
incoming applications by the
Department of Labor and Employment
Security, Tallahassee, Florida; New
Jersey Department of Labor, Trenton,
New Jersey; and Virginia Employment
Commission, Richmond, Virginia.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM

None.

SYSTEM NAME:

MSPA Tracer List.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

The Wage and Hour National Office.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Farm labor contractors, farm labor
contractor employees, agricultural
employers, and housing providers who
have been investigated under the
Migrant and Seasonal Agricultural
Worker Protection Act (MSPA).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing names, addresses,
and Certificate of Registration numbers
of persons investigated under MSPA;
location and scope of investigation,
period covered and results of
investigations conducted.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

STORAGE:

Electronic data is stored on computer
disc.

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.

RETRIEVABILITY:

PURPOSE(S):

Records are retrieved by name or by
Social Security Number.

RETENTION AND DISPOSAL:

To provide a written compliance
history of persons who have been
investigated under MSPA and the
results of those investigations as a
reference document for Wage and Hour
investigators to determine knowledge of
the Act by the person being investigated
and whether previous violations are
ongoing.

Electronic records are updated on a
monthly basis. Data tapes are retained
for 25 years.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

This is accessible only to persons
engaged in the administration of the
program and there is screening to
prevent unauthorized disclosure.

SECURITY CLASSIFICATION:

VerDate 112000

CATEGORIES OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURES:

SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, Frances Perkins Building, 200
Constitution Avenue, NW, Washington,
DC 20210.

PO 00000

Frm 00070

Fmt 4701

Sfmt 4703

None except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM

DOL/ESA–41
SYSTEM NAME:

MSPA Certificate Action Record Files.

STORAGE:

Records are stored on computer media
at the Wage and Hour National Office.

SECURITY CLASSIFICATION:

RETRIEVABILITY:

SYSTEM LOCATION:

Records are retrieved by name.

Administrator, Wage and Hour
Division, 200 Constitution Avenue, NW,
Washington, DC 20210.

None.

Electronic data is stored on computer
disc. This is accessible only to persons
engaged in the administration of the
program and there is screening to
prevent unauthorized disclosure.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RETENTION AND DISPOSAL:

CATEGORIES OF RECORDS IN THE SYSTEM:

Electronic records are updated on a
monthly basis. Data tapes are retained
for 25 years.

Names, addresses, Social Security
numbers, fingerprints, FBI records,
insurance records, court and police
records.

SYSTEM MANAGER(S) AND ADDRESS:

Applicants for and holders of Farm
Labor Contractor/Farm Labor Contractor
Employee Certificates of Registration.

Administrator, Wage and Hour
Division, Frances Perkins Building, 200
Constitution Avenue, NW, Washington,
DC 20210.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

NOTIFICATION PROCEDURES:

PURPOSE(S):

Write to System Manager(s) indicated
above.

To maintain a record of persons
whose applications for or previously
issued Farm Labor Contractor/Farm
Labor Contractor Employee Certificates
of Registration have been denied or
revoked and all subsequent actions
connected therewith.

RECORD ACCESS PROCEDURES:

Write to System Manager(s) indicated
above.
CONTESTING RECORD PROCEDURES:

5 U.S.C. 301; Migrant and Seasonal
Agricultural Worker Protection Act, as
amended (MSPA), 29 U.S.C. 1801 et seq.

Write to System Manager(s) indicated
above.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

RECORD SOURCE CATEGORIES:

None except for these routine uses
listed in the General Prefatory Statement
to this document.

The person investigated, employers,
employees, insurance companies, FBI,
court and police records, and from
investigations conducted by DOL and
subsequent legal documents following
such investigations.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a
provided, however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence.

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Jkt 197001

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are stored in metal file
cabinets and computer media in the
Wage and Hour National Office.
Computer media are stored in the Wage
and Hour National Office and Regional
Offices.
RETRIEVABILITY:

By the name of the applicant/holder.
SAFEGUARDS:

Accessible only to persons engaged in
the administration of the program and
there is screening to prevent
unauthorized disclosure.
RETENTION AND DISPOSAL:

Records must be retained for a period
of five years from the expiration date of

PO 00000

Frm 00071

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a certificate of registration or from the
date an application is received where no
certificate has been issued.
SYSTEM MANAGER(S) AND ADDRESS:

Wage and Hour National Office and
Regional Offices.

SAFEGUARDS:

16885

NOTIFICATION PROCEDURE:

Write to System Manager at above
address.
RECORD ACCESS PROCEDURES:

Write to System Manager indicated
above.
CONTESTING RECORD PROCEDURES:

Write to Administrator, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210.
Such inquiries should include the full
name of the requester.
RECORD SOURCE CATEGORIES:

Applicants, individuals, insurance
companies, FBI, court and police
records, and from investigations
conducted by DOL.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence.
DOL/ESA–42
SYSTEM NAME:

Case Registration/Investigator
Assignment Form; in the Wage and
Hour Investigative Support and
Reporting Database (WHISARD).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO), and District
Offices (DO); see the Appendix of this
document for addresses.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
NOTIFICATION PROCEDURES:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Wage and Hour Investigators.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing name and address,
case investigation number, investigation
program, investigating office, prior
history of investigations, and
investigating officer.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

To provide Wage and Hour DOs with
a record of employers currently
undergoing investigation by Wage and
Hour within the jurisdiction of that
particular DO. Used to record the initial
scheduling of an investigation,
assignment to an Investigator and
subsequent actions.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Individuals wishing to make inquiries
regarding this system should contact the
system manager, or the regional office
servicing the state where they are
employed (see list of the regional office
addresses in the Appendix of this
document).
RECORD ACCESS PROCEDURES:

Individuals wishing to request access
to these records should contact the
appropriate office listed in the
Appendix.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest or
amend any nonexempt records should
direct their request to the disclosure
officer listed in the Appendix. In
addition, the request should state
clearly and concisely what information
is being contested, the reason for
contesting it, and the proposed
amendment sought for the information.

District Offices where the OWCP case
file is located. See the Appendix to this
document for District Office addresses.
Copies of claim forms and other
documents arising out of a job-related
injury that resulted in the filing of a
claim under the FECA may also be
maintained by the employing agency
(and where the forms were transmitted
to the OWCP electronically, the original
forms are maintained by the agency).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

The rehabilitation records cover either
individuals covered by the Federal
Employees’ Compensation Act (FECA)
for injuries on the job, or individuals
covered by the Longshore and Harbor
Workers’ Compensation Act (LHWCA),
and related acts. See DOL/GOVT–1 for
further explanation of employees
covered by the FECA, and DOL/ESA–15
for those covered by the LHWCA.
CATEGORIES OF RECORDS IN THE SYSTEM:

Only authorized personnel have
access to files. Files locked in office at
close of business day. Electronic file
protected by password.

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.

Records found in the FECA or
Longshore case file (see DOL/GOVT–1
and DOL/ESA–15), notes on telephone
calls and interviews with rehabilitation
counselors, claimants, potential
employers, physicians and others who
have been contacted as part of the
rehabilitation process, notes created by
the rehabilitation specialist and the
rehabilitation counselor concerning the
rehabilitation process relating to the
claimant proposed and/or approved
rehabilitation plans, and reports
submitted in connection with the plans.
These records also contain information
about covered employees’ entitlement to
wage-loss compensation benefits and
entitlement to medical benefits and
treatment, and contain information
about medical and vocational testing,
rehabilitation plans and the
documentation supporting such plans.
The records may also include other
information relating to the vocational
rehabilitation process under the relevant
statute.

RETENTION AND DISPOSAL:

DOL/ESA–43

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Printed investigation forms generated
by the WHISARD system will be
retained in the investigative files of
Wage and Hour District Offices (see
Records Disposal Schedule #NN–168–
43, items 1a and 1b.) Database
information will be captured on tape at
the end of each fiscal year and will be
retained for 25 years.

SYSTEM NAME:

SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

Administrator, Wage and Hour
Division, Room S–3502, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210.

Rehabilitation files are located in the
Federal Employees’ Compensation
(FEC) and Longshore and Harbor
Workers’ Compensation (Longshore)

Complainants, employers, and Wage
and Hour personnel.

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Maintained in the DOL NO in
electronic file Database.
RETRIEVABILITY:

By name of employer, by North
American Industrial Code (NAIC) and/
or Employer Identification Number
(EIN).
SAFEGUARDS:

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19:00 Apr 05, 2002

Jkt 197001

RECORD SOURCE CATEGORIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Office of Workers’ Compensation
Programs, Federal Employees’
Compensation Act and Longshore and
Harbor Workers’ Compensation Act
Rehabilitation Files.
SECURITY CLASSIFICATION:

None.

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5 U.S.C. 8101 et seq.; 33 U.S.C. 901,
et seq.; 36 DC Code 501 et seq.; 42
U.S.C. 1331 et seq.; 5 U.S.C. 8171 et seq.
PURPOSE(S):

These records are maintained to
provide information and verification
about the covered employees’ workrelated injuries and the vocational
rehabilitation process.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory

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Statement to this document, disclosure
of information from this system of
records may be made to the following
individuals and entities for the purposes
noted when the purpose of the
disclosure is compatible with the
purpose for which the information is
collected:
a. Rehabilitation agencies, counselors,
screeners, physicians and medical
providers, and other persons or entities,
for the purpose of providing
rehabilitation services to injured
workers under the FECA or LHWCA.
b. The worker’s former employer or its
representatives, including third-party
administrators, and where appropriate
the employer’s insurance carrier, for the
purpose of paying compensation
benefits, including medical expenses,
and the cost of the rehabilitation
services provided to the injured worker.
c. Employers, including federal
agencies, which may consider returning
the worker to employment, or to hiring
such worker as a result of the return-towork effort conducted by OWCP during
the rehabilitation process.
d. Labor unions and other voluntary
employee associations from whom the
claimant has requested assistance with
claims processing and adjudication and
other services.
Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.
Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records is
disclosed to members and staff of the
Benefits Review Board, the Employees’
Compensation Appeals Board, the Office of
Administrative Law Judges, the Office of the
Solicitor and other components of the
Department who have a need for the record
in the performance of their duties.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Case files are maintained in manual
files, security case files in locked
cabinets, and FECA or LHWCA
management information system
information, chargeback file and other

19:00 Apr 05, 2002

Jkt 197001

requesting amendment of records must
comply with the Department’s Privacy
Act regulations at 29 CFR 71.1 and 71.9.

RETRIEVABILITY:

RECORD SOURCE CATEGORIES:

Files and automated data are retrieved
after identification by coded file
number, which is cross-referenced to
employee by name.
SAFEGUARDS:

Files and automated data are
maintained under supervision of OWCP
personnel during normal working
hours—only authorized personnel may
handle or disclose any information
contained therein. Only personnel
having security clearance may handle or
process security files. After normal
working hours, security files are kept in
locked cabinets. All files and data are
maintained in guarded Federal
buildings.
All rehabilitation files are merged
with the FECA or Longshore case file
(see DOL/GOVT–1 or DOL/ESA–15) at
the conclusion of the rehabilitation
effort and are retained consistent with
the retention schedule for the case files.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Division of Planning, Policy
and Standards, Office of Workers’
Compensation Programs, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURE:

Individuals wishing to request
amendment of any records should
contact the appropriate office listed in
the Notification Procedure section, or
the system manager. Individuals must
furnish their name, the claim number
and signature. Any individual

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SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

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

None.
SYSTEM LOCATION:

An individual wishing to inquire
whether this system of records contains
information about him or her may write
or telephone the OWCP District Office
which services the State in which the
individual resided or worked at the time
the individual thinks he or she filed a
claim, or the system manager. In order
for a record to be located, the individual
must provide his or her full name, FEC
or LHWCA case number (if known), date
of injury (if known), and date of birth.

PO 00000

Claimants, claim forms, medical
reports, correspondence, investigative
reports, employment reports; Federal
and state agency records, any other
record or document pertaining to a
claimant or his dependent as it relates
to the claimant’s age, education, work
history, marital history or medical
condition; notes on telephone
conversations conducted by the
rehabilitation specialist or counselor
with employers, medical providers and
others.

DOL/ESA–44

RETENTION AND DISPOSAL:

CONTESTING RECORD PROCEDURES:

STORAGE:

VerDate 112000

automated data are stored on computer
discs or magnetic tapes which are stored
in cabinets.

Individuals wishing to request access
to records should contact the
appropriate office listed in the
Notification Procedure section, or the
system manager. Individuals must
furnish their name, the claim number
and signature.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

16887

Files concerning rehabilitation
counselors are located in the Federal
Employees’ Compensation (FEC) and
Longshore and Harbor Workers’
Compensation (Longshore) District
Offices where the counselor is certified.
Files for FEC field nurses are found in
FEC district offices. See the Appendix to
this document for District Office
addresses. Copies of claim forms and
other documents arising out of a jobrelated injury that resulted in the filing
of a claim under the FECA may also be
maintained by the employing agency
(and where the forms were transmitted
to the OWCP electronically, the original
forms are maintained by the agency).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

The rehabilitation counselor/nurse
files cover individuals who have
entered into a contract with the Office
of Workers’ Compensation Programs to
provide rehabilitation counselor or
nursing services under the Federal
Employees’ Compensation Act (FECA)
and/or the Longshore and Harbor
Workers’ Compensation Act (LHWCA).

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

CATEGORIES OF RECORDS IN THE SYSTEM:

Names, addresses and information on
qualifications of rehabilitation
counselors/nurses certified by and
under contract with OWCP to provide
rehabilitation services to injured
workers under the FECA and LHWCA or
field nurse services under FECA. In
addition there are records compiled and
maintained by the rehabilitation
specialist or the OWCP staff nurse,
concerning the assignment of
rehabilitation/field nurse cases to the
counselor/nurse and the performance of
the counselor/nurse in fulfilling the
duties under the contract with OWCP.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

These records are maintained to
provide information about the
rehabilitation counselor or field nurse,
including the name, address, telephone
number, counselor/nurse status, skill
codes, number of referrals, status of
referrals and notes. These notes can
include evaluation of performance and
other matters concerning performance of
the contract.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

Note: Pursuant to 5 U.S.C. 552a(b)(1),
information from this system of records may
be disclosed to members and staff of the
Benefits Review Board, the Employees’
Compensation Appeals Board, the Office of
Administrative Law Judges, the Office of the
Solicitor and other components of the
Department who have a need for the record
in the performance of their duties.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records are maintained in
electronic form within the OWCP
rehabilitation data system, or staff nurse
monitoring system and in hard copy

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Jkt 197001

RETRIEVABILITY:

Files and automated data are retrieved
by the name of the counselor/nurse
through the database and/or files
maintained in the appropriate OWCP
district office.
SAFEGUARDS:

Files and automated data are
maintained under supervision of OWCP
personnel during normal working
hours—only authorized personnel may
handle or disclose any information
contained therein. Only personnel
having appropriate authorization,
including security codes, may access the
electronic files and only the
rehabilitation specialists or staff nurses
who monitor contract performance and
actions in individual claims, as well as
the appropriate supervisors and
managers in the district office and the
national office, may access the files.
RETENTION AND DISPOSAL:

All case files and automated data
pertaining to the OWCP rehabilitation
counselors/nurses are maintained for
two years following the termination of
the contract.
SYSTEM MANAGER(S) AND ADDRESS:

Note: Disclosure of information contained
in the file to the claimant, a person who is
duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.

VerDate 112000

records maintained in the OWCP
district office. Records are principally
stored by district office in electronic
form, accessed by appropriate codes.
Hard copy records may be maintained
in the district office in locked cabinets.

Director, Division of Planning, Policy
and Standards, Office of Workers’
Compensation Programs, U.S.
Department of Labor, 200 Constitution
Avenue NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

An individual wishing to inquire
whether this system of records contains
information about him or her may write
or telephone the appropriate OWCP
District Office for the geographic region
for which that individual contracted to
provide services. In order for a record to
be located, the individual must provide
his or her full name and date of birth.
RECORD ACCESS PROCEDURE:

Individuals wishing to request access
to records should contact the
appropriate office listed in the
Notification Procedure section, or the
system manager. Individuals must
furnish their name, the claim number
and signature.

RECORD SOURCE CATEGORIES:

Rehabilitation Counselors, Field
Nurses, Other Individuals,
correspondence, investigative reports,
Federal and state agency records, any
other record or document pertaining to
a contract.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–45
SYSTEM NAME:

Investigative Files of the Office of
Labor-Management Standards.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

The field offices of the Office of
Labor-Management Standards.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Union officials and other individuals
investigated or interviewed in
connection with investigations carried
out pursuant to the Labor-Management
Reporting and Disclosure Act, 29 U.S.C.
401 et. seq.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records compiled in connection with
investigations conducted under the
Labor-Management Reporting and
Disclosure Act of 1959, as amended
(LMRDA), and under the standards of
conduct provisions of the Civil Service
Reform Act of 1978 (CSRA) and Foreign
Service Act of 1980 (FSA), and the
Congressional Accountability Act of
1995 (CAA) and the implementing
regulations at 29 CFR part 458.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 401 et seq., 5 U.S.C. 7120,
22 U.S.C. 4117, 2 U.S.C. 1351 (a)(1), 29
CFR part 458.
PURPOSE(S):

Records are compiled in connection
with enforcement of the LMRDA and
the standards of conduct provisions of
the CSRA and FSA and CAA and the
implementing regulations at 29 CFR part
458.

CONTESTING RECORD PROCEDURES:

ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEMS, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Individuals wishing to request
amendment of any records should
contact the appropriate office listed in
the Notification Procedure section, or
the system manager.

Records may be disclosed to
interested persons or officials as
provided for in section 601(a) of the
Labor-Management Reporting and
Disclosure Act, 29 U.S.C. 521(a). See

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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:

address above, reasonably identify the
records pertaining to them, the
information which is being contested in
those records, the corrective action(s)
being sought, and the reasons for the
corrections(s).
RECORD SOURCE CATEGORIES:

Labor unions, union members, union
officials and employees, employers,
labor relations consultants, and other
individuals.

STORAGE:

Manual files and manual and
computer indices.
RETRIEVABILITY:

By name of union, union officials,
individuals investigated, business
organizations, labor relations
consultants, and other individuals and
organizations deemed significant.
SAFEGUARDS:

These records are normally
maintained in secured file cabinets with
access strictly limited to only those
employees of the agency who need such
information as part of their official
duties. A charge-out system is employed
to restrict and monitor withdrawal of
records from the files.
RETENTION AND DISPOSAL:

Records pertaining to open
investigations are retained in the OLMS
field offices. Closed files are retained in
field offices for two years after which
they are retired to Federal Records
Centers. FRC will destroy files after
eight calendar years of storage (ten years
after closure of case).
SYSTEM MANAGER(S) AND ADDRESS:

Deputy Assistant Secretary for LaborManagement Programs, U.S. Department
of Labor, 200 Constitution Avenue, NW,
Washington, D.C. 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the systems manager. Individuals must
furnish the following information for
their records to be located and
identified: Name, date of birth, union or
business affiliation.
RECORDS ACCESS PROCEDURE:

Individuals wishing to request access
to records pertaining to them should
contact the systems manager.
Individuals must furnish the following
information for their records to be
located or identified: Name, date of
birth, and union or business affiliation.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

To the extent this system of records is
maintained for criminal law
enforcement purposes, it is exempt
pursuant to 5 U.S.C. 552a (j)(2) from all
provisions of the Privacy Act except the
following: 5 U.S.C. 552a (b), (c)(1) and
(2), (e)(4)(A) through (F), (e)(6), (7), (9),
and (11), and (i). In accordance with 5
U.S.C. 552a(k)(2), investigatory material
in this system of records compiled for
civil law enforcement purposes is
exempt for subsections (c)(3); (d); (e)(1),
(e)(4)(G), (H), and (I); and (f) of 5 U.S.C.
552a, provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individuals, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
Exemption under 5 U.S.C. 552a(j)(2) and
(k)(2) of information within this system
of records is necessary to undertake the
investigative and enforcement
responsibilities of OLMS, to prevent
individuals from frustrating the
investigatory process, to prevent
subjects of investigation from escaping
prosecution or avoiding civil
enforcement, to prevent disclosure of
investigative techniques, to protect the
confidentiality of witnesses and
informants, and to protect the safety and
well-being of witnesses, informants, and
law enforcement personnel, and their
families.
DOL/ESA–46

CONTESTING RECORD PROCEDURE

SYSTEM NAME:

Individuals wishing to contest
information in their files may write to
the system manager at the specified

Migrant and Seasonal Agricultural
Worker Protection Act (MSPA)
Ineligible Farm Labor Contractors.

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16889

SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Wage and Hour National Office.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons whose Farm Labor Contractor
or Farm Labor Contractor Employee
Certificate of Registration has been
revoked or whose application for such
certificate has been denied and such
action has become a final and
unappealable Order of the Secretary of
Labor.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing the names and
addresses of persons whose certificates
of registration have been revoked or
whose application for a certificate of
registration have been denied.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Migrant and Seasonal Agricultural
Worker Protection Act, as amended
(MSPA), 29 U.S.C. 1801 et seq.
PURPOSES:

To provide a written listing of
individuals who may not legally engage
in any activity as a farm labor contractor
or farm labor contractor employee.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

This listing is mailed upon request to
the General Public.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are stored in all Wage and
Hour Regional Offices, some Wage and
Hour District Offices and the Wage and
Hour National Office.
RETRIEVABILITY:

Records are retrieved by name.
SAFEGUARDS:

Records are maintained under the
supervision of Wage and Hour
personnel.
RETENTION AND DISPOSAL:

Record is updated and replaced on a
monthly basis. These records are
destroyed after they have been replaced
and are no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, 200 Constitution Avenue, NW,

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Washington, DC 20210, and Regional
Administrator for Wage and Hour of
relevant Regional Offices.

to store these materials; registration of
vehicles used to transport youth crews;
and State and local licenses.

NOTIFICATION PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Write to Administrator, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or
appropriate Regional Administrator for
Wage and Hour.

29 U.S.C. 201 et seq.; and 5 U.S.C.
301.

RECORD ACCESS PROCEDURES:

Write to Administrator, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or
to the appropriate Regional
Administrator for Wage and Hour.
CONTESTING RECORD PROCEDURES:

Write to Administrator, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or
to the appropriate Regional
Administrator for Wage and Hour. Such
inquiries should include the full name
of the requester.
RECORD SOURCE CATEGORIES:

The sources for records in the system
include information furnished by the
applicant.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–47

To assemble into one system,
information concerning the investigative
histories of crew chiefs/drivers who
may have recruited/transported minorworkers for the purpose of selling
materials door-to-door that may result in
a violation of Federal or State child
labor laws.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

Pertinent information may be
disclosed to the appropriate Federal,
State, or local agency for investigating,
prosecuting, enforcing, or implementing
a statute, rule, regulation, or order, in
connection with a potential or actual
child labor violation.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

All Wage and Hour Division’s
Regional and District Offices and the
National Office.

RETENTION AND DISPOSAL:

CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing the names and
addresses of companies and/or
individuals subject to state or Federal
child labor laws. Information on the
location and scope of any current or
prior investigations; information
concerning criminal investigations—
including subpoenas, injunctions or
agreements involving crew chiefs or
drivers of youth peddlers; synopses of
recruiting advertisements, or itineraries
of activities; information concerning
products being sold and location of
manufacturers and/or warehouses used

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CONTESTING RECORD PROCEDURES:

Write to the Child Labor and Special
Employment Team Leader, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210,
and Regional Administrator for Wage
and Hour of relevant Regional and
District Offices. Such inquiries should
include the full name of the requestor
and/or the legal name of the company.
RECORD SOURCE CATEGORIES:

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

These records are kept manually and
electronically and may only be accessed
by entering a password that will be
provided to persons engaged in the
administration of the program.

Employers, crew chiefs who recruit
minors for door-to-door sales, and/or
drivers who transport minors to sell
candy or other goods.

Write to the Child Labor and Special
Employment Team Leader, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210, or
appropriate Regional Administrator for
Wage and Hour. Such inquiries should
include the full name of the requestor
and/or the legal name of the company.

Records are retrieved by the names of
door-to-door sales crew chiefs and
drivers and/or employers.
SAFEGUARDS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORDS ACCESS PROCEDURE:

RETRIEVABILITY:

Records are stored manually and on
computer media in all Wage and Hour
Regional and District offices, and the
Wage and Hour National Office.

Youth Peddler Bulletin Board.

Write to the Child Labor and Special
Employment Team Leader, Wage and
Hour Division, 200 Constitution
Avenue, NW, Washington, DC 20210,
and Regional Administrators for Wage
and Hour of relevant Regional and
District Offices. Such inquiries should
include the full name of the requestor
and/or the legal name of the company.

Crew chiefs/drivers, employees, court
and police records, and records of
investigations conducted by the U.S.
Department of Labor and the State
Departments of Labor and any
subsequent legal documents created
following such investigations.

STORAGE:

SYSTEM NAME:

VerDate 112000

PURPOSE(S):

NOTIFICATION PROCEDURE:

The electronic records will be
transferred to the master data base (CD/
disc) file after one year. The textual
records (which include printouts,
correspondence, fax copies, and reports)
will be maintained for two years. Both
the electronic and textual records will
be destroyed when they are no longer
needed for program purposes.
SYSTEM MANAGER(S) AND ADDRESS:

Child Labor and Special Employment
Team Leader, Wage and Hour Division,
200 Constitution Avenue, NW,
Washington, DC 20210.

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In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled by Federal law, or
for which he or she would otherwise be
eligible, as a result of the maintenance
of these records, such material shall be
provided to the individual, except to the
extent that the disclosure of such
material would reveal the identity of a
source who furnished information to the
Government under an express promise
that the identity of the source would be
held in confidence, or prior to January
1, 1975, under an implied promise that
the identity of the source would be held
in confidence.

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DOL/ESA–48
SYSTEM NAME:

‘‘Customer Service component’’ of the
Wage Hour Investigative Support and
Reporting Database (WHISARD).

SAFEGUARDS:

SECURITY CLASSIFICATION:

Only authorized personnel have
access by use of passwords to this online transactional system and its
database.

Most files and data are unclassified.
Files and data in certain cases have Top
Secret classification, but the rules
concerning their maintenance and
disclosure are determined by the agency
that has given the information the
security classification of Top Secret.

RETENTION AND DISPOSAL:
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Wage and Hour National Office (NO),
Regional Offices (RO) and District
Offices (DO), see The Appendix of this
document for addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons who contact the Wage and
Hour Division for technical assistance or
to file a complaint.
CATEGORIES OF RECORDS IN THE SYSTEM:

‘‘Browse Customer List’’ records
containing last name, first name, phone
number, address, city, complaint status,
case identification number, WH
employee name, and contact priority.
‘‘Employee Contact Information’’
records containing home address, phone
numbers, fax number, e-mail address
and certain information about the
individual’s complaint.
‘‘Employee Work Information’’
records containing certain employment
and payroll information about the
individual’s complaint.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

To provide Wage and Hour NO, ROS
and DOs with an index of individuals
who contact the Wage and Hour
Division. This information may be used
to provide assistance or facilitate the
processing of a complaint.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to the routine uses listed
in the General Prefatory Statement to
this document, relevant information
may be provided to other government
agencies for law enforcement purposes.
DISCLOSURE OF CONSUMER REPORT AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Wage and Hour
Division, Room S–3502, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURES:

Individuals wishing to make inquiries
regarding this system should contact the
system manager, or the regional office
servicing the state where they are
employed (see list of the regional office
addresses in the Appendix of this
document).
Individuals wishing to request access
to these records should contact the
appropriate office listed in the
Appendix.
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest or
amend any records should direct their
request to the appropriate system
manager. In addition, the request should
state clearly and concisely what
information is being contested, the
reason for contesting it, and the
proposed amendment sought for the
information.
RECORD SOURCE CATEGORIES:

Complainants, employers, and Wage
and Hour personnel.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ESA–49

STORAGE:

Maintained in an electronic file
Database in the DOL National Office.
RETRIEVABILITY:

By name of the individual.

VerDate 112000

Printed investigation forms generated
by the WHISARD system will be
retained in the investigative files of
Wage and Hour District Offices (see
Records Disposal Schedule #NN–168–
43, items 1a and 1b which provides as
follows: Printed information,
concerning cases where violations were
found, is disposed of 12 years after the
date the case is closed. For cases where
no violation were found, printed
information is disposed of three years
after the closing date. Database
information will be captured on tape at
the end of each fiscal year and retained
for 25 years.

RECORD ACCESS PROCEDURES:

5 U.S.C. 301; 29 U.S.C. 201 et seq.

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SYSTEM NAME:

Office of Workers’ Compensation
Programs, Energy Employees
Occupational Illness Compensation
Program Act File.

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SYSTEM LOCATION:

U.S. Department of Labor,
Employment Standards Administration,
Office of Workers’ Compensation
Programs, Frances Perkins Building, 200
Constitution Ave., NW, Washington, DC
20210, and district offices located
throughout the United States.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals or their survivors who
claim benefits under the Energy
Employees Occupational Illness
Compensation Program Act (EEOICPA).
These individuals include, but are not
limited to, federal employees or
survivors of federal employees;
employees or survivors of employees of
the Department of Energy, its
predecessor agencies, and their
contractors and subcontractors; and
members of the armed forces.
CATEGORIES OF RECORDS IN THE SYSTEM:

This system may contain the
following kinds of records: Claim forms
filed by or on behalf of injured
individuals or their survivors seeking
benefits under the EEOICPA; reports by
the employee and/or the U.S.
Department of Energy; employment
records; exposure records; safety records
or other incident reports; dose
reconstruction records; workers’ or
family members contemporaneous
diaries, journals, or other notes; forms
authorizing medical care and treatment;
other medical records and reports; bills
and other payment records;
compensation payment records; formal
orders for or against the payment of
benefits; transcripts of hearings
conducted; and any other medical,
employment, or personal information
submitted or gathered in connection
with the claim. The system may also
contain information relating to dates of
birth, marriage, divorce, and death;
notes of telephone conversations
conducted in connection with the claim;
information relating to vocational and/
or medical rehabilitation plans and
progress reports; records relating to
court proceedings, insurance, banking
and employment; articles from
newspapers and other publications;
information relating to other benefits
(financial and otherwise) the claimant
may be entitled to, including previously

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filed claims; and information received
from various investigative agencies
concerning possible violations of
Federal civil or criminal law.
The system may also contain
consumer credit reports on individuals
indebted to the United States,
information relating to the debtor’s
assets, liabilities, income and expenses,
personal financial statements,
correspondence to and from the debtor,
information relating to the location of
the debtor, and other records and
reports relating to the implementation of
the Federal Claims Collection Act (as
amended), including investigative
reports or administrative review
matters. Individual records listed here
are included in a claim file only insofar
as they may be pertinent or applicable
to the individual claiming benefits.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Energy Employees Occupational
Illness Compensation Program Act, Title
XXXVI of Pub. L. 106–398, October 30,
2000, 114 Stat. 1654.
PURPOSE(S):

To maintain records on individuals
who file claims under the Energy
Employees Occupational Illness
Compensation Program Act, which
establishes a program for compensating
certain individuals for covered illnesses
related to exposure to beryllium,
cancers related to exposure to radiation,
and chronic silicosis. These records
provide information and verification
about individual claimants’ covered
illnesses on which may be based any
entitlement to medical treatment,
compensation and survivors’ benefits,
under the EEOICPA and certain other
statutes.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those Department-wide
routine uses set forth above in the
General Prefatory Statement to this
document, disclosure of information
from this system of records may be
made to the following individuals and
entities for the purposes noted when the
purpose of the disclosure is both
relevant and necessary and is
compatible with the purpose for which
the information was collected:
a. To any attorney or other
representative of an EEOICPA
beneficiary for the purpose of assisting
in a claim or litigation against a third
party or parties potentially liable to pay
damages as a result of the beneficiary’s
compensable condition, and for the
purpose of administering the provisions
of sections 3641–3642 of the EEOICPA.

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Any such third party, or a representative
acting on that third party’s behalf, may
be provided information or documents
concerning the existence of a record and
the amount and nature of compensation
paid to or on behalf of the beneficiary
for the purpose of assisting in the
resolution of the claim or litigation
against that party or administering the
provisions of sections 3641–3642 of the
EEOICPA.
b. To the Department of Energy, its
contractors and subcontractors, and
federal agencies that employed the
employee at the time of the alleged
exposure of the employee, and to other
entities that may possess relevant
information, to assist in administering
the EEOICPA, to answer questions about
the status of the claim, to consider other
actions the agency may be required to
take with regard to the claim, or to
permit the agency to evaluate its safety
and health program. Disclosure to
federal agencies, including the
Department of Justice, may be made
where OWCP determines that such
disclosure is relevant and necessary for
the purpose of providing assistance in
regard to asserting a defense based upon
the EEOICPA’s exclusive remedy
provision to an administrative claim or
to litigation filed under the Federal Tort
Claims Act.
c. To the personnel, contractors,
grantees, and cooperative agreement
holders of the Department of Energy, the
Department of Health and Human
Services, the Department of Justice, and
other federal agencies designated by the
President to implement the federal
compensation program established by
the EEOICPA, for the purpose of
assisting in the adjudication or
processing of a claim under that Act.
d. To physicians, pharmacies, and
other health care providers for their use
in treating the claimant, in conducting
an examination or preparing an
evaluation on behalf of OWCP and for
other purposes relating to the medical
management of the claim, including
evaluation of and payment for charges
for medical and related services and
supplies.
e. To medical insurance or health and
welfare plans (or their designees) that
cover the claimant in instances where
OWCP had paid for treatment of a
medical condition that is not
compensable under the EEOICPA, or
where a medical insurance plan or
health and welfare plan has paid for
treatment of a medical condition that
may be compensable under the
EEOICPA, for the purpose of resolving
the appropriate source of payment in
such circumstances.

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f. To a federal, state or local agency
for the purpose of obtaining information
relevant to a determination concerning
initial or continuing eligibility for
EEOICPA benefits, and for a
determination concerning whether
benefits have been or are being properly
paid, including whether dual benefits
that are prohibited under any applicable
federal or state statute are being paid;
and for the purpose of utilizing salary
offset and debt collection procedures,
including those actions required by the
Debt Collection Act of 1982, to collect
debts arising as a result of overpayments
of EEOICPA compensation and debts
otherwise related to the payment of
EEOICPA benefits.
g. To the Internal Revenue Service
(IRS) for the purpose of obtaining
taxpayer mailing addresses for the
purposes of locating a taxpayer to
collect, compromise, or write-off a
federal claim against such taxpayer; and
informing the IRS of the discharge of a
debt owed by an individual. Records
from this system of records may be
disclosed to the IRS for the purpose of
offsetting a federal claim from any
income tax refund that may be due to
the debtor.
h. Where an investigation, settlement
of claims, or the preparation and
conduct of litigation is undertaken, a
record may be disclosed to (1) a person
representing the United States or the
Department of Labor in the
investigation, settlement or litigation,
and to individuals assisting in such
representation; (2) others involved in
the investigation, settlement, and
litigation, and their representatives and
assistants; and (3) a witness, potential
witness, or their representatives and
assistants, and to any other person who
possesses information pertaining to the
matter, when such disclosure is
necessary for the conduct of the
investigation, settlement, or litigation,
or is necessary to obtain information or
testimony relevant to the matter.
i. To the Defense Manpower Data
Center—Department of Defense and the
United States Postal Service to conduct
computer matching programs for the
purpose of identifying and locating
individuals who are receiving Federal
salaries or benefit payments and are
delinquent in their repayment of debts
owed to the United States under
programs administered by the DOL in
order to collect the debts under the
provisions of the Debt Collection Act of
1982 (Pub. L. 97–365) by voluntary
repayment, or by salary or
administrative offset procedures.
j. To a credit bureau for the purpose
of obtaining consumer credit reports
identifying the assets, liabilities,

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expenses, and income of a debtor in
order to ascertain the debtor’s ability to
repay a debt incurred under the FECA,
to collect the debt, or to establish a
payment schedule.
k. The amount, status and history of
overdue debts, the name and address,
taxpayer identification (SSN), and other
information necessary to establish the
identity of a debtor, the agency and
program under which the claim arose,
may be disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting
agencies as defined by section 603(f) of
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or in accordance with section
3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966 as amended (31
U.S.C. 3711(f)) for the purpose of
encouraging the repayment of an
overdue debt.
l. To individuals, and their attorneys
and other representatives, and
government agencies, seeking to enforce
a legal obligation on behalf of such
individual or agency, to pay alimony
and/or child support for the purpose of
enforcing such an obligation, pursuant
to an order of a state or local court of
competent jurisdiction, including
Indian tribal courts, within any State,
territory or possession of the United
States, or the District of Columbia or to
an order of a State agency authorized to
issue income withholding notices
pursuant to State or local law or
pursuant to the requirements of section
666(b) of title 42, United States Code, or
for the purpose of denying the existence
of funds subject to such legal obligation.
m. To the spouse, children, parents,
grandchildren, or grandparents of
deceased employees who may be
covered under the EEOICPA to enable
them to determine their eligibility for
benefits under the EEOICPA, and to
inform them of decisions regarding
benefit eligibility, so that they have the
opportunity to take action to protect any
rights they may have as potentially
eligible beneficiaries.
Note: Disclosure of information contained
in this system of records to the subject of the
record, a person who is duly authorized to
act on his or her behalf, or to others to whom
disclosure is authorized by these routine
uses, may be made over the telephone or by
electronic means. Disclosure over the
telephone or by electronic means will only be
done where the requestor provides
appropriate identifying information.
Telephonic or electronic disclosure of
information is essential to permit efficient
administration and adjudication of claims
under the EEOICPA.

taxpayer identification (SSAN), and
other information necessary to establish
the identity of a debtor, the agency and
program under which the claim arose,
may be disclosed pursuant to 5 U.S.C.
552a(b)(12) to consumer reporting
agencies as defined by section 603(f) of
the Fair Credit Reporting Act (15 U.S.C.
1681a(f)) or in accordance with section
3(d)(4)(A)(ii) of the Federal Claims
Collection Act of 1966 as amended (31
U.S.C. 3711(f)) for the purpose of
encouraging the repayment of an
overdue debt.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Paper case files are maintained in
filing cabinets. Automated data,
including case files that have been
transformed into electronic form, are
stored in computer discs or magnetic
tapes, which are stored in cabinets.
Microfiche is stored in cabinets.
RETRIEVABILITY:

Files and automated data are retrieved
after identification by coded file number
and/or Social Security Number which is
cross-referenced to employee by name,
employer and/or contractor, and date
and nature of injury.
SAFEGUARDS:

Files and automated data are
maintained under supervision of OWCP
personnel during normal working
hours—only authorized personnel, with
the appropriate password, may handle,
retrieve, or disclose any information
contained therein. Access to electronic
records is controlled by password or
other user identification code.
RETENTION AND DISPOSAL:

All case files and automated data
pertaining to a claim are destroyed 15
years after the case file has become
inactive. Paper files that have been
scanned to create electronic copies are
destroyed after the copies are verified.
Automated data is retained in its most
current form only, however, and as
information is updated, outdated
information is deleted. Some related
financial records are retained only in
electronic form, and destroyed 6 years
and 3 months after creation or receipt.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Workers’
Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

NOTIFICATION PROCEDURES:

The amount, status and history of
overdue debts, the name and address,

An individual wishing to inquire
whether this system of records contains

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16893

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 nonexempt information about a case in
which he/she is a party in interest may
write or telephone the OWCP district
office where the case is located, or the
systems manager.
CONTESTING RECORD PROCEDURES:

Any individual requesting
amendment of non-exempt records
should contact the appropriate OWCP
district office, or the system manager.
Individuals requesting amendment of
records must comply with the
Department’s Privacy Act regulations at
29 CFR 71.1 and 71.9.
RECORD SOURCE CATEGORIES:

Injured employees who are the
subjects of the record, their family
members and beneficiaries; employing
Federal agencies; State governments,
State agencies, and other Federal
agencies; State and Federal workers’
compensation offices; physicians and
other medical professionals; hospitals;
clinics; medical laboratories; suppliers
of health care products and services and
their agents and representatives;
educational institutions; attorneys;
Members of Congress; OWCP field
investigations; consumer credit reports;
investigative reports; correspondence
with the debtor including personal
financial statements; records relating to
hearings on the debt; and other DOL
systems of records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigative material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H) and (I), and (f) of 5 U.S.C. 552a,
provided, however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of the material would reveal
the identity of a source who furnished
information to the Government under an

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express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/ESA–50

Office of Workers’ Compensation
Programs, Physicians and Health Care
Providers Excluded under the Energy
Employees Occupational Illness
Compensation Program Act.

PURPOSE(S):

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

U.S. Department of Labor,
Employment Standards Administration,
Office of Workers’ Compensation
Programs, Frances Perkins Building, 200
Constitution Ave., NW, Washington, DC
20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Providers of medical goods and
services, including physicians,
hospitals, and providers of medical
support services or supplies excluded or
considered for exclusion from payment
under the Energy Employees
Occupational Illness Compensation
Program Act for fraud or abuse (20 CFR
30.715–30.726, or as updated).
CATEGORIES OF RECORDS IN THE SYSTEM:

Copies of letters, lists and documents
from Federal and state agencies
concerning the administrative
debarment of providers from
participation in programs providing
benefits similar to those of the Energy
Employees Occupational Illness
Compensation Program Act and their
reinstatement; materials concerning
possible fraud or abuse which could
lead to exclusion of a provider;
documents relative to reinstatement of
providers, materials concerning the
conviction of providers for fraudulent
activities in connection with any
Federal or state program for which
payments are made to providers for
similar medical services; all letters,
memoranda, and other documents
regarding the consideration of a
provider’s exclusion, the actual
exclusion, or reinstatement under the
provisions of 20 CFR 30.715–30.726 (or
as updated); copies of all documents in
a claim file relating to medical care and/
or treatment including bills for such
services, as well as letters, memoranda,
and other documents obtained during
investigations, hearings and other
administrative proceedings concerning
exclusion for fraud or abuse, as well as

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Energy Employees Occupational
Illness Compensation Program Act, Title
XXXVI of Pub. L. 106–398, October 30,
2000, 114 Stat. 1654.

SYSTEM NAME:

VerDate 112000

reinstatement, along with
recommendations and decisions; lists of
excluded providers released by the
OWCP.

To maintain records in order to
determine the propriety of instituting
debarment actions under the Energy
Employees Occupational Illness
Compensation Program Act. These
records also provide information on
treatment, billing and other aspects of a
medical provider’s actions, and/or
documentation relating to the
debarment of the medical care provider
under another Federal or state program.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of information from this system of
records may be made to the following
individuals and entities for the purposes
noted when the purpose of the
disclosure is compatible with the
purpose for which the information is
collected:
a. Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of
identifying an excluded or reinstated
provider, to ensure that authorization is
not issued nor payment made to an
excluded provider, and for the purpose
of providing notice that a formerly
excluded provider has been reinstated.
b. Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, and any other entities or
individuals, for the purpose of obtaining
information necessary to ensure that the
list of excluded providers is correct,
useful, and updated, as appropriate, and
for the purpose of obtaining information
relevant to a Departmental decision
regarding a debarment action. This
routine use encompasses the disclosure
of such information that will enable the
Department to properly verify the
identity of a provider, to identify the
nature of a violation, and the penalty
imposed for such violation.
Note: Disclosure of information contained
in the file to the claimant, a person who is

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duly authorized to act on his/her behalf, or
to others to whom disclosure is authorized by
these routine uses, may be made over the
telephone. Disclosure over the telephone will
only be done where the requestor provides
appropriate identifying information.
Telephonic disclosure of information is
essential to permit efficient administration
and adjudication of claims.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PROCEDURES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THIS SYSTEM:
STORAGE:

The records are in manual files,
magnetic tapes or other computer
storage media, or on computer
printouts.
RETRIEVABILITY:

Material is retrieved either by the
name of the provider, a case citation, or
date of release.
SAFEGUARDS:

Files and automated data are
maintained under supervision of OWCP
personnel during normal working
hours—only authorized personnel, with
the appropriate password, may handle,
retrieve, or disclose any information
contained therein. Access to electronic
records is controlled by password or
other user identification code.
RETENTION AND DISPOSAL:

File is retained in the office for three
years after the debarment action is final
and then transferred to the Federal
Records Center, and destroyed thirty
years after the debarment action is final.
Where the period of exclusion is
defined as a set period of time, the file
will be retained two years after the
period of exclusion expires (or the
individual is otherwise reinstated), then
transferred to the Federal Records
Center, and destroyed thirty years after
the debarment action is final.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Workers’
Compensation Programs, 200
Constitution Avenue, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

An individual wishing to inquire
whether this system of records contains
information about him/her may write
the system manager at the address
above. In order for the record to be
located, the individual must provide his
or her full name, date of birth, and
signature.

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RECORD ACCESS PROCEDURE:

Any individual seeking access to nonexempt information about a record
within this system of records may write
the system manager, and arrangements
will be made to provide review of the
file. In order for the record to be located,
the individual must provide his or her
full name, date of birth, and signature.
CONTESTING RECORD PROCEDURE:

Any individual requesting
amendment of non-exempt records
should contact the system manager.
Individuals requesting amendment of
records must comply with the
Department’s Privacy Act regulations at
29 CFR 71.1 and 71.9.
RECORD SOURCE CATEGORIES:

Information in this system is obtained
from Federal, state or local government
agencies, state licensing boards,
professional organizations, claimants,
patients, employers, insurance
companies, any other entities or
individuals, public documents, and
newspapers, as well as from other
Department of Labor systems of records.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material
compiled for law enforcement purposes
which is maintained in the investigation
files of the Office of Workers’
Compensation Programs, is exempt from
subsections (c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f) of 5 U.S.C. 552a. The
disclosure of information contained in
civil investigative files, including the
names of persons and agencies to whom
the information has been transmitted,
would substantially compromise the
effectiveness of the investigation.
Knowledge of such investigations would
enable subjects to take such action as is
necessary to prevent detection of illegal
activities, conceal evidence or otherwise
escape civil enforcement action.
Disclosure of this information could
lead to the intimidation of, or harm to,
informants and witnesses, and their
respective families, and the well being
of investigative personnel and their
families.

Office of Labor-Management Standards,
Division of Reports, Disclosure and
Audits, U.S. Department of Labor,
Washington, DC 20210.

RETENTION AND DISPOSAL:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

Individuals who request documents.
CATEGORIES OF RECORDS IN THE SYSTEM:

Data regarding the request for copies
of annual financial reports, information
reports, and constitution and bylaws
filed with the Department of Labor by
labor unions in accordance with the
public disclosure provisions of the
Labor-Management Reporting and
Disclosure Act of 1959, as amended
(LMRDA). Data includes individual
requester’s name, title (optional),
organization (optional), street address,
city, state, zip code, telephone number
(optional), fax number (optional), e-mail
address (optional), user name, and
password; type of request (walk-in,
telephone, mail, Internet, or fax); date of
request; copying and certification
charges; name and amount on
requester’s check; the name and LM
Number of the labor union for which
information has been requested; and the
documents requested.
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 435.
PURPOSE(S):

These records are used by authorized
OLMS disclosure personnel to process
requests made to the OLMS Public
Disclosure Room, prepare requests for
payments, and process payments.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

RETRIEVABILITY:

OLMS Public Disclosure Request
Tracking System.

By individual name, organization
name, address, control number, or
request date.
SAFEGUARDS:

None.
SYSTEM LOCATION:

U.S. Department of Labor,
Employment Standards Administration,

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Computer system is password
protected and accessible only to
personnel creating and maintaining the
database.

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Chief, Division of Reports, Disclosure
and Audits, Employment Standards
Administration, Office of LaborManagement Standards, 200
Constitution Avenue, NW, Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
Individuals must furnish their full
names for their records to be located
and identified.
RECORD ACCESS PROCEDURES:

Same as notification procedure.
Individuals requesting access must also
comply with U.S. Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals requesting documents
from the OLMS Public Disclosure Room,
and OLMS employees processing the
request.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–1
SYSTEM NAME:

Office of Apprenticeship Training,
Employer and Labor Services
(OATELS), Bureau of Apprenticeship
and Training, Budget and Position
Control File.
Unclassified.

SYSTEM NAME:

SECURITY CLASSIFICATION:

The data is deleted after one year or
when no longer needed, whichever is
later.

SECURITY CLASSIFICATION:

Computer storage.

DOL/ESA–51

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Sfmt 4703

SYSTEM LOCATION:

Employment and Training
Administration (ETA), Office of
Apprenticeship Training, Employer and
Labor Services (OATELS), Bureau of
Apprenticeship and Training (BAT),
Frances Perkins Building, 200
Constitution Avenue, NW., Washington,
D.C. 20210.

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Administration, Frances Perkins
Building, 200 Constitution Avenue,
NW., Washington DC 20210. The
following information is needed for the
records to be located:
a. Full name
b. Date of birth

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Federal employees currently
employed by OATELS/BAT.
CATEGORIES OF RECORDS IN THE SYSTEM:

Personal records concerning grades
and salaries.

RECORD SOURCE CATEGORIES:

skill needs projection; to AFL-CIO, Joint
Apprenticeship Committees and
Nonjoint Apprenticeship Committees,
and other apprenticeship sponsors to
determine an assessment of skill needs
and provide program information; to
provide program information for State
Apprenticeship Agencies(SACs) and
other State/Federal agencies concerned
with apprenticeship/training needs; to
community organizations such as the
Urban League, and the Opportunities
Industrialization Centers, to utilize
apprenticeship information in planning.

Personal records, including SF-Form
50.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD ACCESS PROCEDURES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEMS:

5 U.S.C. 301

See Notification procedure above.
CONTESTING RECORD PROCEDURE:

PURPOSE(S):

For ready access in preparing
management reports as required by the
Employment and Training
Administration, and controlling
OATELS/BAT FTE Ceiling (Full Time
Equivalent) employment.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

See Notification procedure above.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Not applicable.
DOL/ETA–4

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

None, except for those routine uses
listed in the General Prefatory Statement
to this document.

SYSTEM NAME:

Apprenticeship Information
Management System (AIMS).

Direct Access Storage Devices
(DASD); manual files. Magnetic tape is
used for archived information.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SECURITY CLASSIFICATION:

RETRIEVABILITY:

Unclassified.

None.

SYSTEM LOCATION:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Employment and Training
Administration, Office of
Apprenticeship Training, Employer and
Labor Services (OATELS), Frances
Perkins Building, 200 Constitution
Avenue, NW, Washington, DC 20210.

STORAGE:

Kardex Files.
RETRIEVABILITY:

By region, budget position number,
and name of employee, on a manual
basis.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Access to and use of these records are
limited to those persons whose official
duties require such access.

The categories of records include the
following identifying information on
apprentices/trainees: Social security
number, ATR Code, program number,
State Code, DOT Code, Job Title, name,
birth date, sex, ethnic code, Veteran
code, accession date, previous
experience date, expected completion
date, and apprenticeship school link.

Apprentices/Trainees.

RETENTION AND DISPOSAL:

Retained indefinitely for employment
reference requests on former employees.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of
Apprenticeship Training, Employer and
Labor Services (OATELS), Bureau of
Apprenticeship and Training (BAT),
Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington DC 20210.
NOTIFICATION PROCEDURE:

Individuals seeking information
concerning the existence of records or
the contents of records on himself/
herself should furnish a written request
to the Administrator, Office of
Apprenticeship Training, Employer and
Labor Services (OATELS), Bureau of
Apprenticeship and Training (BAT),
Employment and Training

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Jkt 197001

The National Apprenticeship Act,
also referred to as the Fitzgerald Act, 29
U.S.C. 50.
PURPOSE(S):

Records of individual apprentice/
trainee and apprenticeship/trainee
program sponsors are used for the
operation and management of the
apprenticeship system of training.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Statistical records may be disclosed to
SOICC (State Occupational Information
Coordinating Committee) as basis for

Frm 00082

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Sfmt 4703

SAFEGUARDS:

Two levels of individual passwords
for entry to the system. Locked
computer room. Manual system: Locked
file cabinet. During work hours, records
are accessible only to authorized
personnel.
RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PO 00000

Records are retrieved by the social
security number of the apprentice/
trainee by program type.

Retain for five years and then destroy.
Inactive programs are stored on
magnetic tape and archived from online
AMS file. Inactive and completed
apprentices are maintained on tape
indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of
Apprenticeship Training, Employer and
Labor Services (OATELS), Bureau of
Apprenticeship and Training,
Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals seeking information
concerning the existence of
apprenticeship records or the contents
of records on himself/herself should
furnish a written request to the
Administrator, Office of Apprenticeship
Training, Employer and Labor Services
(OATELS), Bureau of Apprenticeship
and Training (BAT), Employment and
Training Administration, Frances
Perkins Building, 200 Constitution

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Avenue, NW, Washington, DC 20210.
The following information is needed for
records to be located:
a. Full Name
b. Date of Birth
RECORD ACCESS PROCEDURES:

Individuals can request access to any
record pertaining to himself/herself by
mailing a request to the Administrator
listed above under ‘‘Notification
Procedure.’’
CONTESTING RECORD PROCEDURE:

Individuals desiring to contest or
amend information maintained in this
system should direct their written
request to the Administrator listed in
‘‘Notification Procedure’’ above. The
request to amend should state clearly
and concisely what information is being
contested, the reasons for contesting,
and the proposed amendment to the
information sought.
RECORD SOURCE CATEGORIES:

Apprentice/trainee and also Program
Sponsor.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–7
SYSTEM NAME:

Employer Application and Attestation
File for Permanent and Temporary
Alien Workers.
SECURITY CLASSIFICATION:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

Immigration and Nationality Act, as
amended, 8 U.S.C. 1101(a)(15)(H)(i), and
(ii), 1184(c),1182(m) and (n),
1182(a)(5)(a), 1188, and 1288. Section
122 of Pub. L. 101–649. 8 CFR 214.2(h).

Generally retain case file in office for
two years, then transfer to a records
center for destruction after three
additional years.

PURPOSE(S):

Chief, Division of Foreign Labor
Certifications, U.S. Office of Workforce
Security, ETA, 200 Constitution
Avenue, NW, Washington, DC 20210,
and each Regional Administrator or
Associate Regional Administrator of the
ETA in the Regional Offices.

To maintain a record of applicants
and actions taken by ETA on requests to
employ alien workers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Case files developed in processing
labor certification applications, labor
condition applications, or labor
attestations, are released to the
employers which filed such
applications, their representatives, and
to named alien beneficiaries or their
representatives, if requested, to review
ETA actions in connection with appeals
of denials before the Office of
Administrative Law Judges and Federal
Courts; to participating agencies such as
the DOL Office of Inspector General,
Employment Standards Administration,
INS, and Department of State in
connection with administering and
enforcing related immigration laws and
regulations; and to the Office of
Administrative Law Judges and Federal
Courts in connection with appeals of
denials of labor certification requests,
labor condition applications, and labor
attestations.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

None.
SYSTEM LOCATION:

ETA, Office of Workforce Security
(OWS), Division of Foreign Labor
Certifications, Frances Perkins Building,
200 Constitution Avenue, NW,
Washington, DC 20210; ETA Regional
Offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employers who file labor certification
applications, labor condition
applications, or labor attestations to
employ one or more alien workers on a
permanent or temporary basis. The alien
may be known or unknown.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Manual and/or computerized files are
stored in the national office, and each of
the ETA Regional Offices.
RETRIEVABILITY:

Records are maintained on all
applications for alien employment
certification labor condition
applications, and labor attestations filed
by case number and employer names.
Partial data elements from each case file
are stored on the computer and may be
accessed by employer or in certain
cases, by the named alien beneficiary.
SAFEGUARDS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Employers’ names, addresses, type
and size of businesses, production data,
number of workers needed in certain
cases, offer of employment terms to
known or unknown aliens, and
background and qualifications of certain
aliens, along with resumes and
applications of U.S. workers.

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Access to records provided only to
authorized personnel. The
computerized data has a double security
access: (1) Initial password entry to the
local area network; and (2) restricted
access to alien certification data is given
only to those employees with a need to
know the data in performing their
official duties.

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SYSTEM MANAGER(S) AND ADDRESS:

NOTIFICATION PROCEDURE:

Inquiries concerning this system can
be directed to the System Manager listed
above. The appropriate addresses for the
Regional Offices are listed under the
section ‘‘Responsible Officials’’
included in this notice.
RECORD ACCESS PROCEDURES:

Individuals can request access to any
personal record by mailing a request to
the appropriate System Manager listed
above.
CONTESTING RECORD PROCEDURES:

Individuals wanting to contest or
amend information maintained in this
system should direct their written
request to the appropriate System
Manager listed above. The request to
amend should state clearly and
concisely what information is being
contested, the reasons for contesting,
and the proposed amendment to the
information sought.
RECORD SOURCE CATEGORIES:

Information comes from labor
certification applications, labor
condition applications, and labor
attestations completed by employers.
Certain information is furnished by
named alien beneficiaries of labor
certification applications, State
Employment Security agencies, and the
resumes and applications of U.S.
workers.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–8
SYSTEM NAME:

Job Corps Student Pay, Allotment and
Management Information System
(SPAMIS).
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Job Corps Data Center (JCDC),
Building 5159, 205 6th Street, San
Marcos, Texas 78666 (and Job Corps
Centers).

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Job Corps students and Job Corps
terminees.

STORAGE:

Magnetic disk and magnetic tape.

CATEGORIES OF RECORDS IN THE SYSTEM:

Personal information about the
student: Pre-enrollment status, number
of months enrolled in school, home
address, family status and income;
characteristics, such as age, race/ethnic
group, sex; summarization of basic
education and vocational training
received in Job Corps; and initial
Placement status (entry into
employment, school, military service, or
other status) after separation from the
Program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Subtitle C of Title I of the Workforce
Investment Act of 1998, 29 U.S.C. 2882
et seq.
PURPOSE(S):

These records are maintained to pay
students and track student academic
and vocational outcomes and
achievements. This information is used
for reporting center/contractor
performance that includes enrollment
information, performance outcomes
while enrolled and placement
information after separation.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records and information in
these records may be used when
relevant, necessary and appropriate:
(1) To disclose photographs and
student identities to the news media for
the purpose of promoting the merits of
the program.
(2) To disclose information of a
student’s academic and vocational
achievement and general biographical
information, to placement and welfare
agencies, respective employers, school
or training institutions to assist in the
employment of a student. Categories of
users:
(1) Job Corps Center staff and
operators/contractors;
(2) Outreach, Admissions and
Placement staff and contractors;
(3) Support Contractors;
(4) Federal staff at the regional and
national levels; and
Note: Selective Service System to ensure
that males over 18 years of age are registered.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

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RETRIEVABILITY:

Social Security Number or name and
center enrolled.

and the proposed amendment to the
information sought. Documentation
should be provided supporting any
requests for amending records.
RECORD SOURCE CATEGORIES:

Job Corps students, Outreach,
Admissions and Placement Contractors;
Support Contractors, and Job Corps
Centers.

SAFEGUARDS:

Access to files is limited to designated
data processing staff (programmers/
analysts) and is restricted by User ID
and Passwords. Tape backups to these
files are temporarily stored in a
physically secure vault in a secure
building. Later these backup tape files
are transferred to a physically secure off
site climate controlled records storage
area.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–15
SYSTEM NAME:

DOL/ETA Evaluation, Research, Pilot
or Demonstration Contractors’ Project
Files.
SECURITY CLASSIFICATION:

None.

RETENTION AND DISPOSAL:

During enrollment, the official record
of Job Corps students is maintained in
the student record section of the center
of enrollment. The official record copy
of these documents is filed in the
Terminated Students Record folders,
which are maintained at the Job Corps
Center where a student was enrolled for
at least three (3) but no more than four
(4) years after termination. After this,
the records are retired to the Regional
Federal Records Center where they are
kept 75 years.

SYSTEM LOCATION:

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Director, Office of Job Corps U.S.
Department of Labor, Employment and
Training Administration, 200
Constitution Avenue, NW, Washington,
DC 20210.

Records in the system may include
characteristics of program participants,
description of program activities,
services received by participants,
program outcomes and participant
follow-up information obtained after the
completion of the program.

NOTIFICATION PROCEDURE:

Letter to System Manager in
accordance with 29 CFR Part 71, giving
the following information about the Job
Corps student or terminee:
Full Name, Social Security Number (if
available), Job Corps center at which
enrolled (if available), dates of
enrollment and separation, if known.
RECORD ACCESS PROCEDURES:

Individuals can request access to any
record pertaining to himself/herself by
mailing a request to the System Manager
listed above under ‘‘Notification
Procedure.’’
CONTESTING RECORD PROCEDURES:

Individuals desiring to contest or
amend information maintained in this
system should direct their written
request to the System Manager listed in
‘‘Notification Procedure’’ above. The
request to amend should state clearly
and concisely what information is being
contested, the reasons for contesting,

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Individual contractors’ and
subcontractors’ project worksites and
the Office of Policy and Research (OPR),
ETA.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Participants in programs of the Job
Training Partnership Act (JTPA),
Workforce Investment Act (WIA) and
other research, pilot or demonstration
projects.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Job Training Partnership Act, Title IV;
Workforce Investment Act of 1998, secs.
156, 171, and 172; Social Security Act,
secs. 441 and 908. (29 U.S.C. 1731–
1735; 29 U.S.C. 2856, 2916, and 2917;
and 42 U.S.C. 841 and 1108;
respectively.
PURPOSE(S):

The purpose of this system is to
provide necessary information for
statutorily-required and other
evaluations of Employment and
Training Administration (ETA)
programs, evaluations of ETA-sponsored
pilot and demonstration programs, and
other statistical and research studies of
employment and training program and
policy issues. These records are used
solely for statistical research or
evaluation and are not used in any way
for making any determination about an
identifiable individual.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

the System Manager indicated in the
notification procedures section.

Records may be disclosed to other
Federal, State and local government
agencies in order to facilitate the
collection of additional data necessary
for statistical and evaluation purposes.

RECORD SOURCE CATEGORIES:

Individual participants, and Federal,
State, and local Government agencies.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Employment and Training
Administration Investigatory File.
SECURITY CLASSIFICATION:

STORAGE:

Records are maintained on magnetic
tape and disks by the U.S. Bureau of the
Census and various contractors.
RETRIEVABILITY:

Records are retrieved by name or
social security number, and by a variety
of other unique identifiers that have
been created for a specific study.
SAFEGUARDS:

None.
SYSTEM LOCATION:

Special Program Services Unit,
Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Ave., NW,
Washington, DC 20210, and each of the
Employment and Training
Administration regional offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Records are maintained on secure
computer systems and can only be
retrieved with the proper access code.
RETENTION AND DISPOSAL:

Records which are individually
identified are retained by the
contractors for one to five years, then
the identifiers are destroyed. After the
conclusion of the studies the records are
retired to the Federal Records Center
and are destroyed after being retained
by the Records Center for 20 years.

Applicants, contractors,
subcontractors, grantees, members of the
general public, ETA employees, who are
alleged violators of ETA laws and
regulations.
CATEGORIES OF RECORDS IN THE SYSTEM:

Administrator, Office of Policy and
Research, Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Ave., NW,
Washington, DC 20210.

Reports of alleged and confirmed
problems, abuses or deficiencies relative
to the administration of programs and
operations of the agency, and of possible
violations of Federal law whether civil
or criminal; reports on resolution of
criminal or conduct violations, and
information relating to investigations
and possible violations of ETA
administered programs and projects;
incident reports, hotline complaints,
and investigative memoranda.

NOTIFICATION PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

5 U.S.C. 301; Job Training Partnership
Act (JTPA) (29 U.S.C. 1501 et seq.);
Workforce Investment Act, 29 U.S.C.
2801 et seq.

Address inquiries to the
Administrator, Office of Policy and
Research, Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Ave., NW,
Washington, DC 20210.

PURPOSE(S):

RECORD ACCESS PROCEDURES:

Individuals wishing access to a record
should contact the System Manager
indicated in the notification procedures
section above. Individuals requesting
access to records must comply with the
Department’s Privacy Act regulations on
verification of identity and access to
records.

To ensure that all appropriate records
of problems, abuses or deficiencies
relative to the administration of
programs and operations of the agency
are retained and are available to agency,
Departmental, or other Federal officials
having a need for the information to
support actions taken based on the
records.

CONTESTING RECORD PROCEDURES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Individuals wishing to request
amendment to records should contact

The records and information in this
system that are relevant and necessary

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may be used to disclose pertinent
information to states, Workforce
Investment Boards, and other DOLfunded grantees as necessary to enforce
ETA rules and regulations; and other
uses noted in the prefatory statement.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

DOL/ETA–16

None.

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Case files are maintained in manual
files and certain information from those
manual files, e.g., case number, names
and social security numbers, description
of allegations, etc., are maintained in a
computerized format on the local area
network.
RETRIEVABILITY:

The manual case files are indexed by
case number. Automated records are
retrieved by case number, case name, or
subject.
SAFEGUARDS:

Direct access to the manual case files
is restricted to authorized staff members
with a need to know the information in
the performance of their official duties
and responsibilities. Automated records
can be accessed only through use of
confidential procedures and passwords
by authorized staff.
RETENTION AND DISPOSAL:

The records containing information or
allegations which do not relate to a
specific investigation are retained for 5
years after the case is closed, and are
then destroyed by shredding. The
records containing information or
allegations that do result in a specific
investigation are placed in an inactive
file when the case is closed and
destroyed, by shredding, after 10 years.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of Financial and
Administrative Management, 200
Constitution Ave., NW, Washington, DC
20210; and each Regional Administrator
or Associate Regional Administrator of
the ETA in the regional offices.
NOTIFICATION PROCEDURE:

Inquiries concerning this system can
be directed to: System Manager, U.S.
Department of Labor, Employment and
Training Administration, Office of
Financial and Administrative
Management, 200 Constitution Avenue,
NW, Washington, DC 20210 or to the
appropriate ETA Regional
Administrator or Associate Regional
Administrator in the regional cities

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listed in the Appendix to this notice.
Such inquiries should include the full
name of the requester, name and
address of the organization, service
delivery area, and the ETA-administered
program or project.

DOL/ETA–20

RETENTION AND DISPOSAL:

SYSTEM NAME:

Federal Bonding Program, Bondee
Certification Files.
SECURITY CLASSIFICATION:

SYSTEM MANAGER(S) AND ADDRESS:

None.

RECORD ACCESS PROCEDURES:

Individuals can request access to any
record pertaining to himself/herself by
mailing a request to the appropriate
System Manager listed above under
‘‘Notification Procedure.’’ Such
inquiries should include the full name
of the requester, name and address of
the organization, service delivery area,
and the ETA-administered program or
project.
CONTESTING RECORD PROCEDURES:

Individuals desiring to contest or
amend information maintained in this
system should direct their written
request, containing specific details of
personal and professional data
indicated, to the appropriate System
Manager listed in ‘‘Notification
Procedure’’ above. The request should
state clearly and concisely what
information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought.

States and regions dispose of data 3
years and older; The Punch Card
Processing Co. keeps master DOS of all
bondees prior to 1980.

SYSTEM LOCATION:

Punch Card Processing Co., 6875 New
Hampshire Ave., Takoma Park, MD.
20012, and the McLaughlin Co., Suite
514, 2000 L St., NW, Washington, DC
20038.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

State Employment Service applicants
who are eligible and need bonding to get
a job.
CATEGORIES OF RECORDS IN THE SYSTEM:

Personal (name, SSN, employer
name), employment data (DOT and SIC
codes), employer data (address, city,
State, ZIP code), amount of bond
(expressed in $500 units), cost of bond
(expressed in units), effective date of
bond, and termination date of bond.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Job Training Partnership Act, Title IV,
Part D (29 U.S.C. 1731–1735); and the
Workforce Investment Act of
1998(WIA)(29 U.S.C. 2801 et seq.).

Administrator, Office of Policy
Research, Frances Perkins Building, 200
Constitution Ave. NW, Washington, DC
20210.
NOTIFICATION PROCEDURE:

Address inquiry to the System
Manager at 200 Constitution Ave., NW,
Washington, DC, 20210 as indicated
above.
RECORD ACCESS PROCEDURES:

Individuals can request access to any
record pertaining to himself/herself by
mailing a request to the System Manager
listed above under ‘‘Notification
Procedure.’’
CONTESTING RECORD PROCEDURES:

Individuals wishing to contest or
amend information maintained in this
system should direct their written
request to the System Manager at the
address shown in ‘‘Notification
Procedure’’ above. The request to amend
or contest should state clearly and
concisely what information is being
contested, the reasons for contesting,
and the proposed amendment to the
information sought.

RECORD SOURCE CATEGORIES:

PURPOSE(S):

Individuals, program sponsors,
contractors, grantees, complainants,
witnesses, Office of the Inspector
General and other Federal, State and
local government records.

The purpose of these records is to
provide information to the DOL project
officer on the activities of the contracted
project—the Federal Bonding Program.
These records are used solely for
statistical information and not used in
any way for making any determination
about an identifiable individual.

RECORD SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

DOL/ETA–22

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.

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None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Disk Operated System (DOS) and
printout.
RETRIEVABILITY:

Retrieved by assigned bond number.

State Job Service files, applicants for
the bond and bonded employee’s
employer.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

ETA Employee Conduct
Investigations.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Offices in the Employment and
Training Administration at the National
Office and in each of the regional
offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

ETA employee(s) against whom any
allegation of misconduct, illegal acts,
conflicts of interests, etc., has been
made.

SAFEGUARDS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Locked in cabinets in offices of
Federal, State, and private buildings.

Name, organization and other
information relating to the individual

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
NOTIFICATION PROCEDURE:

involved; investigative report(s),
including interviews and other data
gathered.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 7301, and Executive
Order 11222.
PURPOSE(S):

To ensure that all appropriate records
of problems, misconduct, illegal acts,
conflicts of interest, etc., are maintained
to document actions taken in each case.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for the prefatory routine
uses.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Case files are maintained in manual
files and certain information from those
manual files, e.g., case number, names
and social security numbers, description
of allegations, etc., are maintained in a
computerized format on the local area
network.
RETRIEVABILITY:

The manual case files are indexed by
name and case number. Automated
records are retrieved by case number,
case name, or subject.
SAFEGUARDS:

Direct access to the manual case files
is restricted to authorized staff members
with a need to know the information in
the performance of their official duties
and responsibilities. Automated records
can be accessed only through use of
confidential procedures and passwords
by authorized staff.
RETENTION AND DISPOSAL:

Records are retained for four years
following the date either: (a) They are
referred to the OIG; (b) they are
transferred to OPM/GOVT–3 Records of
Adverse Actions and Actions Based on
Unacceptable Performance; or (c) it is
determined that the allegation was
without sufficient merit to warrant
further action, after which they are
destroyed by shredding.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of Financial and
Administrative Management, 200
Constitution Ave., NW, Washington, DC
20210, and each Regional Administrator
or Associate Regional Administrator in
the Employment and Training
Administration regional offices.

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DOL/ETA–24

Inquiries concerning this system can
be directed to the Administrator, Office
of Financial and Administrative
Management, at the address listed above
under ‘‘System Manager(s) and
Address’’, or to the appropriate Regional
Administrator or Associate Regional
Administrator listed under Responsible
Officials contained at the end of these
notices. Such inquiries should include
full name, agency, organization, and
office component of the requester.
RECORD ACCESS PROCEDURES:

Individuals can request access to any
record pertaining to himself/herself by
mailing a request to the System Manager
listed above under ‘‘Notification
Procedure.’’ Such inquiries should
include full name, agency, organization,
and office component of the requester.
CONTESTING RECORD PROCEDURES:

STORAGE:

Individuals wanting to contest or
amend information maintained in this
system should direct their written
request, containing the data elements
listed above, to the System Manager
listed above in ‘‘Notification
Procedure.’’ The request to amend
should state clearly and concisely what
information is being contested, the
reasons for contesting, and the proposed
amendment to the information sought.
RECORD SOURCE CATEGORIES:

Individuals, hotline complaints
through the Office of the Inspector
General’s hotline; hotline complaints
through the General Accounting Office’s
hotline system; incident reports
submitted by employees; investigative
reports and interviews.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.

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16901

SYSTEM NAME:

Contracting and Grant Officer Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Employment and Training
Administration, Office of Grants and
Contracts Management, Office of
Financial and Administrative Services,
and Assistant Secretary for
Administration and Management,
Division of Federal Assistance and
Contract Services, 200 Constitution
Avenue, NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Present and former contracting and
grant officers.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, Social Security Number, job
title and grade, qualifications, training
and experience, request for appointment
as Contracting/Grant Officer,
Certification of Appointment, copy of
Certificate of Appointment, and other
correspondence and documents relating
to the individual’s qualifications
therefor.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

40 U.S.C. 486; Department of Labor
Acquisition Regulations 2901.6;
Department of Labor Manual Series 2–
800.
PURPOSE(S):

To ascertain an individual’s
qualifications to be appointed as a
contracting/grant officer; to determine if
limitations on procurement authority
are appropriate; to complete Certificate
of Appointment.
ROUTINE USES OF RECORD MAINTAINED IN THE
SYSTEMS, INCLUDING CATEGORIES AND USERS
AND THE PURPOSES OF SUCH USES:

A. Disclosure to Office of Government
Ethics:
A record from a system of records
may be disclosed, as a routine use, to
the Office of Government Ethics for any
purposes consistent with that office’s
mission, including the compilation of
statistical data.
B. Disclosure to a Board of Contract
Appeals, GAO or any other entity
hearing a contractor’s protest or dispute:
A record from a system of records
may be disclosed, as a routine use, to
the United States General Accounting
Office, to a Board of Contract Appeals,
or the Claims Court in bid protest cases
or contract dispute cases involving
procurement.

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SYSTEM LOCATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Either in ETA or at an individual
contractor’s worksite.

None.
POLICIES FOR STORING, RETRIEVING, ACCESSING,
RETAINING, AND DISPOSING OF RECORDS IN THE
SYSTEM:
STORAGE:

Paper records in file folders.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Any employer or employee covered
under a State unemployment
compensation law.

RETRIEVABILITY:

CATEGORIES OF RECORDS IN THE SYSTEM:

Filed by Contracting/Grant Officer
Number and Name.

The system contains Claimant
(Employee) records, Employer
contribution records, and Employee
wage records.

SAFEGUARDS:

Records are maintained in a secured,
locked file cabinet accessible to the
authorized personnel having need for
the information in the performance of
their duties.
RETENTION AND DISPOSAL:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Social Security Act, Sections
303(a)(1), 303(a)(6), and 906, (42 U.S.C.
503(a)(1), 503(a)(6), 902, 1106); 5 U.S.C.
8506(b).
PURPOSE(S):

All documents relating to and
reflecting the designation of
Contracting/Grant Officers and
terminations of such designations, are
destroyed 6 years after termination of
appointment.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Federal Assistance,
U.S. Department of Labor, ETA, 200
Constitution Avenue, NW, Washington,
DC 20210.

These records are used for researching
and evaluating the unemployment
compensation and other programs for
which ETA is responsible and are not
used for any purpose other than that
specified under agreement with the
State from which the records were
obtained. These records are not used in
any way for making any determination
affecting an identifiable individual’s
entitlement to unemployment
compensation.

NOTIFICATION PROCEDURE:
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USE:

RECORD ACCESS PROCEDURES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

Requests from individuals should be
addressed to System Manager. Written
requests should contain the full name,
current address and telephone number
of the individual.
CONTESTING RECORD PROCEDURES:

Administrator, Office of Workforce
Security (OWS), Employment and
Training Administration, Frances
Perkins Building, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Address inquiries to the
Administrator, Office of Workforce
Security, Employment and Training
Administration, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210.
RECORD ACCESS PROCEDURES:

Individuals wishing access to a record
should contact the office indicated in
the notification procedure section.
Individuals requesting access to records
must comply with the Privacy Act
regulations on verification of identity
and access to records.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment to records should contact
the office indicated in the notification
procedures section.

The contract/grant officer’s
Certification of Appointment and
background information on education,
SF–171, and specific information on
procurement authorities delegated.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

None.

STORAGE:

RECORD SOURCE CATEGORIES:

Records are maintained on magnetic
tape and disks by ETA and various
contractors.
RETRIEVABILITY:

Records may be retrieved by
individual identifiers; specifically, by
name, social security account number,
or employer identification number.
SAFEGUARDS:

Records are maintained on secure
computer systems and can only be
retrieved with the proper access code.

DOL/ETA–25
SYSTEM NAME:

DOL/ETA Evaluation Research
Projects of the Unemployment
Compensation System.
SECURITY CLASSIFICATION:

None.

Jkt 197001

State records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/ETA–26

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Documentation should be provided
supporting any requests for amending
records.

19:00 Apr 05, 2002

SYSTEM MANAGER(S) AND ADDRESSES:

RECORD SOURCE CATEGORIES:

Requests for information may be
directed to the System Manager.

VerDate 112000

returned to the State from which they
were obtained, or maintained by ETA
without potentially identifying
information.

RETENTION AND DISPOSAL:

Records are retained by ETA or its
contractor until the end of each project.
At the conclusion of each project, the
records obtained from the State are

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SYSTEM NAME:

Standardized Program Information
Report (SPIR).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Database management contractor’s
work site.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Terminees from Titles IIA (including
Older Workers Set-aside), IIC, and III of
the Job Training Partnership Act (JTPA);
and enrollees who have completed
programs/services under the Workforce
Investment Act of 1998, Title I (29
U.S.C. 2801 et seq.).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records in the system include the
Social Security number and various
characteristics of each participant, the
description of program activities and
services they received, and program

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outcome and participant follow-up
information obtained after completion
of the program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

JTPA Section 165(c)(2)(29 U.S.C.
1575(c)(2)); and the Workforce
Investment Act of (29 U.S.C. 2801 et
seq.).
To maintain a management
information system designed to
facilitate the uniform compilation and
analysis of programmatic data necessary
for reporting, monitoring and evaluation
purposes. These records are not used for
making determinations about
identifiable individuals.
The system will:
(1) Generate statistical reports that
will present detailed information on the
characteristics of program participants,
program activities and outcomes. These
data will be reported at the national,
state and local levels; and will allow the
Department to respond to a variety of
requests for specific information
regarding the scope of services and the
nature of employment that JTPA is
providing to its clients.
(2) Provide information that will
enable the Department to evaluate the
program at different levels (nationally,
or at a regional, State or local level) and
to provide feedback to States and
localities on such evaluations.
(3) Provide a suitable national
database to enable the Department to
provide technical guidance to local
programs in establishing performance
goals for their service providers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosure to State and local JTPA
organizations those records that are
relevant and necessary to allow for
comparative self-analysis of their
programs’ performance.
Disclosure to researchers and public
interest groups those records that are
relevant and necessary to evaluate the
effectiveness of the overall program and
its various training components in
serving different subgroups of the
eligible population.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Not applicable.

RETENTION AND DISPOSAL:

Enrollees in Youth Opportunity Grant
programs funded under Section 169 of
the Workforce Investment Act of 1998
(WIA) (29 U.S.C. 2914).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records in the system include the
Social Security number and various
characteristics of each participant, the
description of program activities and
services they received, and program
outcome and participant follow-up
information obtained after completion
of the program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Workforce Investment Act of
1998 (29 U.S.C. 2801 et seq.)

SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE(S):

Administrator, Office of Workforce
Security, Employment and Training
Administration, 200 Constitution
Avenue, NW, Washington, DC 20210.

To maintain a management
information system designed to
facilitate the uniform compilation and
analysis of programmatic data necessary
for reporting, monitoring and evaluation
purposes. These records are not used for
making determinations about
identifiable individuals.
The system will:
(1) Generate statistical reports that
will present detailed information on the
aggregate characteristics of program
participants, program activities and
outcomes. These data will be reported at
the national and grantee levels; and will
allow the Department to respond to a
variety of requests for specific
information regarding the scope of
services and the nature of employment
that Youth Opportunity Grants are
providing to their enrollees.
(2) Provide information that will
enable the Department to monitor the
program at different levels (nationally,
or at the grantee level) and to provide
feedback to localities on their progress
in implementing their grants.
(3) Provide a suitable national
database to enable the Department to
provide technical guidance to local
programs in establishing performance
goals for their service providers.

NOTIFICATION PROCEDURE:

Address inquiries to the
Administrator, Office of Workforce
Security, Employment and Training
Administration, 200 Constitution
Avenue, NW, Washington, DC 20210.
RECORD ACCESS PROCEDURES:

Individuals wishing assess to a record
should contact the office indicated in
the notification procedure above.
Individuals requesting access to records
must comply with the Department of
Labor’s Privacy Act regulations on
verification of identity and access to
records.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment to records should contact
the office indicated in the notification
procedures section.
RECORD SOURCE CATEGORIES:

Individual participant, State and local
JTPA program offices.
SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF
THE ACT:

None.
DOL/ETA–27

SECURITY CLASSIFICATION:

None.

Records are maintained on magnetic
tape and disks at the database
management contractor’s work site.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Data files will be retained
indefinitely.

Youth Opportunity Grant Program
Information Files.

STORAGE:

Jkt 197001

Records are maintained on a secure
computer system and can only be
retrieved with the proper access code.
Public access files and files used for
analysis outside the database manager’s
computer system will be purged of
participant identifiers and records will
be sufficiently aggregated to prevent
identification of any individual.

SYSTEM NAME:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

19:00 Apr 05, 2002

Primarily by name or participant
characteristic. Occasionally by Social
Security Number.
SAFEGUARDS:

PURPOSE(S):

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RETRIEVABILITY:

16903

SYSTEM LOCATION:

Database management contractor’s
work site.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosure to Youth Opportunity
Grantees those records that are relevant
and necessary to allow for comparative
self-analysis of their programs’
performance.
Disclosure to researchers and public
interest groups those records that are
relevant and necessary to evaluate the
effectiveness of the overall program and
its various training components in
serving different subgroups of the
eligible population.

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DOL/OIG–1

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

Not applicable.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING , RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Investigative Files, Case Tracking
System, Analysis, Complaints,
Inspections, and Evaluation Files,
USDOL/OIG.

STORAGE:

SECURITY CLASSIFICATION:

Records are maintained on magnetic
tape and disks at the database
management contractor’s work site.
RETRIEVABILITY:

Primarily by participant
characteristics; Social Security Number,
and geographic site codes.
SAFEGUARDS:

Records are maintained on a secure
computer system and can only be
retrieved with the proper access code.
Public access files and files used for
analysis outside the database manager’s
computer system will be purged of
participant identifiers. Published tables
will be sufficiently aggregated to
prevent identification of any individual.
RETENTION AND DISPOSAL:

Data files will be retained
indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator, Office of Youth
Services, Employment and Training
Administration, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Address inquiries to the
Administrator, Office of Youth Services,
Employment and Training
Administration, 200 Constitution
Avenue, NW, Washington, DC 20210.
RECORD ACCESS PROCEDURES:

Individuals wishing assess to
information contained in this system
should contact the office indicated in
the notification procedure above.
Individuals requesting access to files
must comply with the Department of
Labor’s Privacy Act regulations on
verification of identity and access to
records.
CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment to records should contact
the office indicated in the notification
procedures section.
RECORD SOURCE CATEGORIES:

Individual participant, Youth
Opportunity Grantees.
SYSTEMS EXEMPT FROM CERTAIN PROVISIONS OF
THE ACT:

None.

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Not applicable.
SYSTEM LOCATION:

Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210
and in the OIG regional and field
offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DOL employees, applicants,
contractors, subcontractors, grantees,
subgrantees, claimants, complainants,
individuals threatening DOL employees
or the Secretary of Labor, alleged
violators of Labor laws and regulations,
union officers, trustees, employers,
individuals investigated and
interviewed, and individuals filing
claims for entitlement or benefits under
laws administered by the Department of
Labor, individuals providing medical
and other services to OWCP, employees
of insurance companies and of medical
and other services provided to OWCP,
and other persons suspected of
violations of law and related
administrative, civil and criminal
provisions.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains records related to
administrative, civil and criminal
investigations, complaints, inspections,
and evaluations which include:
Statements and other information from
subjects, targets, witnesses and
complainants; material from
governmental investigatory or law
enforcement organizations (federal,
state, local or international) and
intelligence information; information of
criminal, civil or administrative
referrals and/or results of investigations;
investigative notes and investigative
reports; summary information for
indexing and cross referencing; reports
and associated materials filed with DOL
or other government agencies from, for
example, medical providers, grantees,
contractors, employers or insurance
companies; other evidence and
background material existing in any
form (i.e. audio or video tape,
photographs, computer tapes, disks or
compact disks).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. App. 3 (IG Act); 5 U.S.C.
8101 et seq. (FECA); Health Insurance

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Portability and Accountability Act, Pub.
L. 104–191; 5 U.S.C. 8401 et seq.
(FERSA); 8 U.S.C. 1101 et seq. (IRCA);
18 U.S.C. 874 (Anti Kickback Act); 29
U.S.C. 49 et seq. (Wagner-Peyser Act);
29 U.S.C. 101 et seq. (LMRA); 29 U.S.C.
201 et seq. (FLSA); 29 U.S.C. 401 et seq.
(LMRDA); 29 U.S.C. 651 et seq. (OSHA);
29 U.S.C. 793 et seq. (Rehabilitation
Act); 29 U.S.C. 1001 et seq. (ERISA); 29
U.S.C. 1501 et seq. (JTPA); 29 U.S.C.
2801 et seq. (Workforce Investment Act
of 1998); 30 U.S.C. 801 et seq. (MSHA);
30 U.S.C. 901 et seq. Black Lung); 31
U.S.C. 3701 et seq. (False Claims Act);
31 U.S.C. 3801 et seq. (Program Fraud
Civil Remedies Act); 33 U.S.C. 901 et
seq. (Longshore Compensation Act and
extension); 40 U.S.C. 276a5 (Davis
Bacon); 40 U.S.C. 276c (Copeland Act);
41 U.S.C. 35 et seq. (Walsh-Healey); 41
U.S.C. 351 et seq. (Service Contract Act);
Title 18, United States Code (Criminal
Code); and Secretary’s Order 2–90,
dated January 31, 1990 concerning the
authorization and organization of the
Office of Inspector General in the
Department of Labor.
PURPOSE(S):

This system is established and
maintained to fulfill the purposes of the
Inspector General Act of 1978 and to
fulfill the responsibilities assigned by
that Act concerning investigative
activities and the complaints and other
information from which investigations,
inspections, and evaluations develop.
The OIG initiates investigations and
evaluations of individuals, inspections
and evaluations of entities and
programs, maintains information
received and developed in this system
during the time the investigation,
inspection or evaluation is performed,
and after each investigation, inspection
or evaluation is completed. This system
is the repository of all information
developed during the course of
investigations, inspections, and
evaluations. OIG also receives many
complaints via its Hotline and other
sources. These complaints are reviewed
for investigative merit and can be
referred for a full investigation, for
program agency action, or no action.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. Referral to federal, state, local and
foreign investigative and/or prosecutive
authorities. A record from a system of
records, which indicates either by itself
or in combination with other
information within the agency’s
possession, a violation or potential
violation of law, whether civil, criminal
or administrative and whether arising

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by general statute or particular program
statute, or by regulation, rule or order
issued pursuant thereto, may be
disclosed as a routine use, to the
appropriate federal, foreign, state or
local agency or professional
organization charged with the
responsibility of investigating or
prosecuting such violation or charged
with enforcing or implementing or
investigating or prosecuting such
violation or charged with enforcing or
implementing the statute or rule,
regulation or order issued pursuant
thereto.
B. Introduction to a grand jury. A
record from a system of records may be
disclosed, as a routine use, to a grand
jury agent pursuant either to a federal or
state grand jury subpoena or to a
prosecution request that such record be
released for the purpose of its
introduction to a grand jury.
C. Referral to federal, state, local or
professional licensing boards. A record
from a system of records may be
disclosed, as a routine use, to any
governmental, professional or licensing
authority when such record reflects on
qualifications, either moral, educational
or vocational, of an individual seeking
to be licensed or to maintain a license.
D. Disclosure to contractor, grantee or
other direct or indirect recipient of
federal funds to allow such entity to
effect corrective action in the agency’s
best interest. A record from a system of
records may be disclosed, as a routine
use, to any direct or indirect recipient
of federal funds where such record
reflects inadequacies with a recipient’s
personnel, and disclosure of the record
is made to permit a recipient to take
corrective action beneficial to the
Government.
E. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant
to any investigation, audit, or
evaluation. A record from a system of
records may be disclosed, as a routine
use, to any source, either private or
governmental, to the extent necessary to
secure from such source information
relevant to and sought in furtherance of
an investigation, audit, or evaluation.
F. Disclosure to any domestic or
foreign governmental agencies for
personnel or other action. A record from
a system of records may be disclosed, as
a routine use, to a federal, state, local,
foreign or international agency, for their
use in connection with such entity’s
assignment, hiring or retention of an
individual, issuance of a security
clearance, reporting of an investigation
of an individual, letting of a contract or
issuance of a license, grant or other
benefit, to the extent that the

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Jkt 197001

information is relevant and necessary to
such agency’s decision on the matter.
G. Disclosure to a board of contract
appeals, GAO or any other entity
hearing a contractor protest or dispute.
A record from a system of records may
be disclosed, as a routine use, to the
United States General Accounting
Office, to a board of contract appeals, or
to the Court of Federal Claims in bid
protest cases or contract dispute cases
involving procurement.
H. Disclosure to domestic or foreign
governmental law enforcement agency
in order to obtain information relevant
to an OIG or DOL decision. A record
from a system of records may be
disclosed, as a routine use, to a
domestic or foreign governmental
agency maintaining civil, criminal or
other relevant information, in order to
obtain information relevant to an OIG or
DOL decision concerning the
assignment, hiring, or retention of an
individual, the issuance of a security
clearance, the letting of a contract, or
the issuance of a license, grant, or other
benefit, or which may be relevant to an
OIG or DOL investigation, audit, or
evaluation.
I. Disclosure to OMB or DOJ regarding
Freedom of Information Act and Privacy
Act advice. Information from a system
of records may be disclosed, as a routine
use, to the Office of Management and
Budget or the Department of Justice in
order to obtain advice regarding
statutory and other requirements under
the Freedom of Information Act or
Privacy Act.
J. Disclosure pursuant to the receipt of
a valid subpoena. A record from a
system of records may be disclosed, as
a routine use, in response to a facially
valid subpoena for the record.
Disclosure may also be made when a
subpoena or order is signed by a judge
from a court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in
pursuance of an ex parte court order to
obtain taxpayer information from the
IRS. A record from a system of records
may be disclosed, as a routine use, to
the Department of Treasury and the
Department of Justice when the OIG
seeks an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
L. Disclosure to a consumer reporting
agency in order to obtain relevant
investigatory information. A record from
a system of records may be disclosed, as
a routine use, to a ‘‘consumer reporting
agency’’ as that term is defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) and the Federal Claims
Collection Act of 1966 (31 U.S.C.
3701(a)(3)), for the purposes of

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16905

obtaining information in the course of
an investigation, audit, or evaluations.
M. Disclosure in accordance with
computer matching guidelines. A record
may be disclosed to a federal, state, or
local agency for use in computer
matching programs to prevent and
detect fraud and abuse in benefit
programs administered by those
agencies, to support civil and criminal
law enforcement activities of those
agencies and their components, and to
collect debts and overpayments owed to
the agencies and their components. This
routine use does not provide
unrestricted access to records for such
law enforcement and related anti-fraud
activities; each request for disclosure
will be considered in light of the
applicable legal and administrative
requirements for the performance of a
computer matching program or
procedure.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The information is maintained in a
variety of mediums including paper,
magnetic tapes or discs, and optical
digital data discs. The records are
maintained in limited access areas
during duty hours and in locked offices
at all other times.
RETRIEVABILITY:

The written case records are indexed
by case number. Automated records are
retrieved by case number, case name,
subject, cross referenced item or, batch
retrieval applications.
SAFEGUARDS:

Direct access is restricted to
authorized staff members of the OIG,
their attorneys, or contractor employees
on a need-to-know basis. Automated
records can be accessed only through
use of confidential procedures and
passwords.
RETENTION AND DISPOSAL:

Closed files relating to a specific
investigation are destroyed after ten
years. Closed files containing
information of an investigative nature
but not relating to a specific
investigation are destroyed after five
years. Closed inspection and evaluation
case files are destroyed after five years.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Investigations and the Assistant
Inspector General for Communications,

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Inspections, and Evaluations, Office of
Inspector General, U.S. Department of
Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries concerning this system of
records can be directed to: Disclosure
Officer, Office of Inspector General, U.S.
Department of Labor, Room S1303, 200
Constitution Avenue, NW, Washington,
DC 20210. Inquiries must comply with
the requirements in 29 CFR part 71.
RECORD ACCESS PROCEDURE:

Individuals can request access to any
record pertaining to him/her by mailing
a request to the Disclosure Officer listed
above and in accordance with 29 CFR
part 71.
CONTESTING RECORD PROCEDURES:

Individuals desiring to contest or
amend information maintained in the
system should direct their request to the
Disclosure Officer listed in ‘‘Notification
Procedure,’’ above.
In addition, the request should state
clearly and concisely what information
is being contested, the reasons for
contesting it, and the proposed
amendment to the information sought.
See 29 CFR part 71.
RECORD SOURCE CATEGORIES:

The information contained in this
system is received from individual
complaints, witnesses, interviews
conducted during investigations,
Federal, state and local government
records, individual or company records,
claim and payment files, employer
medical records, insurance records,
court records, articles from publications,
published financial data, corporate
information, bank information,
telephone data, insurers, service
providers, other law enforcement
organizations, grantees, subgrantees,
contractors and subcontractors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

The Secretary of Labor has
promulgated regulations which exempt
information contained in this system of
records from various provisions of the
Privacy Act depending upon the
purpose for which the information was
gathered and for which it will be used.
The various law enforcement purposes
and the reasons for the exemptions are
as follows:
(a) Criminal Law Enforcement: In
accordance with 5 U.S.C. 552a(j)(2)
information compiled for this purpose is
exempt from all of the provisions of the
Act except the following sections: (b),
(c)(1) and (2), (e)(4) (A) through (F),
(e)(6), (7), (9), (10), and (11), and (i).

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This material is exempt because the
disclosure and other requirements of the
Act would substantially compromise the
efficacy and integrity of OIG operations
in a number of ways. Indeed, disclosure
of even the existence of these files
would be problematic. Disclosure could
enable suspects to take action to prevent
detection of criminal activities, conceal
evidence, or escape prosecution.
Required disclosure of information
contained in this system could lead to
the intimidation of, or harm to,
informants, witnesses and their
respective families or OIG personnel
and their families. Disclosure could
invade the privacy of individuals other
than subjects and disclose their identity
when confidentiality was promised or
impliedly promised to them. Disclosure
could interfere with the integrity of
information which would otherwise be
privileged, (see, e.g., 5 U.S.C. 552(b)(5)),
and which could interfere with other
important law enforcement concerns:
(see, e.g., 5 U.S.C. 552 (b)(7)).
The requirement that only relevant
and necessary information be included
in a criminal investigative file is
contrary to investigative practice which
requires a full and complete inquiry and
exhaustion of all potential sources of
information. See, 5 U.S.C. 552a(e)(1).
Similarly, maintaining only those
records which are accurate, relevant,
timely and complete and which assure
fairness in a determination is contrary to
established investigative techniques.
See, 5 U.S.C. 552a(e)(5). Requiring
investigators to obtain information to
the greatest extent practicable directly
from the subject individual would be
counterproductive to performance of
clandestine criminal investigation. See,
U.S.C. 552a(e)(2). Finally, providing
notice to an individual interviewed of
the authority of the interviewer, the
purpose to which the information
provided may be used, the routine uses
of that information and the effect upon
the individual should he/she choose not
to provide the information sought could
discourage the free flow of information
in a criminal law enforcement inquiry.
5 U.S.C. 552a(e)(3).
(b) Other Law Enforcement: In
accordance with 5 U.S.C. 552a(k)(2),
investigatory material compiled for law
enforcement purposes (to the extent it is
not already exempted by 5 U.S.C.
552a(j)(2)), is exempted from the
following provisions of the ACT: (c)(3),
(d), (e)(1), (e)(4)(G), (H) and (I), and (f).
This material is exempt because the
disclosure and other requirements of the
Act could substantially compromise the
efficacy and integrity of OIG operations.
Disclosure could invade the privacy of
other individuals and disclose their

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identity when they were expressly
promised confidentiality. Disclosure
could interfere with the integrity of
information which would otherwise be
subject to privileges, see, e.g., 5 U.S.C.
552(b)(5), and which could interfere
with other important law enforcement
concerns. See, e.g., 5 U.S.C. 552(b)(7).
(c) Protective Services: In accordance
with 5 U.S.C. 552(k)(3) investigatory
material maintained in connection with
assisting the U.S. Secret Service to
provide protective services to the
President of the United States or other
individuals pursuant to 18 U.S.C. 3056
is exempt from the following sections of
the ACT: (c)(3), (d), (e)(1), (e)(4)(G), (H)
and (I), and (f). This material is exempt
in order to enable the OIG to continue
its support of the Secret Service without
compromising the effectiveness of either
agency’s activities.
(d) Contract Investigations: In
accordance with 5 U.S.C. 552a(k)(5),
investigatory material compiled solely
for the purpose of determining integrity,
suitability, eligibility, qualifications, or
employment for a DOL contract is
exempt from the following sections of
the ACT: (c)(3), (d), (e)(1), (e)(4)(G), (H),
(I) and (f). This exemption was obtained
in order to protect from disclosure the
identity of a confidential source when
an express promise of confidentiality
has been given in order to obtain
information from sources who would
otherwise be unwilling to provide
necessary information.
DOL/OIG–2
SYSTEM NAME:

Freedom of Information/Privacy Act
Records.
SECURITY CLASSIFICATION:

Not applicable.
SYSTEM LOCATION:

Freedom of Information/Privacy Acts
Disclosure Office, Office of Inspector
General, U. S. Department of Labor, 200
Constitution Avenue, NW, Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Persons who request disclosure of
records pursuant to the Freedom of
Information Act, persons who request
access to or correction of records
pertaining to themselves contained in
the Office of Inspector General’s systems
of records pursuant to the Privacy Act;
where applicable, persons about whom
records have been requested or about
whom information is contained in
requested records; and persons
representing those identified above.

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CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains (a) copies of all
correspondence and internal
memorandums related to the Freedom
of Information Act and Privacy Act
requests, and related records necessary
to the processing of such requests; (b)
copies of all documents relevant to
appeals and lawsuits under the Freedom
of Information and Privacy Acts.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Freedom of Information Act, 5 U.S.C.
552, the Privacy Act, 5 U.S.C. 552a and
29 CFR parts 70 and 71.
PURPOSE(S):

This system of records is maintained
in order to reflect, accurately, the
identity of requesters, the substance of
each request, the responses made by the
OIG and in order to comply with the
reporting and accounting requirements
of the Freedom of Information and
Privacy Acts. Materials within this
system also reflect the reasons for the
disclosure and/or denial of requests or
portions of requests and any further
action on requests which may be
appealed and/or litigated.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. Referral to federal, state, local and
foreign investigative and/or prosecutive
authorities. A record from a system of
records, which indicates either by itself
or in combination with other
information within the agency’s
possession a violation or potential
violation of law, whether civil, criminal
or regulatory and whether arising by
general statute or particular program
statute, or by regulation, rule or order
issued pursuant thereto, may be
disclosed as a routine use to the
appropriate federal, foreign, state or
local agency or professional
organization charged with the
responsibility of investigating or
prosecuting such violation or charged
with enforcing or implementing or
investigating or prosecuting such
violation or charged with enforcing or
implementing the statute or rule,
regulation or order issued pursuant
thereto.
B. Introduction to a grand jury. A
record from a system of records may be
disclosed, as a routine use, to a grand
jury agent pursuant either to a federal or
state grand jury subpoena or to a
prosecution request that such record be
released for the purpose of its
introduction to a grand jury.
C. Referral to federal, state, local or
professional licensing boards. A record
from a system of records may be

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disclosed, as a routine use, to any
governmental, professional or licensing
authority when such record reflects on
qualifications, either moral, educational
or vocational, of an individual seeking
to be licensed or to maintain a license.
D. Disclosure to contractor, grantee or
other direct recipient of federal funds to
allow such entity to effect corrective
action in agency’s best interest. A record
from a system of records may be
disclosed, as a routine use, to any direct
or indirect recipient of federal funds
where such record reflects serious
inadequacies with a recipient’s
personnel, and disclosure of the record
is made to permit a recipient to take
corrective action beneficial to the
Government.
E. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant
to any investigation, audit or inspection.
A record from a system of records may
be disclosed, as a routine use, to any
source, either private or governmental,
to the extent necessary to secure from
such source information relevant to and
sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or
foreign governmental agencies for
personnel or other action. A record from
a system of records may be disclosed, as
a routine use, to a federal, state, local,
foreign or international agency, for their
use in connection with such entity’s
assignment, hiring or retention of an
individual, issuance of a security
clearance, reporting of an investigation
of an individual, letting of a contract or
issuance of a license, grant or other
benefit, to the extent that the
information is relevant and necessary to
such agency’s decision on the matter.
G. Disclosure to a board of contract
appeals, GAO or any other entity
hearing a contractor protest or dispute.
A record from a system of records may
be disclosed, as a routine use, to the
United States General Accounting
Office, to a board of contract appeals, or
to the claims court in bid protest cases
or contract dispute cases involving
procurement.
H. Disclosure to domestic or foreign
governmental law enforcement agency
in order to obtain information relevant
to an OIG or DOL decision. A record
from a system of records may be
disclosed, as a routine use, to a
domestic or foreign governmental
agency maintaining civil, criminal or
other relevant information, in order to
obtain information relevant to a OIG or
DOL decision concerning the
assignment, hiring, or retention of an
individual, the issuance of a security
clearance, the letting of a contract, or

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16907

the issuance of a license, grant, or other
benefit, or which may be relevant to an
OIG or DOL investigation, audit, or
evaluation.
I. Disclosure to OMB or DOJ regarding
Freedom of Information Act and Privacy
Act advice. Information from a system
of records may be disclosed, as a routine
use, to the Office of Management and
Budget or the Department of Justice in
order to obtain advice regarding
statutory and other requirements under
the Freedom of Information Act or
Privacy Act.
J. Disclosure pursuant to the receipt of
a valid subpoena. A record from a
system of records may be disclosed, as
a routine use, in response to a facially
valid subpoena for the record.
Disclosure may also be made when a
subpoena or order is signed by a judge
from a court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in
pursuance of an ex parte court order to
obtain taxpayer information from the
IRS. A record from a system of records
may be disclosed, as a routine use, to
the Department of Treasury and the
Department of Justice when the OIG
seeks an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
L. Disclosure to a consumer reporting
agency in order to obtain relevant
investigatory information. A record from
a system of records may be disclosed, as
a routine use, to a ‘‘consumer reporting
agency’’ as that term is defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) and the Federal Claims
Collection Act of 1966 (31 U.S.C.
3701(a)(3)), for the purposes of
obtaining information in the course of
an investigation, audit, or evaluation.
M. Disclosure in accordance with
computer matching laws, regulations
and/or guidelines. A record may be
disclosed to a federal, state, or local
agency for use in computer matching
programs to prevent and detect fraud
and abuse in benefit programs
administered by those agencies, to
support civil and criminal law
enforcement activities of those agencies
and their components, and to collect
debts and overpayments owed to the
agencies and their components. This
routine use does not provide
unrestricted access to records for such
law enforcement and related anti-fraud
activities; each request for disclosure
will be considered in light the
applicable legal and administrative
requirements for the performance of a
computer matching program or
procedure.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
RECORD SOURCE CATEGORIES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

The information contained in this
system is received from the persons or
entities making requests, the systems of
records searched to respond to requests,
and other agencies referring requests for
access or correction of records
originating in the Office of Inspector
General.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records in this system are
maintained in a variety of mediums
including paper, magnetic tapes or
discs, and optical digital data discs.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

RETRIEVABILITY:

A record is retrieved by the name of
the individual, the case file numbers or
by other subject matter covered by the
request.
SAFEGUARDS:

This system of records is maintained
at OIG Headquarters which is located in
a building protected by twenty-four
hour guard service. The system is kept
in locked storage when not in use and
is accessible only on a need to know
basis. Offices containing records are
restricted to authorized personnel only.
Automated data can only be accessed
with a password by authorized users.
RETENTION AND DISPOSAL:

These records are destroyed six years
after final agency determination or 3
years after final court adjudication,
whichever is later.

Some records obtained and stored in
this system originate from other systems
of records and have been exempted
under the provisions of the Freedom of
Information/Privacy Acts to the same
extent as the systems of records from
which they were obtained.
DOL/OIG–3
SYSTEM NAME:

Investigative Case Files, Case
Development and Intelligence Records.
SECURITY CLASSIFICATION:

Not applicable.
SYSTEM LOCATION:

Office of Inspector General, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210
and in the OIG regional and field
offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Disclosure Officer, Office of Inspector
General, U.S. Department of Labor,
Room S1303, 200 Constitution Avenue,
NW., Washington, DC 20210.

Individuals or entities known or
suspected of being involved in or
associated with criminal activity, labor
racketeering, or other violation of law or
regulation and associates of those
individuals.

NOTIFICATION PROCEDURE:

CATEGORIES OF RECORDS IN THE SYSTEM:

Inquiries concerning this system can
be directed to: Disclosure Officer, Office
of Inspector General, 200 Constitution
Avenue, NW., Washington, DC 20210.
Inquiries must comply with the
requirements in 29 CFR part 71.

The system of records contains
materials related to criminal and civil
investigations, intelligence and other
background information based on
reasonable suspicion of criminal
activity; statements and other material
from subjects and witnesses;
information from government
investigatory or law enforcement
organizations and projects (federal,
state, local or international);
investigative notes and reports;
summary information for indexing and
cross-referencing; other evidence and
background materials existing in any
form (e.g. audio or video tape,
photographs, computer tapes or disks).

SYSTEM MANAGER(S) AND ADDRESS:

RECORD ACCESS PROCEDURES:

Individuals can request access to any
record pertaining to him/her by mailing
a request to the Disclosure Officer listed
above under 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

Individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the Disclosure Officer listed
in ‘‘Notification Procedure’’ above. In
addition, the request should state
clearly and concisely what information
is being contested, the reasons for
contesting it, and the proposed
amendment to the information sought.
See 29 CFR 71.9.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. App 3; the Act of March 4,
1913 (37 Stat. 736) 29 U.S.C. 551;
Secretary’s Order 2–90, dated January
31, 1990 concerning the authorization
and organization of the Office of
Inspector General at the Department;

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and the Omnibus Crime Control Act of
1984; and 28 CFR 23.1.
PURPOSE(S):

This system of records is maintained
as a repository for: (1) Records created
as a result of targeting, surveys and
projects for the development of cases
and investigations for the Office of
Investigations and for the Office of
Labor Racketeering; (2) intelligence
information concerning individuals
identified as potential violators of
criminal, labor and labor-related laws
and other individuals associated with
them; and (3) for other research and
analysis to share with other law
enforcement organizations if in
compliance with 28 CFR 23.1.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. Referral to federal, state, local and
foreign investigative and/or prosecutive
authorities. A record from a system of
records, which indicates either by itself
or in combination with other
information within the agency’s
possession a violation or potential
violation of law, whether civil, criminal
or regulatory and whether arising by
general statute or particular program
statute, or by regulation, rule or order
issued pursuant thereto, may be
disclosed as a routine use, to the
appropriate federal, foreign, state or
local agency or professional
organization charged with the
responsibility of investigating or
prosecuting such violation or charged
with enforcing or implementing or
investigating or prosecuting such
violation or charged with enforcing or
implementing the statute or rule,
regulation or order issued pursuant
thereto.
B. Introduction to a grand jury. A
record from a system of records may be
disclosed, as a routine use, to a grand
jury agent pursuant either to a federal or
state grand jury subpoena or to a
prosecution request that such record be
released for the purpose of its
introduction to a grand jury.
C. Referral to federal, state, local or
professional licensing boards. A record
from a system of records may be
disclosed, as a routine use, to any
governmental, professional or licensing
authority when such record reflects on
qualifications, either moral, educational
or vocational, of an individual seeking
to be licensed or to maintain a license.
D. Disclosure to contractor, grantee or
other indirect recipient of federal funds
to allow such entity to effect corrective
action in agency’s best interest. A record
from a system of records may be

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disclosed, as a routine use, to any direct
or indirect recipient of federal funds
where such record reflects serious
inadequacies with a recipient’s
personnel, and disclosure of the record
is made to permit a recipient to take
corrective action beneficial to the
Government.
E. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant
to any investigation, audit or inspection.
A record from a system of records may
be disclosed, as a routine use, to any
source, either private or governmental,
to the extent necessary to secure from
such source information relevant to and
sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or
foreign governmental agencies for
personnel or other action. A record from
a system of records may be disclosed, as
a routine use, to a federal, state, local,
foreign or international agency, for their
use in connection with such entity’s
assignment, hiring or retention of an
individual, issuance of a security
clearance, reporting of an investigation
of an individual, letting of a contract or
issuance of a license, grant or other
benefit, to the extent that the
information is relevant and necessary to
such agency’s decision on the matter.
G. Disclosure to a board of contract
appeals, GAO or any other entity
hearing a contractor protest or dispute.
A record from a system of records may
be disclosed, as a routine use, to the
United States General Accounting
Office, to a board of contract appeals, or
to the claims court in bid protest cases
or contract dispute cases involving
procurement.
H. Disclosure to domestic or foreign
governmental law enforcement agency
in order to obtain information relevant
to an OIG or DOL decision. A record
from a system of records may be
disclosed, as a routine use, to a
domestic or foreign governmental
agency maintaining civil, criminal or
other relevant enforcement information,
or other pertinent information, in order
to obtain information relevant to an OIG
or DOL decision concerning the
assignment, hiring, or retention of an
individual, the issuance of a security
clearance, the letting of a contract, or
the issuance of a license, grant, or other
benefit, or which may be relevant to an
OIG or DOL investigation, audit, or
evaluation.
I. Disclosure to OMB or DOJ regarding
Freedom of Information Act and Privacy
Act advice. Information from a system
of records may be disclosed, as a routine
use, to the Office of Management and
Budget or the Department of Justice in

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order to obtain advice regarding
statutory or other requirements under
the Freedom of Information Act or
Privacy Act.
J. Disclosure pursuant to the receipt of
a valid subpoena. A record from a
system of records may be disclosed, as
a routine use, in response to a facially
valid subpoena for the record.
Disclosure may also be made when a
subpoena or order is signed by a judge
from a court of competent jurisdiction.
K. Disclosure to Treasury and DOJ in
pursuance of an ex parte court order to
obtain taxpayer information from the
IRS. A record from a system of records
may be disclosed, as a routine use, to
the Department of Treasury and the
Department of Justice when the OIG
seeks an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
L. Disclosure to a consumer reporting
agency in order to obtain relevant
investigatory information. A record from
a system of records may be disclosed, as
a routine use, to a ‘‘consumer reporting
agency’’ as that term is defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) and the Federal Claims
Collection Act of 1966 (31 U.S.C.
3701(a)(3)), for the purposes of
obtaining information in the course of
an investigation, audit, or evaluation.
M. Disclosure in accordance with
computer matching laws, regulations
and/or guidelines. A record may be
disclosed to a federal, state, or local
agency for use in computer matching
programs to prevent and detect fraud
and abuse in benefit programs
administered by those agencies, to
support civil and criminal law
enforcement activities of those agencies
and their components, and to collect
debts and overpayments owed to the
agencies and their components. This
routine use does not provide
unrestricted access to records for such
law enforcement and related anti-fraud
activities; each request for disclosure
will be considered in light of the
applicable legal and administrative
requirements for the performance of a
computer matching program or
procedure.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

STORAGE:

The records are stored on a variety of
mediums including paper, magnetic
tapes or discs, and/or optical digital
data discs.

Frm 00095

RETRIEVABILITY:

Retrievable by name of individual
subject, other personal identifiers and
other non-personal elements.
SAFEGUARDS:

Available on an official need-to-know
basis and kept in locked storage when
not in use. Offices containing records
are restricted to authorized personnel
only. Any automated data can only be
accessed by a password from a
authorized user. Computer terminals
with access are away from general staff
and housed in locked offices.
RETENTION AND DISPOSAL:

Closed Labor Racketeering case files
are retired to the Federal Records Center
and retained for 20 years. All other
cases are destroyed 10 years after the
files are closed. Intelligence information
maintained in electronic files are
reviewed every 5 years for relevance
and importance. Information deemed
obsolete or otherwise unreliable is
deleted after 5 years. Electronic
information for which accuracy of
information and reliability of source
cannot be confirmed is deleted after 1
year. Electronic Information collected
for which reliability of source and
reasonable suspicion of criminal activity
has been confirmed and linked to long
term, known organized crime activity
can be kept in excess of 5 years. All
records are destroyed 20 years after cut
off date.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for
Investigations, OIG/DOL, 200
Constitution Avenue, NW., Washington,
DC 20210.
NOTIFICATION PROCEDURE:

Inquiries concerning this system can
be directed to: Disclosure Officer, OIG,
200 Constitution Avenue, NW.,
Washington, DC 20210. Inquiries must
comply with the requirements in 29
CFR part 71.
RECORD ACCESS PROCEDURE:

Individuals can request access to any
record pertaining to him/her by mailing
a request to the Disclosure Officer listed
above and in accordance with 29 CFR
71.2.
CONTESTING RECORD PROCEDURES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, AND DISPOSING OF
RECORDS IN THE SYSTEM:

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Individuals desiring to contest or
amend information maintained in the
system should direct their request to the
Disclosure Officer listed in 29 CFR part
71. In addition, the request should state
clearly and concisely what information
is being contested, the reasons for
contesting it, and the proposed

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amendment sought for the information.
See 29 CFR part 71.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

The Secretary of Labor has
promulgated regulations which exempt
information contained in this system of
records from various provisions of the
Privacy Act depending upon the
purpose for which the information was
gathered and for which it will be used.
The various law enforcement purposes
and the reasons for the exemptions are
as follow:
(a) Criminal Law Enforcement:
Information compiled for this purpose is
exempt from all of the provisions of the
Act except the following sections: (b),
(c)(1) and (2), (e)(4)(A) through (F),
(e)(6), (7), (9), (10), and (11), and (i).
This material is exempt because the
disclosure and other requirements of the
Act would substantially compromise the
efficacy and integrity of OIG operations
in a number of ways. Indeed, disclosure
of even the existence of these files
would be problematic.
Disclosure could enable suspects to
take action to prevent detection of
criminal activities, conceal evidence, or
escape prosecution. Required disclosure
of information contained in this system
could lead to the intimidation of, or
harm to, informants, witnesses and their
respective families or OIG personnel
and their families.
Disclosure could invade the privacy
of individuals other than subjects and
disclose their identity when
confidentiality was promised to them.
Disclosures from these files could
interfere with the integrity of other
information which would otherwise be
privileged, see, e.g., 5 U.S.C. 552(b)(5)
and which could interfere with other
important law enforcement concerns,
see, e.g., 5 U.S.C. 552(b)(7).
The requirement that only relevant
and necessary information be included
in a criminal investigative file is
contrary to good investigative practices
which require a full and complete
inquiry and exhaustion of all potential
sources of information. 5 U.S.C.
552a(e)(1). Similarly, maintaining only
those records which are accurate,
relevant, timely and complete and
which assure fairness in a determination
is contrary to established investigative
techniques. 5 U.S.C. 552a(e)(5).
Requiring investigators to obtain
information to the greatest extent
practicable directly from the subject
individual would be counterproductive
to performance of a clandestine criminal
investigation. 5 U.S.C. 552a(e)(2).
Finally, providing notice to an
individual interviewed of the authority

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of the interviewer, the purpose to which
the information provided may be used,
the routine uses of that information and
the effect upon the individual should he
choose not to provide the information
sought could discourage the free flow of
information in a criminal law
enforcement inquiry. 5 U.S.C.
552a(e)(3).
(b) Other Law Enforcement: In
accordance with 5 U.S.C. 552a(k)(2),
investigatory material compiled for law
enforcement purposes (to the extent it is
not already exempted by 5 U.S.C.
552a(j)(2)), is exempted from the
following provisions of the Act: (c)(3),
(d), (e)(1), (e)(4)(G), (H), (I) and (f). This
material is exempt because the
disclosure and other requirements of the
act could substantially compromise the
efficacy and integrity of OIG operations.
Disclosure could invade the privacy of
other individuals and disclose their
identity when they were expressly
promised confidentiality.
Disclosure could interfere with the
integrity of information which would
otherwise be subject to privileges, see,
e.g., 5 U.S.C. 552(b)(5), and which could
interfere with other important law
enforcement concerns. See, e.g., 5 U.S.C.
552(b)(7).
DOL/OIG–5
SYSTEM NAME:

Audit Information, Tracking and
Reporting System US DOL/OIG.
SECURITY CLASSIFICATION:

Not applicable.
SYSTEM LOCATION:

Office of Inspector General, U.S.
Department of Labor, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210 and the OIG
regional and field offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Auditors, certain administrative
support staff, and contractors of the
Office of Inspector General.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records or information contained in
the system may include: (1) Employee
or OIG contractor; (2) social security
number; (3) grade/step; (4) training; (5)
audit and investigative case tracking
data (e.g. audit/project/report number,
program, findings, results, etc.); (6)
other statistical information.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Pub. L. 95–452, 5 U.S.C. App. 3,
Inspector General Act of 1978.
Secretary’s Order 2–90 dated January
31, 1990 establishing the Office of

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Inspector General at the Department of
Labor.
PURPOSE(S):

This system is maintained in order to
act as a management information system
for OIG audit projects and personnel
and to assist in the accurate and timely
maintenance of information.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. Referral to federal, state, local and
foreign investigative and/or prosecutive
authorities. A record from a system of
records, which indicates either by itself
or in combination with other
information within the agency’s
possession a violation or potential
violation of law, whether civil, criminal
or regulatory and whether arising by
general statute or particular program
statute, or by regulation, rule or order
issued pursuant thereto, may be
disclosed as a routine use, to the
appropriate federal, foreign, state or
local agency or professional
organization charged with the
responsibility of investigating or
prosecuting such violation or charged
with enforcing or implementing or
investigating or prosecuting such
violation or charged with enforcing or
implementing the statute or rule,
regulation or order issued pursuant
thereto.
B. Introduction to a grand jury. A
record from a system of records may be
disclosed, as a routine use, to a grand
jury agent pursuant either to a federal or
state grand jury subpoena or to a
prosecution request that such record be
released for the purpose of its
introduction to a grand jury.
C. Referral to federal, state, local or
professional licensing boards. A record
from a system of records may be
disclosed, as a routine use, to any
governmental, professional or licensing
authority when such record reflects on
qualifications, either moral, educational
or vocational, of an individual seeking
to be licensed or to maintain a license.
D. Disclosure to contractor, grantee or
other direct recipient of federal funds to
allow such entity to effect corrective
action in the agency’s best interest. A
record from a system of records may be
disclosed, as a routine use, to any direct
or indirect recipient of federal funds
where such record reflects inadequacies
with a recipient’s personnel, and
disclosure of the record is made to
permit a recipient to take corrective
action beneficial to the Government.
E. Disclosure to any source, either
private or governmental, to the extent
necessary to solicit information relevant

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to any investigation, audit or evaluation.
A record from a system of records may
be disclosed, as a routine use, to any
source, either private or governmental,
to the extent necessary to secure from
such source information relevant to and
sought in furtherance of an
investigation, audit, or evaluation.
F. Disclosure to any domestic or
foreign governmental agencies for
personnel or other action. A record from
a system of records may be disclosed, as
a routine use, to a federal, state, local,
foreign or international agency, for their
use in connection with such entity’s
assignment, hiring or retention of an
individual, issuance of a security
clearance, reporting of an investigation
of an individual, letting of a contract or
issuance of a license, grant or other
benefit, to the extent that the
information is relevant and necessary to
such agency’s decision on the matter.
G. Disclosure to a board of contract
appeals, GAO or any other entity
hearing a contractor protest or dispute.
A record from a system of records may
be disclosed, as a routine use, to the
United States General Accounting
Office, to a board of contract appeals, or
to the claims court in bid protest cases
or contract dispute cases involving
procurement.
H. Disclosure to domestic or foreign
governmental law enforcement agency
in order to obtain information relevant
to an OIG or DOL decision. A record
from a system of records may be
disclosed, as a routine use, to a
domestic or foreign governmental
agency maintaining civil, criminal or
other relevant information, in order to
obtain information relevant to a OIG or
DOL decision concerning the
assignment, hiring, or retention of an
individual, the issuance of a security
clearance, the letting of a contract, or
the issuance of a license, grant, or other
benefit, or which may be relevant to an
OIG or DOL investigation, audit, or
evaluation.
I. Disclosure to OMB or DOJ regarding
Freedom of Information Act and Privacy
Act advice. Information from a system
of records may be disclosed, as a routine
use, to the Office of Management and
Budget or the Department of Justice in
order to obtain advice regarding
statutory and other requirements under
the Freedom of Information Act or
Privacy Act.
J. Disclosure pursuant to the receipt of
a valid subpoena. A record from a
system of records may be disclosed, as
a routine use, in response to a facially
valid subpoena for the record.
Disclosure may also be made when a
subpoena or order is signed by a judge
from a court of competent jurisdiction.

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K. Disclosure to Treasury and DOJ in
pursuance of an ex parte court order to
obtain taxpayer information from the
IRS. A record from a system of records
may be disclosed, as a routine use, to
the Department of Treasury and the
Department of Justice when the OIG
seeks an ex parte court order to obtain
taxpayer information from the Internal
Revenue Service.
L. Disclosure to a consumer reporting
agency in order to obtain relevant
investigatory information. A record from
a system of records may be disclosed, as
a routine use, to a ‘‘consumer reporting
agency’’ as that term is defined in the
Fair Credit Reporting Act (15 U.S.C.
1681a(f)) and the Federal Claims
Collection Act of 1966 (31 U.S.C.
3701(a)(3)), for the purposes of
obtaining information in the course of
an investigation, audit, or evaluation.
M. Disclosure in accordance with
computer matching laws, regulations
and/or guidelines. A record may be
disclosed to a federal, state, or local
agency for use in computer matching
programs to prevent and detect fraud
and abuse in benefit programs
administered by those agencies, to
support civil and criminal law
enforcement activities of those agencies
and their components, and to collect
debts and overpayments owed to the
agencies and their components. This
routine use does not provide
unrestricted access to records for such
law enforcement and related anti-fraud
activities; each request for disclosure
will be considered in light of the
applicable legal and administrative
requirements for the performance of a
computer matching program or
procedure.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records are stored on a variety of
mediums including paper, magnetic
tapes or discs, and optical digital data
discs.
RETRIEVABILITY:

Records are retrieved by computer
using individual name(s) or project/case
name.
SAFEGUARDS:

Direct access is restricted to
authorized staff members and
contractors of the OIG. Automated
records can be accessed only through
use of confidential procedures and

PO 00000

Frm 00097

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16911

passwords by authorized personnel in
both OIG Headquarters and regional and
field offices.
RETENTION AND DISPOSAL:

Closed files are destroyed after three
years.
SYSTEM MANAGER(S) AND ADDRESS:

Assistant Inspector General for Audit,
200 Constitution Avenue, NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Inquiries concerning this system can
be directed to: Disclosure Officer, Office
of Inspector General, 200 constitution
Avenue, NW., Washington, DC 20210.
Inquiries must comply with the
requirements in 29 CFR part 71.
RECORDS SOURCE CATEGORIES:

Official personnel folders; other
personnel documents, activity
supervisors, audit/investigation report
standard forms.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

The Secretary of Labor has
promulgated regulations which exempt
information contained in this system of
records from various provisions of the
Privacy Act depending upon the
purpose for which the information was
gathered and for which it will be used.
The various law enforcement
purposes and the reasons for the
exemptions are as follow:
(a) Criminal Law Enforcement:
Information compiled for this purpose is
exempt from all of the provisions of the
Act except the following sections: (b),
(c)(1) and (2), (e)(4)(A) through (F),
(e)(6), (7), (9), (10), and (11), and (i).
This material is exempt because the
disclosure and other requirements of the
Act would substantially compromise the
efficacy and integrity of OIG operations
in a number of ways. Indeed, disclosure
of even the existence of these files
would be problematic. Disclosure could
enable suspects to take action to prevent
detection of criminal activities, conceal
evidence, or escape prosecution.
Required disclosure of information
contained in this system could lead to
the intimidation of, or harm to,
informants, witnesses and their
respective families or OIG personnel
and their families.
Disclosure could invade the privacy
of individuals other than subjects and
disclose their identity when
confidentiality was promised to them.
Disclosures from these files could
interfere with the integrity of other
information which would otherwise be
privileged, see, e.g., 5 U.S.C. 552(b)(5),
and which could interfere with other

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important law enforcement concerns,
see, e.g., 5 U.S.C. 552(b)(7).
The requirement that only relevant
and necessary information be included
in a criminal investigative file is
contrary to good investigative practices
which require a full and complete
inquiry and exhaustion of all potential
sources of information. 5 U.S.C.
552a(e)(1). Similarly, maintaining only
those records which are accurate,
relevant, timely and complete and
which assure fairness in a determination
is contrary to established investigative
techniques.
5 U.S.C. 552a(e)(5). Requiring
investigators to obtain information to
the greatest extent practicable directly
from the subject individual would be
counterproductive to performance of a
clandestine criminal investigation. 5
U.S.C. 552a(e)(2). Finally providing
notice to an individual interviewed of:
The authority of the interviewer, the
purpose to which the information
provided may be used, the routine uses
of that information and the effect upon
the individual should he choose not to
provide the information sought could
discourage the free flow of information
in a criminal law enforcement inquiry.
5 U.S.C. 552a(e)(3).
(b) Other Law Enforcement: In
accordance with 5 U.S.C. 552a(k)(2),
investigatory material compiled for law
enforcement purposes (to the extent it is
not already exempted by 5 U.S.C.
552a(j)(2)), is exempted from the
following provisions of the ACT: (c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I), and (f).
This material is exempt because the
disclosure and other requirements of the
Act could substantially compromise the
efficacy and integrity of OIG operations.
Disclosure could invade the privacy of
other individuals and disclose their
identity when they were expressly
promised confidentiality. Disclosure
could interfere with the integrity of
information which would otherwise be
subject to privileges, see, e.g., 5 U.S.C.
552(b)(5), and which could interfere
with other important law enforcement
concerns. See, e.g., 5 U.S.C. 552(b)(7).
(c) Protective Services: In accordance
with 5 U.S.C. 552a(k)(3) investigatory
material maintained in connection with
assisting the U.S. Secret Service to
provide protective services to the
President of the United States or other
individuals pursuant to 18 U.S.C. 3056
is exempt from the following section of
the ACT: (c)(3), (d), (e)(1), (e)(4)(G), (H),
and (I), and (f). This material is exempt
in order to enable the OIG to continue
its support of the Secret Service without
compromising the effectiveness of either
agency’s activities.

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(d) Contract Investigations: In
accordance with 5 U.S.C. 552a(k)(5),
investigatory material compiled solely
for the purpose of determining integrity,
suitability, eligibility, or qualifications
for a DOL contract is exempt from the
following sections of the ACT: (c)(3),
(d), (e)(1), (e)(4)(G), (H), and (I) and (f).
This exemption was obtained in order to
protect from disclosure the identity of a
confidential source when an express
promise of confidentiality has been
given in order to obtain information
from sources who would otherwise be
unwilling to provide necessary
information.

None, except for those uses listed in
the General Prefatory Statement to this
document.
DISCLOSURES TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

Manual files and computer disk.

SYSTEM NAME:

Arbitrators/Experts/Consultant
Candidates’ Biographies.
SECURITY CLASSIFICATION:

By Nominee’s name and by selected
skills categories.
Locked storage equipment and
personnel screening.

SYSTEM LOCATION:

U.S. National Administrative Office,
U.S. Department of Labor, Bureau of
International Labor Affairs, 200
Constitution Avenue, NW, Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who applied, are
nominated or are selected to serve as
arbitrators, experts, advisors,
consultants, contractors or similar
positions for the U.S. National
Administrative Office or the Secretariat
for the North American Agreement on
Labor Cooperation (NAALC), the
supplemental agreement on labor issues
to the North American Free Trade
Agreement (NAFTA).
CATEGORIES OF RECORDS IN THE SYSTEM:

Application and nomination letters;
resumes, biographical sketches,
curriculum vitae, and other related
documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

North American Agreement on Labor
Cooperation Articles 23, 28, and 30; 58
FR 69410; and 5 U.S.C. 301.
PURPOSE(S):

These records are established when
individuals nominate themselves or are
recommended for appointments as
arbitrators, experts, consultants,
contractors, advisory committee
members or similar positions with the
U.S. National Administrative Office or
the Secretariat for the NAALC. The
records are used by the Deputy Under
Secretary of Labor for International
Affairs to make selections or
recommendations as appropriate to the

Fmt 4701

RETRIEVABILITY:

SAFEGUARDS:

None.

Frm 00098

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

STORAGE:

DOL/ILAB–1

PO 00000

Secretary of Labor or Executive Director
of the Secretariat for appointment.

Sfmt 4703

RETENTION AND DISPOSAL:

a. Advisory committee members,
arbitrators, contractors, consultants, and
experts: Permanent transfer to National
Archives three (3) years after expiration
of term of service.
b. Nominees not selected: destroy files
when five (5) years old.
SYSTEM MANAGER(S) AND ADDRESS:

Secretary, U.S. National
Administrative Office, U.S. Department
of Labor, Bureau of International Labor
Affairs, Washington, DC 20210.
NOTIFICATION PROCEDURES:

Individuals wishing to gain access to
records should contact the system
manager at the SYSTEM LOCATION above.
RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the system manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name;
b. Approximate date for investigation;
c. Individuals requesting access must
also comply with the Privacy Act
regulations regarding verification of the
identity to records at 29 CFR 71.2.
CONTESTING RECORDS PROCEDURES:

A petition for amendments shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.
RECORD SOURCE CATEGORIES:

Nominations submitted by
individuals within the system, other

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individuals and organizations and by
government agencies.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

STORAGE:

Not applicable.
DOL/MSHA–1

Manual—file folders; Computer—
magnetic media.
RETRIEVABILITY:

Indexed and filed by mine
identification number and date of
accident and injury occurrence or
illness diagnosis. Accessed by mine
identification, date of accident and the
last four digits of the social security
number of individual(s) involved.

SYSTEM NAME:

Coal and Metal and Nonmetal Mine
Accident, Injury, and Illness.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Department of Labor, Mine Safety and
Health Administration, Program
Evaluation and Information Resources,
PO Box 25367, Denver CO 80225–0367.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individual workers in the coal and
metal and nonmetal mining industries.
CATEGORIES OF RECORDS IN THE SYSTEM:

These records contain accident,
injury, and occupational illness data
which includes the mine name and
identification number; date, time, and
place of occurrence; type and
description of accident; and name and
social security number of injured miner.
For 1978 and subsequent years, only the
last four digits of the social security
number are in the records.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 813.
PURPOSE(S):

To maintain data to provide MSHA
timely information for making decisions
on improving safety and health
programs, improving education and
training efforts, and establishing
priorities in technical assistance
activities in the mining industry. The
primary uses of the records are (a) to
determine probable cause of accidents,
injuries, and illnesses and (b) to provide
a statistical analytic data base for
allocation of MSHA and other resources
to reduce occupational injuries and
illnesses.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

SAFEGUARDS:

Computer safeguards and procedures
developed by MSHA under GSA
Circular E–34. Appropriate reports are
marked with the Privacy Act warning.
Only authorized personnel have access
to files.
MSHA Forms 7000–1, Mine Accident,
Injury, and Illness Report, are retained
for 6 years after year of record and then
destroyed. Microfiche copies of these
documents are retained by the Office of
Injury and Employment Information
permanently. Records in magnetic
media are transferred to NARA as
permanent records immediately after
each annual close-out.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Office of Injury and
Employment Information, Program
Evaluation and Information Resources,
PO Box 25367, Denver, CO 80225–0367.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.
RECORD ACCESS PROCEDURES:

To see your records, write the System
Manager and describe specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Date of birth
c. Signature
CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Date of birth
c. Signature

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RECORD SOURCE CATEGORIES:

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Mine operators including
independent contractors.

PO 00000

Frm 00099

Fmt 4701

Sfmt 4703

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/MSHA–3
SYSTEM NAME:

Metal and Nonmetal Mine Safety and
Health Management Information
System.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

(1) Office of the Administrator for
Metal and Nonmetal Mine Safety and
Health, U.S. Department of Labor, 4015
Wilson Blvd., Arlington, Virginia 22203.
(2) Substantially all Metal and
Nonmetal Mine Safety and Health
Offices listed in the appendix. (See the
Appendix for addresses.)
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RETENTION AND DISPOSAL:

In addition to those universal routine
uses listed in the general prefatory
statement, disclosures may be made to
a federal agency which has requested
information relevant or necessary to
research for mine safety and health
under appropriate security procedures.

None.

16913

Metal and Nonmetal enforcement
personnel and key officials who conduct
inspection/investigation activities at
surface and underground mines.
CATEGORIES OF RECORDS IN THE SYSTEM:

Contains records on metal and
nonmetal mine safety and health
activities which include mine and mill
locations, metal and nonmetal mine
inspection personnel time and activity,
inspections, citations and orders against
operators, sampling data on personal
exposure of non-identified miners and
MSHA personnel to radiation, dust,
noise and other contaminants, and
comprehensive health surveys on
individual operations.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 557a, 668; 30 U.S.C. 811,
813, 814.
PURPOSE(S):

Records are maintained in order to (a)
determine workload, work scheduling
and performance of mine inspection
personnel; (b) maintain records on
violations of health and safety standards
and regulations; (c) determine
contaminant exposure level; and (d)
maintain employment data at metal and
nonmetal mines, e.g. number or
workers, etc.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
may be made (a) to the National
Institute of Occupational Safety and
Health and the Environmental
Protection Agency to determine

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contaminant exposure levels; (b) to state
agencies to maintain records on
violations of health and safety standards
and regulations, as well as to determine
contaminant exposure levels; (c) to
unions and company officials to
determine contaminant exposure levels;
(d) to individuals requesting
information on mines or mine exposure.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Date of birth
c. Signature
RECORD SOURCE CATEGORIES:

MSHA inspection personnel and
individual mine operators.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT

None.

STORAGE:

Computer-Information from source
documents to remote disk storage to
host disk storage, with final storage on
magnetic tape. Manual—8 × 101⁄2 inch
reports and forms in standard file
cabinets.
RETRIEVABILITY:

Computerized and manual records are
indexed by mine identification number
for operator and by Authorized
Representative and Right of Entry
number for MSHA personnel.
SAFEGUARDS:

Computer safeguards and procedures
developed by MSHA under GSA
Circular E–34. Manual-Locked file
cabinets. During working hours records
are accessible only to authorized
personnel.
RETENTION AND DISPOSAL:

Computer databases are updated from
source documents daily, weekly and
monthly. The active computer database
contains data for the most recent 5
years. This data is transferred to the
historical database when it is 5 years
old. The historical database is retained
indefinitely.
SYSTEM MANAGER(S) AND ADDRESS:

Administrative Officer, Metal and
Nonmetal Mine Safety and Health, 4015
Wilson Blvd., Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.
RECORD ACCESS PROCEDURES:

To see your records, write the System
Manager and describe as specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Date of birth

VerDate 112000

c. Signature

19:00 Apr 05, 2002

Jkt 197001

STORAGE:

In manila file folders and
computerized tracking system.
RETRIEVABILITY:

Records are retrieved by case number;
complainant’s/respondent’s name;
company name; mine name,
identification number (I.D.), or address.
Maintained in locked file cabinets and
secured computer system.

SYSTEM NAME:

Discrimination Investigations.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of the Administrator for Coal
Mine Safety and Health and Office of
the Administrator for Metal and
Nonmetal Mine Safety and Health, Mine
Safety and Health Administration, U.S.
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203
and all Coal and Metal and Nonmetal
Mine Safety and Health district offices
(see the Appendix for addresses).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals alleged to have been
discriminated against in violation of the
Federal Mine Safety and Health Act of
1977 and the Coal Mine Health and
Safety Act of 1969.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, address, telephone number,
social security number, occupation,
place of employment, other identifying
data, and allegation information
concerning complainants, mine
operators, witnesses, and third party
sources. This material includes
interviews and other data gathered by
the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 815(c).
PURPOSE(S):

Records are maintained to determine
validity and gravity of allegations and
the amount of civil penalty assessment.
ROUTINE USE 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.

Frm 00100

POLICIES AND PRACTICES FOR STORING,
ACCESSING, RETAINING, AND DISPOSING OF
RECORDS IN THE SYSTEM:

SAFEGUARDS:

DOL/MSHA–10

PO 00000

None.

Fmt 4701

Sfmt 4703

RETENTION AND DISPOSAL:

Retained for 3 years, then transferred
to a Federal Records Center where they
are retained for 15 years, then destroyed
except for cases involving health issues.
For those cases involving health issues
retain for 3 years, then transferred to a
Federal Records Center where they are
retained for 27 years, then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator for Coal Mine Safety
Health, Ballston Towers No. 3, 4015
Wilson Boulevard, Arlington, Virginia
22203; Administrator for Metal and
Nonmetal Mine Safety and Health, same
address as above.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
appropriate System Manager. A written,
signed request stating that the requester
seeks information concerning records
pertaining to him/her is required.
RECORDS ACCESS PROCEDURES:

To see your records, write the
appropriate System Manager and
describe as specifically as possible the
records being sought and furnish the
following information:
a. Full name.
b. Date of birth.
c. Signature.
CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the
appropriate System Manager and
furnish the following information:
a. Full name.
b. Date of birth.
c. Signature.
RECORD SOURCE CATEGORIES:

Individuals alleging discrimination,
mine operators, witnesses, and third
party sources.

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SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/MSHA–13
SYSTEM NAME:

Coal Mine Respirable Dust Program.
Unclassified.
SYSTEM LOCATION:

Coal Mine Safety and Health, MSHA,
U.S. Department of Labor, 4015 Wilson
Blvd., Arlington, Virginia 22203, and
substantially all Coal Mine Safety and
Health Offices listed in the Appendix.

Individual coal miners for whom
personal dust samples have been
submitted for analysis prior to 1981,
miners with evidence of the
development of coal workers’
pneumoconiosis (black lung disease) as
defined under 30 CFR part 90 after
1981.
CATEGORIES OF RECORDS IN THE SYSTEM:

These records contain data such as
the mine identification, including mine
name and company name, mine entity
number (specific location in the mine
where samples were taken), occupation
and social security number of
individual sampled (pre 1981 date) and
of 30 CFR part 90 miner (after 1980),
date sampled, concentration of
respirable dust measured in the miner’s
work environment, tons of material
produced during sampling shift, and
sampling time, and social security
number of the certified person taking
the sample.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 813(a), 842.

19:00 Apr 05, 2002

NOTIFICATION PROCEDURE:

To maintain records to determine
compliance with the mandatory
respirable coal mine dust standards.

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of relevant records may be made (1) to
the U.S. Department of Health and
Human Services in accordance with
provisions of Pub. L. 91–173 as
amended by Pub. L. 95–164; (2) to mine
operators to furnish information
relevant to the respirable dust program
as it applies to their operations as
required by the law; (3) to appropriate
Federal, State, local or foreign agency
for research purposes, for enforcing or
implementing a statute, rule, regulation,
order or license; (4) to labor, industry
and academic organizations to monitor
dust concentration and compliance
trends.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Jkt 197001

STORAGE:

Historical data on magnetic tape and
current data on computer disk.
Indexed by mine identification
number, and social security number for
individual coal miners sampled prior to
1981 and for all 30 CFR part 90 miners
after 1980. This information is available
on computer printouts.
SAFEGUARDS:

Access limited to authorized
personnel in regard to computerized
data. Sampling data and other manual
records for part 90 miners are stored in
locked steel cabinets with access being
granted only to duly authorized
personnel. Sample results for other than
30 CFR part 90 miners are kept in
regular file cabinets. No other manual
records are identifiable.

CONTESTING RECORD PROCEDURES:

To see your records, write the System
Manager and describe specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature

Maintain magnetic tapes indefinitely.
Transfer to FARC operator/inspector
dust data cards when 3 years old and
destroy when 10 years old.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Health, Coal Mine
Safety and Health, MSHA, 4015 Wilson
Blvd., Arlington, Virginia 22203.

Fmt 4701

Sfmt 4703

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/MSHA–15
SYSTEM NAME:

Health and Safety Training and
Examination Records.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Qualification and Certification Unit,
Educational Policy and Development,
Mine Safety and Health Administration,
PO Box 25367 (DFC), Denver, Colorado
80225.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Miners, mining industry personnel,
State and Federal employees who have
taken MSHA approved training courses
to attain skills to become qualified and
certified to complete mining tasks.
CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

Frm 00101

To see your records, for samples
collected prior to 1981 and for 30 CFR
part 90 miners after 1980 write the
System Manager and describe
specifically as possible the records
sought and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature

Mine operators.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PO 00000

RECORDS ACCESS PROCEDURES:

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

VerDate 112000

PURPOSE(S):

None.

SECURITY CLASSIFICATION:

16915

These records contain mine ID
number, training course codes,
instructor’s name, date of training, name
and social security number of persons
who have taken training and
examinations to become qualified and/
or certified.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 825, 877(i), 952.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

PURPOSE(S):

SAFEGUARDS:

The primary uses of the records are to
(a) maintain records of training and
examination of individual miners,
mining industry personnel, and State
and Federal employees who have taken
MSHA approved training courses; (b)
issue qualification and/or certification
cards to individuals who become
qualified or certified under the law, as
appropriate; (c) issue qualification cards
to instructors authorized to teach MSHA
approved training courses; (d) provide
information to monitor and expand
safety training programs; (e) verify that
individuals have completed required
training; (f) report training data in
various formats for a variety of uses,
particularly, reporting to Congress,
publication.

Computer safeguards and procedures
developed by MSHA under GSA
Circular E–34. Reports are marked with
the appropriate Privacy Act warning.
During working hours only authorized
personnel have access to files.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosures may be made (a) to mine
operators requesting information to
verify training required by law; (b) to
labor organizations requesting
information on training status of its
members; (c) to mine operators’
associations which require training for
policy and programming utilization; (d)
to appropriate Federal, State, tribal
governments, local or foreign agencies
responsible for investigating or
prosecuting the violation of, or for
enforcing or implementing, a statute,
rule, regulation, order or license.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Training documents are microfilmed;
then, they are entered into computer
files.
RETRIEVABILITY:

Computerized records are indexed
and accessed by mine identification and
individual social security numbers.
Microfilm records are retrieved on basis
of cycle number, social security number,
mine identification numbers, date and
course examination. (Note: Records
have the individual names but do not
contain addresses. The social security
number is used by MSHA for retrievals
because the file contains many
individuals with the same names, and
there is no way to know which records
belong to which individual by using
name only.)

19:00 Apr 05, 2002

Jkt 197001

Training documents are destroyed
when 3 years old. Microfilm is
destroyed when 50 years old.
Computer files are updated as changes
occur and used to verify information.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Coal Mine Safety and Health
enforcement personnel and key officials
at surface and underground
installations.
CATEGORIES OF RECORDS IN THE SYSTEM:

Chief, Qualification and Certification
Unit, Educational Policy and
Development, PO Box 25367 (DFC),
Denver, Colorado 80225.

Information on mine status and
characteristics; key mine officials;
inspections; violations; sampling
information; Coal Mine Safety and
Health enforcement personnel; and time
utilization for Coal Mine Safety and
Health enforcement personnel.

NOTIFICATION PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.

29 U.S.C. 557a, 668; 30 U.S.C. 811,
813, 814.

SYSTEM MANAGER(S) AND ADDRESS:

RECORD ACCESS PROCEDURES:

To see your records, write the System
Manager and describe specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Social Security number
c. Signature
d. Address
CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Social Security number
c. Signature
d. Type of Record to be amended
e. Address

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

VerDate 112000

RETENTION AND DISPOSAL:

Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203;
(2) Coal Mine Safety and Health district
and field offices.

RECORD SOURCE CATEGORIES:

Training records are received from
instructors, mining industry, and MSHA
training personnel.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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:

Manual files: Magnetic tape and disk
units.

SYSTEM NAME:

Coal Mine Safety and Health
Management Information System.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

(1) Office of the Administrator for
Coal Mine Safety and Health, U.S.

Frm 00102

To maintain information on (a) status
of mining operations; (b) identification
of key mine officials; (c) inspections of
mines; (d) citations and orders issued
for violation of the Mine Act and 30
CFR; (e) information on samples taken
by inspectors; and (f) time utilization for
Coal Mine Safety and Health
enforcement personnel. Disclosure
outside the Department of Labor may be
made to appropriate Federal, State, local
or foreign agencies responsible for
investigating or prosecuting the
violation of, or for enforcing or
implementing, a statute, rule,
regulation, order or license.

STORAGE:

DOL/MSHA–18

PO 00000

PURPOSE(S):

Fmt 4701

Sfmt 4703

RETENTION AND DISPOSAL:

Inspection reports and related
documents are destroyed after 10 years.
Other source documents are destroyed
when no longer needed. Active database
is retained for 2 complete fiscal years;
then moved to the historical database or
magnetic tape. Historical database and
magnetic tapes are retained indefinitely.

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RETRIEVABILITY:

SECURITY CLASSIFICATION:

By mine identification number for key
mine officials; by Authorized
Representative number, organization
number, inspection event number, and
violation number for enforcement
personnel.
SAFEGUARDS:

Access limited to authorized
personnel in regard to computerized
data. Manual records on Coal Mine
Safety and Health enforcement
personnel are kept in locked file
cabinets. Manual records on mine status
and characteristics, key mine officials,
inspections, violations, and time
utilization for Coal Mine Safety and
Health enforcement personnel are kept
in regular file cabinets.
SYSTEM MANAGER(S) AND ADDRESS:

Administrator for Coal Mine Safety
and Health, MSHA, Department of
Labor, 4015 Wilson Boulevard,
Arlington, Virginia 22203.

without sufficient merit to warrant
further action, after which they are
destroyed by burning.

Unclassified.
SYSTEM LOCATION:

Mine Safety and Health
Administration, Administration and
Management, U.S. Department of Labor,
4015 Wilson Blvd., Arlington, Virginia
22203.

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Any MSHA employee against whom
any allegation of serious misconduct,
illegal acts, conflict of interest, etc. has
been made.

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requestor seeks
information concerning records
pertaining to him/her is required.

CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Name, organization, allegation and
other pertinent information relating to
the individual involved, as well as the
investigative report associated with the
case, including interviews and other
data.

To see records, an individual must
provide the request in writing to the
System Manager. It must be as specific
as possible and the following
information must be furnished:
a. Full name.
b. Date of birth.
c. Signature.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301, 7301, Executive Order
11222.

NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.
RECORD ACCESS PROCEDURES:

To see your records, write the System
Manager and describe specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature
CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Date of birth
c. Social Security number
d. Signature

PURPOSE(S):

The primary use of the records is to
determine facts and circumstances
relative to allegations.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Coal Mine Safety and Health
personnel submit inspection, time
utilization, violation, sampling, and
other enforcement information in
accordance with prescribed procedures.

None.
DOL/MSHA–19
SYSTEM NAME:

Employee Conduct Investigations.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

NOTIFICATION PROCEDURE:

CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name.
b. Date of birth.
c. Signature.
RECORD SOURCE CATEGORIES:

Individual employees and officials of
MSHA and any others alleging
misconduct.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual records are maintained in
manila folders which are stored in
locked file cabinets. Computer records
are maintained in a password
controlled, computerized tracking
system.
By name or by file number.
SAFEGUARDS:

Maintained in locked file cabinets and
password controlled computer system.
RETENTION AND DISPOSAL:

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Director of Administration and
Management, MSHA, 4015 Wilson Blvd.
Arlington, Virginia 22203.

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

RETRIEVABILITY:

RECORDS SOURCE CATEGORIES:

16917

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

PO 00000

Frm 00103

Fmt 4701

Sfmt 4703

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(g),
(h), and (i); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/MSHA–20
SYSTEM NAME:

Civil/Criminal Investigations.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

SECURITY CLASSIFICATION:

SAFEGUARDS:

Unclassified.

Maintained in locked file cabinets and
secured computer system.

SYSTEM LOCATION:

Office of the Administrator for Coal
Mine Safety and Health and Office of
the Administrator for Metal and
Nonmetal Mine Safety and Health, Mine
Safety and Health Administration, U.S.
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203
and all Coal and Metal and Nonmetal
Mine Safety and Health district offices
(see the Appendix for addresses).

RETENTION AND DISPOSAL:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Administrator for Coal Mine Safety
Health, Ballston Towers No. 3, 4015
Wilson Boulevard, Arlington, Virginia
22203; Administrator for Metal and
Nonmetal Mine Safety and Health, same
address as above.

Individuals who allegedly, knowingly
or willfully, committed violations of the
Federal Mine Safety and Health Act of
1977 (Mine Act) and the Coal Mine
Health and Safety Act of 1969 (Coal
Act); individuals who have been
criminally prosecuted for such
violations; and individuals who have
been civilly assessed a monetary penalty
for violations of the 1977 Mine Act or
1969 Coal Act.
CATEGORIES OF RECORDS IN THE SYSTEM:

Name, address, telephone number,
social security number, occupation,
place of employment, and other
identifying data along with allegation
information of miners, mine operators,
and other individuals. Interviews and
other data gathered by the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

PURPOSE(S):

Records are maintained to determine
validity and gravity of allegations and
the amount of civil penalty assessment
or referral for possible criminal
prosecution.
ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement of this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
ACCESSING, RETAINING, AND DISPOSING OF
RECORDS IN THE SYSTEM:
STORAGE:

In manila file folders and
computerized tracking system.
RETRIEVABILITY:

Records are filed by case number;
agent’s name; company name; mine
name, identification number (I.D.) or
address.

19:00 Apr 05, 2002

SYSTEM MANAGER(S) AND ADDRESS:

NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.
RECORDS ACCESS PROCEDURES:

To see your records, write the System
Manager and describe as specifically as
possible the records being sought and
furnish the following information:
a. Full name
b. Date of birth
c. Signature
CONTESTING RECORD PROCEDURES:

30 U.S.C. 820.

VerDate 112000

Retained for 3 years, then transferred
to a Federal Records Center where they
are retained for 15 years, then destroyed
except for cases involving health issues.
For those cases involving health issues
retain for 3 years, then transferred to a
Federal Records Center where they are
retained for 27 years, then destroyed.

Jkt 197001

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Date of birth
c. Signature
RECORD SOURCE CATEGORIES:

Miners and mine operators, MSHA
investigators and other individuals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal

PO 00000

Frm 00104

Fmt 4701

Sfmt 4703

the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
In accordance with 5 U.S.C. 552a(j)(2),
investigatory material in this system of
records compiled for criminal law
enforcement purposes is exempt from
subsections (c)(3), (c)(4), (d)(1), (d)(2),
(d)(3), (d)(4), (e)(1), (e)(2), (e)(3),
(e)(4)(G), (e)(4)(H), (e)(4)(I), (e)(5), (e)(8),
(f), of 5 U.S.C. 552a.
DOL/MSHA–21
SYSTEM NAME:

Assessments and Civil Penalty Debt
Collection Activity and Reporting
System
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of Assessments, Civil Penalty
Compliance Office, Mine Safety and
Health Administration (MSHA), U.S.
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who were cited for
committing violations of the Federal
Mine Safety and Health Act of 1977
(Mine Act) and mandatory safety and
health standards which resulted in their
indebtedness to the United States in the
form of a civil penalty.
CATEGORIES OF RECORDS IN THE SYSTEM:

Consumer credit reports, Case files,
payment installment plans, bankruptcy
case files, Employee Identification
Numbers file (EIN), Treasury crossservicing files, Treasury offset files,
financial adjustment files, Assessments
Management Information System.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

31 U.S.C. 3701, 3711–12, 3716–19,
3720A–E, 7701. (Debt Collection
Improvement Act of 1996); 30 U.S.C.
815 and 820.
PURPOSE(S):

The system provides information on
individuals who are indebted to the
Department of Labor, Mine Safety and
Health Administration, for the purpose
of assessing penalties, determining the
collection of debts, and taking
appropriate actions to collect or
otherwise resolve the debts.

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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

RECORD SOURCE CATEGORIES:

Information is obtained from Office of
Assessments, Civil Penalty Compliance
Office, Credit Reporting Bureaus, Dun
and Bradstreet Reporting, Consumer
credit reports, Case files, payment
installment plans, bankruptcy case files,
Employee Identification Numbers file
(EIS), Treasury cross-servicing files,
Treasury offset files, financial
adjustment files, and the Assessments
Management Information System.

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files, computer files on Local
Area Network (LAN) and PCS.

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

RETRIEVABILITY:

By mine identification number;
Employee Identification Number, Name,
MSHA case number, or Social Security
Number (SSN).
SAFEGUARDS:

Access to computerized data is
limited to authorized personnel through
use of encrypted passwords. Manual
records in Office of Assessments are
kept in locked file cabinets or restricted
areas. During working hours only
authorized personnel have access to
files.
RETENTION AND DISPOSAL:

Source documents are retained until
case is closed and retired to the
appropriate Federal Records Center for
10 years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Assessment, Department of
Labor, Mine Safety and Health
Administration, Office of Assessments,
4015 Wilson Boulevard, Arlington,
Virginia 22203.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.
RECORD ACCESS PROCEDURES:

To see records, write the System
Manager and describe specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Signature
CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Signature

VerDate 112000

c. The specific problem

19:00 Apr 05, 2002

Jkt 197001

16919

transcripts on employees to assure that
proper training has been received or
completed.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files.
RETRIEVABILITY:

By Social Security Number or name of
the student.
SAFEGUARDS:

DOL/MSHA–22
SYSTEM NAME:

Education Policy and Development;
National Mine Health and Safety
Academy Permanent Record Card.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of the Superintendent, National
Mine Health and Safety Academy, Mine
Safety and Health Administration, U.S.
Department of Labor, 1301 Airport
Road, Beaver, West Virginia 25813.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Mine Safety and Health
Administration personnel and other
students receiving training at the Mine
Health and Safety Academy.

Manual records on Academy training
personnel and students are kept in
locked file cabinets.
RETENTION AND DISPOSAL:

Instructor grade sheets are destroyed
after 3 years. Academy Permanent
Records Cards (Transcripts) are retained
for 50 years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Educational Policy and
Development, Mine Safety and Health,
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.

CATEGORIES OF RECORDS IN THE SYSTEM:

Student grade transcripts. (Records
reflecting courses and grades received)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 557(a), 30 U.S.C. 952.
PURPOSE(S):

To maintain records on Mine Safety
and Health inspectors to assure that
proper training is received as required
under the Federal mine Safety and
Health Act of 1977, Public Law 91–173,
as amended by Public Law 95–164, Sec.
502 c.(1) (2) (3). Records are used by
students and supervisors to track
training and grades.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Disclosures may be made to (1)
appropriate Federal, State, local
agencies when students transfer from
one agency to another; (2) colleges that
accept training received at the Academy
for transferable credit hours; (3)
supervisors of students who request

PO 00000

Frm 00105

Fmt 4701

Sfmt 4703

RECORD ACCESS PROCEDURES:

To see records, write the System
Manager and describe specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Address
c. Signature
CONTESTING RECORD PROCEDURES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. Address
c. Signature
d. The specific problem
RECORD SOURCE CATEGORIES:

Educational Policy and Development,
National Mine Health and Safety
instructors and students.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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DOL/MSHA–23

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM NAME:

Education Policy and Development;
Education Field Services (EFS) Activity
Reporting System.

SYSTEM LOCATION:

(1) Office of the Director for
Educational Policy and Development,
Mine Safety and Health, U.S.
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203;
(2) Educational Field Services for
Educational Policy and Development,
Mine Safety and Health, U.S.
Department of Labor, Airport Road,
Beaver, West Virginia;
(3) Educational Field Services for
Educational Policy and Development,
Mine Safety and Health, U.S.
Department of Labor, P.O. Box 25367,
Denver Federal Center, Denver,
Colorado 80225.

SAFEGUARDS:

Access limited to authorized
personnel in regard to computerized
data. Manual records on Education
Policy and Development training
personnel are kept in locked file
cabinets.
Computer safeguards and procedures
developed by contractors under GSA
Circular E–34. Reports are marked with
a Privacy Act warning. During working
hours only authorized personnel have
access to files.

Educational Policy and Development,
Educational Field Services training
personnel.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information on mine ID’s visited;
number of personnel contacted;
activities conducted; time spent on
activities; name; AR/RE Authorized
Representative number (AR) or Right of
entry number (RE) number; organization
code; and information on time
utilization for Training Specialists.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Paper records are destroyed when 3
years old. Computer records are
maintained permanently for historical
purposes.
SYSTEM MANAGER(S) AND ADDRESS:

Director for Educational Policy and
Development, Mine Safety and Health,
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required.
RECORD ACCESS PROCEDURES:

29 U.S.C. 557(a)
PURPOSE(S):

(1) To determine the workload and
work scheduling; (2) To assist in
budgeting and staffing of education and
training specialists; (3) To assess
training needs of MSHA personnel and
industry personnel; and (4) To assist
management in the monitoring of
training activities conducted by EFS
Training Specialists.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Jkt 197001

DOL/MSHA–24

Radon Daughter Exposure.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Division of Health, Office of the
Administrator for Metal and Nonmetal
Mine Safety and Health, Mine Safety
and Health Administration, U.S.
Department of Labor, 4015 Wilson
Boulevard, Arlington, Virginia 22203.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

All individuals for whom mine
operators were required to calculate and
record radon daughter exposure in the
previous calendar year.
CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

None.

SYSTEM NAME:

By mine identification number;
Authorized Representative/Right of
Entry Representative number;
organization code.

Unclassified.

19:00 Apr 05, 2002

Manual files, and computer files.
RETRIEVABILITY:

SECURITY CLASSIFICATION:

VerDate 112000

STORAGE:

SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

To see records, write the System
Manager and describe as specifically as
possible the records sought and furnish
the following information:
a. Full name
b. AR/RE number
c. Address
d. Signature
CONTESTING RECORD PROCEDURES:

Mine I.D. number, mine name,
section, township, range, county, and
state of mine location, operator, and
time period, individual’s name, social
security number, current year’s radon
daughter exposure and cumulative
radon daughter exposure in working
level months (WLM).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

30 U.S.C. 811, 961
PURPOSE(S):

To document exposure of miners to
radon daughters, a form of radiation
which has been proven to cause cancer
in humans and is well known as a
severe hazard for metal and nonmetal
miners. The exposure limit is an annual
limit which requires careful
documentation to ensure that no miner
is overexposed.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those routine uses
listed in the General Prefatory Statement
of this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Individuals requesting amendment to
the record should contact the System
Manager and furnish the following
information:
a. Full name
b. AR/RE number
c. Signature
d. The specific problem.

POLICIES AND PRACTICES FOR STORING,
ACCESSING, RETAINING, AND DISPOSING OF
RECORDS IN THE SYSTEM:

RECORD SOURCE CATEGORIES:

RETRIEVABILITY:

Educational Policy and Development,
Educational Field Services personnel.

By year, mine name, mine operator,
and individual name.

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None.

STORAGE:

Manual files.

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SAFEGUARDS:

Manual records are kept in locked file
cabinets. During working hours records
are accessible only to authorized
personnel.
RETENTION AND DISPOSAL:

Retained until individual would have
turned 75 years old or until 10 years
after known death of individual.
SYSTEM MANAGER(S) AND ADDRESS:

Chief of Health, Administrator for
Metal and Nonmetal Mine Safety and
Health, same address as above.
NOTIFICATION PROCEDURE:

Inquiries regarding the existence of
records should be addressed to the
System Manager. A written, signed
request stating that the requester seeks
information concerning records
pertaining to him/her is required or a
letter signed by the individual or his
estate authorizing the requester to
obtain the information. (As per 30 CFR
57.5040 and ANSI N13.8–1973
‘‘Radiation Protection in Uranium
Mines.’’)
RECORDS ACCESS PROCEDURES:

To see your records, write the System
Manager and describe as specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Address
c. Signature
CONTESTING RECORD PROCEDURES:

To see your records, write the System
Manager and describe as specifically as
possible the records sought and furnish
the following information:
a. Full name
b. Address
c. Signature
RECORD SOURCE CATEGORIES:

Mine operators.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OSHA–1
SYSTEM NAME:

Discrimination Complaint File.
None.
SYSTEM LOCATION:

National and Regional Offices of the
Occupational Safety and Health
Administration; see the Appendix to
this document.

Individuals who have filed
complaints alleging discrimination

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

CATEGORIES OF RECORDS IN THE SYSTEM:

Name, address, telephone number,
social security number, occupation,
place of employment, and other
identifying data along with the type of
allegation. This material includes
interviews and other data gathered by
the investigator.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Section 11(c) of the Occupational
Safety and Health Act (29 U.S.C. 651–
678); sec. 405 of the Surface
Transportation Assistance Act (49
U.S.C. 31105); sec. 211 of the Asbestos
Hazard Emergency Response Act (15
U.S.C. 2601 et seq.); sec. 7 of the
International Safe Container Act (46
U.S.C. 1501 et seq.); the Safe Drinking
Water Act (42 U.S.C. 300j–9(i)); the
Water Pollution Control Act (33 U.S.C.
1367); the Toxic Substances Control Act
(15 U.S.C. 2622); the Wendell H. Ford
Aviation Investment and Reform Act for
the 21st Century, 29 U.S.C. 42121; the
Solid Waste Disposal Act (42 U.S.C.
6971); the Clean Air Act (42 U.S.C.
7622); the Comprehensive
Environmental Response, Compensation
and Liability Act of 1980 (42 U.S.C.
9610); and the Energy Reorganization
Act of 1974 (42 U.S.C. 5851).

The records are used to support
investigative materials discovered or
created during investigation of
violations of the health and safety
statutes and the environmental statutes
listed in the category in this notice for
Authority. The records also are used as
the basis of statistical reports on such
activity by regional administrators,
investigators, and their supervisors in
the Occupational Safety and Health
Administration.

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Frm 00107

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

A. With respect to the first four
statutes listed under the Authority
category, disclosure of the gravamen of
a complaint, as well as the name of the
complainant, may be made to the
employer, so that the complaint can
proceed to a resolution.
B. With respect to the eight remaining
statutes listed under the Authority
category, disclosure of a copy of the
actual written complaint by the
complainant, may be made to the
employer so that the complaint can
proceed to a resolution.
C. With respect to complaints under
the Energy Reorganization Act (ERA),
disclosure of a copy of the actual
written complaint by the complainant,
may be made to the United States
Nuclear Regulatory Agency, as
mandated by the ERA.
D. With respect to complaints under
the environmental statutes, disclosure of
a copy of the actual written complaint
by the complainant, may be made to the
United States Environmental Protection
Agency (EPA), as mandated by this
Department’s regulation, 29 CFR Part
24.
E. With respect to complaints under
the Wendell H. Ford Aviation
Investment and Reform Act for the 21st
Century, disclosure of a copy of the
actual written complaint by the
complainant, may be made to the
Federal Aviation Administration, as is
mandated by the Act.
F. All of the above five disclosures are
in addition to those universal routine
uses listed in the General Prefatory
Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files.
RETRIEVABILITY:

By complainant’s name or case
identification number.

PURPOSE(S):

SECURITY CLASSIFICATION:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

against them by their employers for
exercising safety and health rights.
Complainants may file pursuant to
section 11(c) of the Occupational Safety
and Health Act (29 U.S.C. 651–678),
section 405 of the Surface
Transportation Assistance Act (49
U.S.C. 31105 et seq.), section 211 of the
Asbestos Hazard Emergency Response
Act (15 U.S.C. 2601) or section of the
International Safe Container Act (46
U.S.C. 1501 et seq.). Complaints are also
filed pursuant to those additional
statutes listed below under the category
entitled Authority for Maintenance of
the System. Employees who are covered
by the statutes listed below may file
complaints alleging discrimination on
the basis of protected activity relating to
environmental laws.

16921

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SAFEGUARDS:

Locked storage equipment and
personnel screening.
RETENTION AND DISPOSAL:

Destroy five years after case is closed.
SYSTEM MANAGER(S) AND ADDRESS:

Director of the Office of 11(c)
Programs in the National Office and
Regional Administrators at addresses in
the Appendix.

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NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the appropriate
system location.
RECORD ACCESS PROCEDURE:

Individuals wishing to gain access to
non-exempt records should contact the
system manager at the appropriate
system location.
CONTESTING RECORD PROCEDURE:

Individuals wishing to request
amendment of any non-exempt records
should contact the system manager at
the system location listed above.
RECORD SOURCE CATEGORIES:

Individual complainants who filed
allegation(s) of discrimination by
employer(s) against employee(s) who
have exercised job safety and health
responsibilities; information compiled
in connection with investigations. Also
employers, employees and witnesses.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Compliance Safety and Health
Officers of the Occupational Safety and
Health Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:

Time sheets/logs documenting
compliance safety and health officers’
activities covering inspections,
monitoring and other compliancerelated data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678).
PURPOSE(S):

These records are maintained to
document the amount of time spent by
OSHA compliance safety and health
officers on their various compliancerelated activities. The data compiled
from the time sheets are used to analyze
program activity by producing such
activity measures as time spent on each
of various types of compliance-related
activities; the data are used by key
agency officials to assist in measuring
the effectiveness of OSHA’s
enforcement activities.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Magnetic media.
RETRIEVABILITY:

By compliance safety and health
officer identifying number or by
inspection/investigation number.
SAFEGUARDS:

DOL/OSHA–6

Computer file accessible only through
password system available only to
authorized personnel.

SYSTEM NAME:

RETENTION AND DISPOSAL:

Data files maintained indefinitely.

Program Activity File.

SYSTEM MANAGER(S) AND ADDRESS:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of Management Data Systems,
Occupational Safety and Health
Administration, Room N–3661, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

Director, Office of Management Data
Systems, Occupational Safety and
Health Administration, U.S. Department
of Labor, 200 Constitution Avenue,
NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains

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Fmt 4701

Sfmt 4703

information about them should contact
the system manager at the system
location listed above.
RECORD ACCESS PROCEDURE:

Individuals wishing to gain access to
records should contact the system
manager at the system location listed
above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to request
amendment of any record should
contact the system manager at the
system location listed above.
RECORD SOURCE CATEGORIES:

Compliance safety and health
officers’/investigators’ time logs.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Not applicable.
DOL/OSHA–9
SYSTEM NAME:

OSHA Compliance Safety and Health
Officer Training Record.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Regional offices of the Occupational
Safety and Health Administration; see
the Appendix for addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Compliance Safety and Health
Officers of the Occupational Safety and
Health Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records reflecting training courses
and programs completed by Compliance
Safety and Health Officers of the
Occupational Safety and Health
Administration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678).
PURPOSE(S):

These records are used to determine
which Compliance Safety and Health
Officers have completed required
training and which need added training.
They are used to analyze individual
training needs and to assess overall
needs for training in upcoming periods;
used by Regional Administrators for
planning and budgetary purposes.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

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CATEGORIES OF RECORDS IN THE SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files.
RETRIEVABILITY:

By name of individual Compliance
Safety and Health Officer.
SAFEGUARDS:

Locked file cabinets.
RETENTION AND DISPOSAL:

Upon termination of employment of a
Compliance Safety and Health Officer,
or upon transfer to another job.
SYSTEM MANAGER(S) AND ADDRESS:

Regional Administrator at address in
the Appendix where system is located.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the appropriate
system location listed above.
RECORD ACCESS PROCEDURE:

Individuals wishing to gain access to
records should contact the system
manager at the system location listed
above.
CONTESTING RECORD PROCEDURE:

Each trainer’s file contains the
following information: Trainer’s name,
title, ID number, company name,
address, telephone number, fax number,
and the most recent date the individual
completed an OSHA construction and/
or general industry Outreach course.
Files also contain the end date of
outreach classes taught by the trainer,
the type of training conducted, and the
date that OSHA student course
completion cards were sent to the
trainer by OSHA. Manual files contain
documentation submitted by the trainer
which includes topics covered, students
taught, and a copy of the letter sent to
the trainer for that class.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678); 5 U.S.C. 501.
To maintain, efficiently and
accurately, information on OSHA
authorized outreach trainers.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Manual and Automated Data
Processing (ADP) Files.

Official personnel folders; certificates
of training; individuals concerned.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Not applicable.
DOL/OSHA–10
SYSTEM NAME:

OSHA Outreach Training Program.

RETRIEVABILITY:

Records in the manual system of
records are retrieved by the date that the
training class was held and by the name
of the authorized OSHA outreach
trainer.
Records in the ADP system are
retrieved by the name of the OSHA
authorized outreach trainer or by the
trainer’s system assigned I.D. number.

None.
SYSTEM LOCATION:

Office of Training and Education,
Occupational Safety and Health
Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines,
Illinois 60018.

CONTESTING RECORD PROCEDURES:

Individuals wishing to request
amendment must contact the system
manager at the system location listed
above.
RECORD SOURCE CATEGORIES:

Trainers and any individuals
attending any of the OSHA outreach
trainer courses (500, 501, 502, 503).
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OSHA–12
SYSTEM NAME:

OSHA Employee Conduct
Investigations.
SECURITY CLASSIFICATION:

Unclassified.
Directorate heads, separate office
heads, Regional Administrators,
Director Cincinnati Laboratory, Director
Salt Lake City Laboratory, of the
Occupational Safety and Health
Administration (OSHA).
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees who are the subject of an
investigation or a conduct inquiry.
CATEGORIES OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Manual system—retained 5 years,
then destroyed; ADP system—retained
indefinitely.

Authorized OSHA Outreach Training
Program trainers.

Chief, Division of Training and
Educational Programs, Occupational

Jkt 197001

Individuals wishing to gain access
should contact the system manager at
the system location listed above.

RETENTION AND DISPOSAL:

SYSTEM MANAGER(S) AND ADDRESS:

19:00 Apr 05, 2002

RECORD ACCESS PROCEDURES:

Locked file cabinets for manual files;
computer file accessible through
password system available only to
authorized OSHA personnel.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

VerDate 112000

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the system
location listed above. Name, address,
and date authorized as trainer should be
provided.

Name, organization, and other
information relating to the individual
involved. The record also contains
investigative report(s) associated with
the case, including interviews and other
information gathered.

SAFEGUARDS:

SECURITY CLASSIFICATION:

NOTIFICATION PROCEDURE:

SYSTEM LOCATION:

STORAGE:

RECORD SOURCE CATEGORIES:

Safety and Health Administration, U.S.
Department of Labor, 1555 Times Drive,
Des Plaines, Illinois 60018.

PURPOSE(S):

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Individuals wishing to request
amendment of any records should
contact the system manager at the
system location listed above.

16923

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5 U.S.C. 301.
PURPOSE(S):

These records are maintained to
ensure that all appropriate records of
problems, misconduct, illegal acts,
conflicts of interest, etc., are retained.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

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.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records are stored in file folders
in metal file cabinets.
RETRIEVABILITY:

By name or case file number.
SAFEGUARDS:

The files are maintained in locked file
cabinets with access available only to
those with a need to know the
information to perform their officially
assigned duties.
RETENTION AND DISPOSAL:

Records are retained for four years
following the date either: (a) They are
referred to the OIG; (b) they are
transferred to OPM/GOVT–3 Records of
Adverse Actions and Actions Based on
Unacceptable Performance; or (c) it is
determined that the allegation was
without sufficient merit to warrant
further action, after which they are
destroyed by burning.
SYSTEM MANAGER(S) AND ADDRESS:

Directorate heads, separate Office
heads, Regional Administrators,
Director Cincinnati Laboratory, Director
Salt Lake City Laboratory, of the
Occupational Safety and Health
Administration at addresses listed in the
Appendix.
NOTIFICATION PROCEDURE:

Inquiries should be mailed to system
managers listed above at addresses
listed in the Appendix.
RECORD ACCESS PROCEDURES:

Individuals wishing to gain access to
records should contact the appropriate
system manager at the system locations
listed in the Appendix.
CONTESTING RECORD PROCEDURE:

Individuals wishing to request
amendment of any non-exempt records
should contact the system manager at
the location listed in the Appendix.
RECORD SOURCE CATEGORIES:

Hotline complaints received through
the Office of the Inspector General, or
through the General Accounting Office;
complaints or incident reports

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

submitted by other employees or
members of the public; and other
investigative reports.

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.

this office from fiscal year 1989 to the
present. Reports are prepared from these
records that identify by individual or
group of individuals, the students first
and last name, office name, and status
of class(es) enrollment (i.e., enrolled,
waiting, canceled, or completed). This
information is reported by region, state,
area office, or course.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678).
PURPOSE(S):

SYSTEM NAME:

To maintain needed enrollment
information for proper management of
course schedules, curricula and
determining individual training needs.
Records are used by managers and
Office of Training Education staff to
develop class rosters, student
enrollment history, course/class
enrollment changes on a weekly basis,
training verification, cancellation
notices, confirmation letters and
certificates of completion for individual
students. Reports are used by Office of
Training and Education staff, and OSHA
National Office and Regional office staff
for managing the registration of students
in courses.

OSHA Office of Training and
Education Automated Registration
System.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

DOL/OSHA–13

None, except for those universal
routine uses listed in the General
Prefatory Statement of this document.

SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of Training and Education,
Occupational Safety and Health
Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines,
Illinois 60018.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Students from the U.S. Department of
Labor, state governments, other Federal
agencies and from the private sector.
These students are primarily
compliance safety and health officers,
safety specialists, safety engineers,
safety officers, industrial hygienists,
instructors, loss control specialists, and
others in occupations related to
occupational safety and health.
CATEGORIES OF RECORDS IN THE SYSTEM:

Each student’s file contains the
following information: Student’s name,
office name, office address, office
telephone number, course enrollment
history, tuition status, student
employment origin, cumulative record
of student’s continuing educational
units (CEU’s), and certification
maintenance points (CMP’s) issued by

PO 00000

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DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:
STORAGE:

Magnetic media and manual files.
RETRIEVABILITY:

The operators who operate the system
can access information by student’s
name or by course number. The system
administrator can access by student’s
name, course number, date of
enrollment, employment origin,
company name, address and phone
number.
SAFEGUARDS:

Manual files are stored in locked file
cabinets. The hard disk in the computer
is secured by the use of a system lock
to which only authorized staff have
access. Backup floppy disks are stored
in locked file cabinets. Access to all
manual and ADP files is restricted to
authorized personnel only.

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RETENTION AND DISPOSAL:

Data for the current year and two
preceding years will be retained on the
computer hard disk. Data pre-dating this
time will be backed up on floppy disks
and stored in a locked cabinet. In no
case will data predate fiscal year 1989.
Files will be destroyed when no longer
of any administrative use.
SYSTEM MANAGER(S) AND ADDRESS:

Administrative officer, Office of
Training and Education, at the system
location in Des Plaines, Illinois.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the system
location listed above.
RECORD ACCESS PROCEDURES:

Individuals wishing to gain access to
non-exempt records should contact the
system manager at the system location
listed above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to request
amendment of any non-exempt records
should contact the system manager at
the system location listed above.
RECORD SOURCE CATEGORIES:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678).

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Not applicable.
DOL/OSHA–14
SYSTEM NAME:

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

Unclassified.
SYSTEM LOCATION:

Office of Training and Education,
Occupational Safety and Health
Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines,
Illinois 60018.

CATEGORIES OF RECORDS IN THE SYSTEM:

Records include necessary data to
prepare a procurement requisition
including: The requisition number; the

Jkt 197001

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Computer disks locked in file
cabinets; password system for
authorized persons only.
RETENTION AND DISPOSAL:

Dispose of when no longer needed for
administrative purposes.
SYSTEM MANAGER(S) AND ADDRESS:

Chief, Division of Administration and
Training Information, Occupational
Safety and Health Administration, U.S.
Department of Labor, 1555 Times Drive,
Des Plaines, Illinois 60018.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the system
location listed above.
RECORD ACCESS PROCEDURES:

Individuals wishing to gain access to
non-exempt records should contact the
system manager at the system location
listed above.
CONTESTING RECORD PROCEDURE:

Individuals wishing to request
amendment of any records should
contact the system manager at the
system location listed above.
Administrative files and procurement
files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OSHA–15
SYSTEM NAME:

Office of Training and Education
Resource Center Loan Program.

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

SECURITY CLASSIFICATION:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Office of Training and Education,
Occupational Safety and Health
Administration, U.S. Department of
Labor, 1555 Times Drive, Des Plaines,
Illinois 60018.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Staff of the Office of Training and
Education, including the Training
Institute. Individuals doing business
with the Office of Training and
Education that involve the payment or
receipt of funds.

19:00 Apr 05, 2002

To provide an acquisition and
financial management system which
will improve the acquisition process;
and provide an efficient means for the
accurate recording, tracking, reporting,
and control of Office funds and
receivables.

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

SAFEGUARDS:

RECORD SOURCE CATEGORIES:

PURPOSE(S):

Students.

VerDate 112000

name of the bureau making the
procurement request; the specific page
number of the requisition; the date of
the requisition; the accounting code; the
delivery requirement address; the
official’s name, title, and phone number
for information concerning the
procurement; an identification if the
procurement is for instructional
services, or for other supplies/services,
if for instructional services—the course
number and location of the course; a
specific ordering item number and/or
stock number; a narrative description of
the item or service; the quantity
requested; the unit price; the unit issue;
the total dollar amount; the narrative
justification for making the request; the
name, address, and phone number of
the suggested vendor; the Office
division making the request; and the
initials of the staff person(s) making the
request. This system of records also
contains the necessary data for
maintaining a general ledger of
accounts. Information will be taken
from obligating documents. Records also
include necessary data to track the
receipt of all receivables.

16925

STORAGE:

ADP files.
RETRIEVABILITY:

By name of vendor, by name of staff
person making a procurement request,
by individual travel authorization
number, by individual last name, and by
any of the data elements identified in
the Categories of Records in the System
category.

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Unclassified.
SYSTEM LOCATION:

CATEGORIES OF INDIVIDUAL COVERED BY THE
SYSTEM:

Individual borrowers who have
become qualified to borrow from the
Resource Center Collection of
occupational safety and health
materials.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records contain borrower name,
company name and address or home
address, company and home telephone
numbers, fax number, application form

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

number, application date, borrower
category, audiovisual program title and
accession number, audiovisual
copyright date, transaction
identification number, and transaction
date.

NOTIFICATION PROCEDURE:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RECORD ACCESS PROCEDURES:

Occupational Safety and Health Act of
1970 (29 U.S.C. 651–678) and 5 U.S.C.
301.

Any individual wishing to gain access
to any records pertaining to them, may
apply in writing to the system manager
at the system address listed above.

PURPOSE(S):

These records are maintained to
facilitate the performance of the
Resource Center Loan Program which
loans occupational safety and health
materials to qualified borrowers, for
verification of borrower status and
authorization to borrow, to track
borrower requests for materials through
processing and disposition, to maintain
material availability and usage
information, to track status and history
of overdue materials, to maintain
records on lost and damaged materials.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

CONTESTING RECORD PROCEDURES:

Individuals wishing to request
modification or deletion to any records
pertaining to them, may apply in
writing to the system manager at the
system address listed above.
RECORD SOURCE CATEGORIES:

Individuals and information
pertaining to Resource Center materials
are taken from Resource Center files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/PWBA–2

SYSTEM LOCATION:

Manual files for signed borrower
agreement forms, borrower request
forms, and program booking forms are
maintained in file cabinets. Automated
Data Processing (ADP) files for all other
records.
RETRIEVABILITY:

By name of borrower for signed
borrower agreement forms (manual), by
any of the data elements in Categories
of Records in the System section (ADP).
SAFEGUARDS:

Manual files and computer disks are
locked in file cabinets. Password system
access to authorized personnel for ADP
files.
RETENTION AND DISPOSAL:

Dispose of when no longer needed for
administrative purposes.
Chief, Division of Administration and
Training Information, Occupational
Safety and Health Administration, U.S.
Department of Labor, 1555 Times Drive,
Des Plaines, Illinois 60018.

19:00 Apr 05, 2002

Jkt 197001

Office of Enforcement, PWBA, U.S.
Department of Labor, 200 Constitution
Ave., NW, Washington, DC 20210, and
all PWBA field offices as listed in the
Appendix A to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Plan administrators, trustees, and
those individuals who provide advice or
services to employee benefit plans, and
other individuals (such as the named
defendants) involved in investigations
and enforcement actions.
CATEGORIES OF RECORDS IN THE SYSTEM:

Information including plan name,
plan administrator’s name, service
provider’s name, trustee’s name, and
names of other individuals (such as the
named defendants) involved in
investigations and enforcement actions.
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1134–37.

SYSTEM MANAGER(S) AND ADDRESS:

PURPOSE(S):

This system of records is used to
access information related to case files
involving investigations instituted by
the Department of Labor (DOL) under

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POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

The records in this system are
maintained in an electronic database
and in paper case files.

None.

STORAGE:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, pursuant to
29 U.S.C. 1134, a record from this
system of records may be disclosed,
subject to the restrictions imposed by
various statutes and rules, such as the
Privacy Act, to a department or agency
of the United States, or to any person
actually affected by any matter which
may be the subject of the investigation;
except that any information obtained by
the Secretary of Labor pursuant to
section 6103 of Title 26 shall be made
available only in accordance with
regulations prescribed by the Secretary
of the Treasury.

STORAGE:

SECURITY CLASSIFICATION:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None.

PWBA Enforcement Management
System.

None.

the Title I of the Employee Retirement
Security Act of 1974 (ERISA). The
investigative files are used in the
prosecution of violations of law,
whether civil or criminal in nature.

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

VerDate 112000

Any individual who wishes to be
notified if this system of records
contains a record pertaining to them
may apply in writing to the system
manager at the above address.

RETRIEVABILITY:

Records are retrieved from the
electronic database by the name of the
plan, service provider name, trustee
name, or the name of another individual
(such as the named defendant) involved
in the investigation or enforcement
action. Records are also retrieved by
case number, the plan’s employer
identification number (EIN) and plan
number (if known), or service provider
or trustee EIN.
SAFEGUARDS:

Direct access to and use of these
records is restricted to authorized
personnel in the Office of Enforcement
and PWBA field offices. In the Office of
Enforcement, manual files are
maintained in file cabinets with access
limited to OE staff. In the field offices,
manual files are maintained in file
cabinets with access limited to
appropriate PWBA staff. In all instances,
the electronic database is password
protected and limited to use by
authorized personnel.
RETENTION AND DISPOSAL:

Investigative case files are retained in
the office for one year after completion

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by voluntary compliance or litigation, or
related actions following voluntary
compliance or litigation. After one year,
the case files are transferred to the
Federal Records Center for seven (7)
years and then destroyed. The electronic
database files are retained permanently.
SYSTEM MANAGER(S) AND ADDRESS:

In the national office: Director of
Enforcement, Pension and Welfare
Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.
In the Regional offices: the Regional
Director (as listed in the Appendix to
this document).
In the District Offices: the District
Supervisor (as listed in the Appendix A
to this document).
NOTIFICATION PROCEDURES:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the appropriate system manager
described above. Individuals should
furnish their full name, address, and
employee benefit plan association and
should identify the employee benefit
plan by name, address, and EIS (if
known).
Request for access to records should
follow the Notification procedure
described above. Specific materials in
the system have been exempted from
Privacy Act provisions under 5 U.S.C.
552a(j)(2) and (k)(2). To the extent that
this system of records is not subject to
exemption, it is subject to access,
contest of the content of the record, and
appeal of a denial to access. A
determination as to exemption shall be
made at the time a request for access is
received. Access procedures are the
same as the Notification procedures
described above. Individuals requesting
access must also comply with Privacy
Act regulations on verification of
identity and access to records (29 CFR
71.2).
CONTESTING RECORD PROCEDURES:

Same as the Notification procedure
above, except individuals desiring to
contest or amend information
maintained in the system should direct
their written request to the appropriate
System Manager listed above, state
clearly and concisely what information
is being contested, the reasons for
contesting it, and the proposed
amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individual complaints, witnesses, or
interviews conducted during

19:00 Apr 05, 2002

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

a. Criminal Law Enforcement: In
accordance with subsection 552a(j)(2) of
the Privacy Act, 5 U.S.C. 552a(j)(2),
information maintained for criminal law
enforcement purposes in PWBA’s Office
of Enforcement or its field offices is
exempt from subsections (c)(3) and (4),
(d), (e)(1), (2), and (3), (e)(4)(G), (H), and
(I), (e)(5) and (8), (f), and (g) of 5 U.S.C.
552a.
b. Other Law Enforcement: In
accordance with subsection 552a(k)(2)
of the Privacy Act, 5 U.S.C. 552a(k)(2),
investigatory material in this system of
records compiled for civil law
enforcement purposes is exempt from
subsections (c)(3), (d)(1), (2), (3), and (4),
(e)(1), (e)(4)(G) and (I), and (f) of 5
U.S.C. 552a.
DOL/PWBA–3

Jkt 197001

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 1135.
PURPOSE(S):

These records are maintained to take
action on or to respond to a complaint,
inquiry or comment concerning certain
aspects of Title I of ERISA or to respond
to requests under FOIA or Privacy Act
and to track the progress of such
correspondence through the office.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files and electronic tracking
system.
RETRIEVABILITY:

SYSTEM NAME:

PWBA Correspondence Files.
SECURITY CLASSIFICATION:

RECORD ACCESS PROCEDURES:

VerDate 112000

investigations or plan participant or
beneficiary information obtained during
investigations on cases opened in the
Office of Enforcement or in any of the
PWBA field offices.

16927

SAFEGUARDS:

None.
SYSTEM LOCATION:

Office of Participant Assistance and
Communications
Office of Exemption Determinations
Office of Regulations and
Interpretations
Office of Health Plan Standards and
Compliance Assistance
U.S. Department of Labor, 200
Constitution Avenue, NW, Washington,
DC 20210
Atlanta Regional Office, 61 Forsyth
Street, Suite 7B54, Atlanta, GA 30303
Boston Regional Office, J.F.K.
Building, Room 575, Boston, MA 02203
San Francisco Regional Office, 71
Stevenson Street, Suite 915, P.O. Box
190250, San Francisco, CA 94119–250
Seattle District Office, 1111 Third
Avenue, MIDCOM Tower, Suite 860,
Seattle, WA 98101–3212.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Correspondents.
CATEGORIES OF RECORDS IN THE SYSTEM:

Letters requesting information,
advisory opinions, FOIA requests,
Privacy Act Requests, or submitting
comments, the Department’s replies
thereto, and related internal
memoranda, including notes pertaining
to meetings and telephone calls.

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Sfmt 4703

Files are retrieved by an individual
name or control number.
Access to these records is limited to
authorized PWBA staff. Computer
system is password protected and
accessible only to personnel creating the
database.
RETENTION AND DISPOSAL:

The retention schedule for FOIA and
Privacy Act request files follows General
Records Schedule 14 and are retained
two years after date of reply or six years
after issuance of the appeal
determination. If there is litigation in
the underlying matter, the file is
retained for three years after the
litigation is completed. Requests for
advisory opinions and the replies
thereto are retained indefinitely,
requests for information are destroyed
one year after completion of project.
Electronic index is destroyed six years
after date of last entry.
SYSTEM MANAGER(S) AND ADDRESS:

Director of the Office of Participant
Assistance and Communications
Director of the Office of Exemption
Determinations
Director of the Office of Regulations
and Interpretations
Director of the Office of Health Plan
Standards and Compliance Assistance
Pension and Welfare Benefits
Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.

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Regional Directors in the following
offices:
Atlanta Regional Office, 61 Forsyth
Street, Suite 7B54, Atlanta, GA 30303
Boston Regional Office, J.F.K.
Building, Room 575, Boston, MA 02203
San Francisco Regional Office, 71
Stevenson Street, Suite 915, PO Box
190250, San Francisco, CA 94119–250
District Supervisor, Seattle District
Office, 1111 Third Avenue, MIDCOM
Tower, Suite 860, Seattle, WA 98101–
3212.

all aspects of pension and welfare
benefit plans and records which provide
the status of individuals under these
plans.

In the Regional offices: the Regional
Director
In the District Offices: the District
Supervisor.

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

NOTIFICATION PROCEDURE:

29 U.S.C. 1135.
PURPOSE(S):

These records are used to take action
on or respond to inquiries from
Members of Congress and private
citizens.

RECORD ACCESS PROCEDURES:

NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above. All
requests must be in writing and mailed
or presented in person during the
Department’s normal business hours.
RECORDS ACCESS PROCEDURES:

Same as notification procedure.
Individuals requesting access must also
comply with U.S. Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, records in
this system may be disclosed to the
relevant employee benefit plan
administrator, third party administrator,
insurance carrier or other party as
necessary to facilitate a resolution to the
circumstance presented by the
individual seeking assistance from the
agency.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are maintained in file
cabinets and on computer system.

Correspondence from individuals and
responses thereto.

Technical Assistance and Inquiries
System.
SECURITY CLASSIFICATION:

RETENTION AND DISPOSAL:

None.
DOL/PWBA–4
SYSTEM NAME:

None.
SYSTEM LOCATION:

Division of Technical Assistance and
Inquiries in the National office, all
regional and district offices.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

General and congressional telephone
inquiries and correspondence regarding

20:59 Apr 05, 2002

Jkt 197001

Manual records are maintained for
one year after closing the file, then
destroyed. Computer files are
maintained for the same period as the
manual records or deleted when no
longer needed which ever is later.
SYSTEM MANAGER(S) AND ADDRESS:

Correspondents and callers requesting
information and assistance.

In the national office: Director of the
Office of Participant Assistance and
Communications, Pension and Welfare
Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.

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Frm 00114

Fmt 4701

CONTESTING RECORD PROCEDURES:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals seeking technical
assistance or information.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

SAFEGUARDS:

In the National office, manual files are
maintained in file cabinets with access
limited to staff of the Division of
Technical Assistance and Inquiries. In
the regional and district offices, manual
files are maintained in file cabinets with
access limited to appropriate PWBA
staff. Computer system is password
protected and limited to use by
authorized personnel.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

Same as notification procedure.
Individuals requesting access must also
comply with U. S. Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.

DOL/PWBA–5

RETRIEVABILITY:

By name of individual.

RECORD SOURCE CATEGORIES:

VerDate 112000

Individuals wishing to inquire
whether this system of records contains
information about them should contact
a system manager indicated above.
Individuals must furnish their full
names for their records to be located
and identified.

Sfmt 4703

Public Disclosure Request Tracking
System.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

U.S. Department of Labor, PWBA,
Public Disclosure Room, U.S.
Department of Labor, Washington, DC
20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who request documents.
CATEGORIES OF RECORDS IN THE SYSTEM:

Data regarding the request for copies
of plan filings made with the
Department of Labor or the Internal
Revenue Service. Data includes
individual requester’s name, street
address, city, state, zip code, and
telephone number, the Employer
Identification Number and Plan Number
of the plan for which information has
been requested and the documents
requested.

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CONTESTING RECORD PROCEDURES:

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

5 U.S.C. 1021 et seq.
PURPOSE(S):

These records are used by authorized
PWBA disclosure personnel to process
requests made to the Public Disclosure
Room and by PWBA managers to
compile statistical reports regarding
such requests for management
information purposes.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals requesting documents
from the Public Disclosure Room.

None.

SYSTEM NAME:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

PWBA Debt Collection/Management
System.

STORAGE:

SECURITY CLASSIFICATION:

Manual files and computer storage.

None.

RETRIEVABILITY:

By individual name, control number
or EIN/PN of requested plan.
SAFEGUARDS:

Manual files are maintained in file
cabinets with access limited to
authorized personnel. Computer system
is password protected and accessible
only to personnel creating and
maintaining the database.
RETENTION AND DISPOSAL:

Manual files are destroyed after three
months, the electronic index is deleted
on the same schedule as the manual
files or when no longer needed
whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:

Director of the Office of Participant
Assistance and Communications,
Pension and Welfare Benefits
Administration, 200 Constitution
Avenue, NW., Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
Individuals must furnish their full
names for their records to be located
and identified.
RECORD ACCESS PROCEDURES:

Same as notification procedure.
Individuals requesting access must also
comply with U. S. Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.

Jkt 197001

Relevant records may be disclosed to
private collection agencies in order for
them to collect debts subject to this
program.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Records may be disclosed for
delinquent accounts.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS:

Pension and Welfare Benefits
Administration, Office of Program
Planning, Evaluation and Management,
U.S. Department of Labor, 200
Constitution Avenue, NW., Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who have been assessed
fines or penalties under provisions of
ERISA sections 502(c)(2), 502(i) and
502(l).
CATEGORIES OF RECORDS IN THE SYSTEM:

Records containing data regarding the
assessment of fines/penalties under
provisions of ERISA sections 502(c)(2),
502(i) and 502(l). Data includes
individuals (or trade) name, street
address, city, state, zip code, telephone
number, taxpayer identification number,
and transaction information (e.g.,
correspondence, debt status and
payment records).
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 1132, 31 U.S.C. 3711(a) and
29 CFR Part 20.
PURPOSE(S):

Records are used for maintaining an
ongoing Debt Collection/Management
Program requiring tracking and
accounting for assessed fines/penalties,
determination of collection status and
assignment of delinquent debts to
private collection agencies.

Frm 00115

Debt Collection/Management data is
sorted numerically by assigned case
number. Records in this system are
retrieved by computer and manually
using the PWBA-assigned case number
and a cross-reference debtor taxpayer
identification number.
SAFEGUARDS:

SYSTEM LOCATION:

PO 00000

Manual files and computer storage.
RETRIEVABILITY:

DOL/PWBA–6

None.

19:00 Apr 05, 2002

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:

STORAGE:
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

VerDate 112000

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Fmt 4701

Sfmt 4703

Manual files are maintained in file
cabinets with access limited to
authorized personnel. Computer system
is accessible, through password, only to
personnel creating and maintaining the
database.
RETENTION AND DISPOSAL:

Both, manual and automated records
are maintained for two years after the
case is closed or until expiration of
applicable statute of limitations,
whichever occurs first.
SYSTEM MANAGER(S) AND ADDRESS:

Administrative Officer, Pension and
Welfare Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
Individuals must furnish their full name
and additional personal identifiers for
their records to be located and
identified.
RECORD ACCESS PROCEDURE:

See notification procedure above.
Individuals requesting access must also
comply with Privacy Act regulations on
verification of identity and access to
records. (29 CFR 71.2.).
CONTESTING RECORD PROCEDURE:

Same as notification procedure above,
except individuals desiring to contest or
amend information maintained in the

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system should direct their written
request to the system manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

The files are maintained in locked file
cabinets with access only to those with
a need to know the information to
perform their duties. A charge out
system is used to monitor and restrict
the withdrawal of records from this file.
RETENTION AND DISPOSAL:

Investigators and auditors.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/PWBA–7
SYSTEM NAME:

PWBA Employee Conduct
Investigations.
SECURITY CLASSIFICATION:

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:

None.
SYSTEM LOCATION:

U.S. Department of Labor, Pension
and Welfare Benefits Administration,
Office of Program Planning, Evaluation
and Management, 200 Constitution
Avenue, NW., Washington, DC 20210.

PWBA employee(s) against whom
allegations of misconduct have been
made.
The file contains investigative
report(s) compiled in the course of
employee misconduct investigations,
including interviews and other data.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

The records are compiled as an
adjunct to investigating allegations of
employee misconduct, to make
determinations on personnel actions
and to document agency action in most
cases.
ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEMS, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

STORAGE:

The records are stored in file folders
in metal cabinets.

19:00 Apr 05, 2002

Jkt 197001

A request for access shall be
addressed to the System Manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date of the
investigation.
Individuals requesting access must
also comply with the Privacy Act
regulations regarding verification of
identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
Complaints through the Office of the
Inspector General’s and the General
Accounting Office’s hotline system;
allegations and incident reports
submitted by employees; statements by
the subject, fellow employees or
members of the public; and other
investigative reports.

PO 00000

Frm 00116

Fmt 4701

Sfmt 4703

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4) (G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/PWBA–8
SYSTEM NAME:

RECORD SOURCE CATEGORIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Records are retrieved by name.

NOTIFICATION PROCEDURE:

RECORD ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

RETRIEVABILITY:

Director, Office of Program Planning,
Evaluation, and Management, Pension
and Welfare Benefits Administration,
200 Constitution Avenue NW.,
Washington, DC 20210.
Inquiries should be mailed or
presented to the System Manager noted
at the address listed above.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

VerDate 112000

SAFEGUARDS:

PWBA Consolidated Training Record.
SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of Program Planning,
Evaluation & Management, Pension and
Welfare Benefits Administration, 200
Constitution Avenue, NW., Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employees of the Pension and Welfare
Benefits Administration.
CATEGORIES OF RECORDS IN THE SYSTEM:

Records reflect educational
attainment levels (to include areas of
study), professional certifications, date
of accession to PWBA, in-house (PWBA)
technical training courses and Federal
Law Enforcement Training Center
programs completed by employees of
the Pension and Welfare Benefits
Administration.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

These records are used to identify
which employees have completed
certain of the courses, and the number
of employees awaiting training. This
information, in the aggregate, helps
project the number of courses to
schedule for succeeding years. The prior
formal education information is used to
respond to Congressional and other
inquiries regarding the educational

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
attainment level of our workforce.
Finally, a combination of the data
elements is used to identify employees
with specific educational backgrounds
and current skill levels who may be
considered as Instructors for the several
agency-sponsored courses.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES;

RECORD SOURCE CATEGORIES:

Individual employees, SF171s, or
resume(s) submitted at time of accession
to PWBA and individual training course
records.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/PWBA–9

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.

SYSTEM NAME:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SECURITY CLASSIFICATION:

Office of Enforcement
Correspondence Tracking System.
None.

None.

SYSTEM LOCATION:

Office of Enforcement, PWBA, U.S.
Department of Labor, 200 Constitution
Ave., NW., Washington, DC 20210.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Electronic Files.
RETRIEVABILITY:

By name of the individual employee.
SAFEGUARDS:

System is password protected and
limited to use by authorized personnel
in the Office of Program Planning,
Evaluation and Management.
RETENTION AND DISPOSAL:

Destroyed when 5 years old or when
no longer needed, whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:

PWBA Training Coordinator, Office of
Program Planning, Evaluation and
Management, PWBA, U.S. Department
of Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager at the system
location listed above.
Same as notification procedure.
Individuals requesting access must also
comply with U.S. Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.
CONTESTING RECORD PROCEDURES:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.

19:00 Apr 05, 2002

CATEGORIES OF RECORDS IN THE SYSTEM:

Information including plan name,
plan administrator’s name, service
provider’s name, trustee’s name, and
names of other individuals (such as the
named defendants) involved in
investigations and enforcement actions.
Letters from the general public
requesting information under the
Freedom of Information Act or relating
to all aspects of pension and welfare
benefit plans covered by Title I of the
Employee Retirement Income Security
Act of 1974 (ERISA), the status of
individuals under these plans, the
Department’s replies to the inquiries,
and related internal memoranda,
including notes pertaining to meetings
and telephone calls.
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1134–37.

RECORD ACCESS PROCEDURES:

VerDate 112000

Correspondents, such as employee
benefit plan professionals, and other
individuals involved in investigations
and enforcement actions.

Jkt 197001

PURPOSE(S):

This system of records is used to track
the progress of correspondence through
the Office of Enforcement, including a
record of action taken on or response to
an inquiry received from the general
public or others, and to access
investigative information related to field
office correspondence regarding
investigations instituted by the
Department of Labor (DOL) under the
Title I of the Employee Retirement
Security Act of 1974 (ERISA). The
investigative files are used in the
prosecution of violations of law,
whether civil, criminal or regulatory in
nature.

PO 00000

Frm 00117

Fmt 4701

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16931

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, pursuant to
29 U.S.C. 1134, a record from this
system of records may be disclosed,
subject to the restrictions imposed by
various statutes and rules, such as the
Privacy Act, to a department or agency
of the United States, or to any person
actually affected by any matter which
may be the subject of the investigation;
except that any information obtained by
the Secretary of Labor pursuant to
section 6103(g) of Title 26 shall be made
available only in accordance with
regulations prescribed by the Secretary
of the Treasury.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records in this system are
maintained in an electronic database.
RETRIEVABILITY:

Records are retrieved from the
electronic database by the name of the
plan, service provider name, trustee
name, the name of another individual
(such as the named defendant) involved
in the investigation or enforcement
action, or the name of the
correspondent. Records are also
retrieved by case number, the plan’s
employer identification number (EIN).
SAFEGUARDS:

Direct access to and use of these
records is restricted to authorized
personnel in the Office of Enforcement.
General correspondence are maintained
in file cabinets with access limited to
OE staff. The electronic database is
password protected and limited to use
by authorized personnel.
RETENTION AND DISPOSAL:

General correspondence files are
destroyed after three years. The
electronic database files are deleted
when no longer needed.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Enforcement, Pension and
Welfare Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:

Individuals wishing to inquire
whether this system of records contains
information about them should contact

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

the System Manager. Individuals should
furnish their full name, address, and
employee benefit plan association and
should identify the employee benefit
plan by name, address, and EIN (if
known).
RECORD ACCESS PROCEDURES:

Request for access to records should
follow the notification procedure
described above. Specific materials in
the system have been exempted from
Privacy Act provisions under 5 U.S.C.
552a (j)(2) and (k)(2). To the extent that
this system of records is not subject to
exemption, it is subject to access,
contest of the content of the record, and
appeal of a denial to access. A
determination as to exemption shall be
made at the time a request for access is
received. Access procedures are the
same as the Notification procedures
described above. Individuals requesting
access must also comply with Privacy
Act regulations regarding verification of
identity and access to records (29 CFR
71.2).
CONTESTING RECORD PROCEDURES:

Same as the Notification procedure
above, except individuals desiring to
contest or amend information
maintained in the system should direct
their written request to the appropriate
System Manager listed above, state
clearly and concisely what information
is being contested, the reasons for
contesting it, and the proposed
amendment to the information sought
pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Correspondence from individuals,
individual complaints, witnesses, or
interviews conducted during
investigations or plan participant or
beneficiary information obtained during
investigations on cases opened in the
Office of Enforcement or in any of the
PWBA field offices.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

a. Criminal Law Enforcement: In
accordance with subsection 552a(j)(2) of
the Privacy Act, 5 U.S.C. 552a(j)(2),
information maintained for criminal law
enforcement purposes in PWBA’s Office
of Enforcement or its field offices is
exempt from subsections (c)(3), and (4),
(d), (e)(1), (2), and (3), (e)(4)(G), (H), and
(I), (e) (5) and (8), (f), and (g) of 5 U.S.C.
552a.
b. Other Law Enforcement: In
accordance with subsection 552a(k)(2)
of the Privacy Act, 5 U.S.C. 552a(k)(2),
investigatory material in this system of
records compiled for civil law
enforcement purposes is exempt from
subsections (c)(3), (d)(1), (2), (3), and (4),

VerDate 112000

20:59 Apr 05, 2002

Jkt 197001

(e)(1), (e)(4)(G) and (I), and (f) of 5
U.S.C. 552a.
DOL/PWBA–10

available only in accordance with
regulations prescribed by the Secretary
of the Treasury.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

SYSTEM NAME:

PWBA Civil Litigation Case
Information System.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

STORAGE:

Office of Enforcement, PWBA, U.S.
Department of Labor, 200 Constitution
Ave., NW, Washington, DC 20210.

The records in this system are
maintained in an electronic database
and in manual files.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RETRIEVABILITY:

The named defendants in the civil
actions, and the names of other
individuals involved in investigations
and enforcement actions resulting in
civil litigation with PWBA.
CATEGORIES OF RECORDS IN THE SYSTEM:

Documents such as litigation
memoranda, legal documents, press
releases, judgements, consent orders
and other documents which relate
information about a case in civil
litigation. Information includes plan
name, plan administrator’s name,
service provider’s name, trustee’s name,
the named defendants, and the names of
other individuals involved in
investigations and enforcement actions
resulting in civil litigation with PWBA.
AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

29 U.S.C. 1134–37.
PURPOSE(S):

This system of records is used to
access information related to civil
litigation case files involving
investigations instituted by the
Department of Labor (DOL) under the
Title I of the Employee Retirement
Security Act of 1974 (ERISA). The civil
litigation case files are used in the
prosecution of violations of law.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, pursuant to
29 U.S.C. 1134, a record from this
system of records may be disclosed,
subject to the restrictions imposed by
various statutes and rules, such as the
Privacy Act, to a department or agency
of the United States, or to any person
actually affected by any matter which
may be the subject of the investigation;
except that any information obtained by
the Secretary of Labor pursuant to
section 6103(g) of Title 26 shall be made

PO 00000

Frm 00118

Fmt 4701

Sfmt 4703

Records are retrieved by the name of
the plan, service provider name, trustee
name, and/or the named defendants in
the investigation or enforcement action.
SAFEGUARDS:

Direct access to and use of these
records is restricted to authorized
personnel in the Office of Enforcement
(OE). The civil litigation case files are
maintained in file cabinets with access
limited to OE staff. The electronic
database is password protected and
limited to use by authorized personnel.
RETENTION AND DISPOSAL:

Manual files are destroyed after three
years, the electronic index is deleted on
the same schedule as the manual files or
when no longer needed whichever is
later.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Enforcement, Pension and
Welfare Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW., Washington, DC 20210.
NOTIFICATION PROCEDURES:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager. Individuals should
furnish their full name, address, and
employee benefit plan association and
should identify the employee benefit
plan by name and address.
RECORD ACCESS PROCEDURES:

Request for access to records should
follow the Notification procedure
described above. Specific materials in
the system have been exempted from
Privacy Act provisions under 5 U.S.C.
552a. To the extent that this system of
records is not subject to exemption, it is
subject to access, contest of the content
of the record, and appeal of a denial to
access. A determination as to exemption
shall be made at the time a request for
access is received. Access procedures
are the same as the Notification
procedures described above. Individuals

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
requesting access must also comply
with Privacy Act regulations on
verification of identity and access to
records (29 CFR 71.2).

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Defendants in criminal actions
involving private sector employee
benefit plans.

CONTESTING RECORD PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

Same as the Notification procedure
above, except individuals desiring to
contest or amend information
maintained in the system should direct
their written request to the System
Manager, state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.

Court and other documents which
transmit information about the progress
and/or disposition of criminal cases
involving private sector employee
benefit plans and written summaries of
same. Documents include media
articles, press releases, indictments,
plea agreements, judgements, appellate
documents and documents bearing
evidence of restitution.

RECORD SOURCE CATEGORIES:

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

Investigators, individual defendants,
witnesses, and other individuals who
have relevant information.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with subsection
552a(k)(2) of the Privacy Act, 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for civil law
enforcement purposes is exempt from
subsections (c)(3), (d)(1), (2), (3), and (4),
(e)(1), (e)(4)(G) and (I), and (f) of 5
U.S.C. 552a, provided however, that if
any individual is denied any right,
privilege or benefit to which he would
otherwise be entitled by Federal law, or
for which he would otherwise be
eligible, as a result of the maintenance
of such material, such material shall be
provided to such individual, except to
the extent that the disclosure of such
material would reveal the identity of a
source who furnished information to the
Government under an express promise
that the identity of the source would be
held in confidence, or prior to January
1, 1975, under an implied promise that
the identity of the source would be held
in confidence. Accordingly the
following systems of records are exempt
from (c)(3), (d)(1), (d)(2), (d)(3), (d)(4),
(e)(1), (e)(4)(G), (e)(4)(I) and (f) of 5
U.S.C. 552a.
DOL/PWBA–11

PURPOSE(S):

This system of records is used to
access information related to criminal
actions involving investigations
conducted by the Department of Labor
(DOL). The criminal information files
are used in the prosecution of violations
of law.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, pursuant to
29 U.S.C. 1134, a record from this
system of records may be disclosed,
subject to the restrictions imposed by
various statutes and rules, such as the
Privacy Act, to a department or agency
of the United States, or to any person
actually affected by any matter which
may be the subject of the investigation;
except that any information obtained by
the Secretary of Labor pursuant to
section 6103(g) of Title 26 shall be made
available only in accordance with
regulations prescribed by the Secretary
of the Treasury.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SYSTEM NAME:

PWBA Criminal Case Information
System.

STORAGE:

The records in this system are
maintained in an electronic tracking
system and in manual files.

SECURITY CLASSIFICATION:

None.

RETRIEVABILITY:

SYSTEM LOCATION

Office of Enforcement, PWBA, U.S.
Department of Labor, 200 Constitution
Ave., NW, Washington, DC 20210.

VerDate 112000

29 U.S.C. 1134–37.

19:00 Apr 05, 2002

Jkt 197001

Manual files are retrieved by the name
of the defendant. Records in electronic
index may be retrieved by court,
defendant’s name, violation, type of
plan, etc.

PO 00000

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16933

SAFEGUARDS:

Direct access to and use of these
records is restricted to authorized
personnel in the Office of Enforcement.
The electronic system is password
protected and limited to use by
authorized personnel.
RETENTION AND DISPOSAL:

Manual files are destroyed after three
years after case is closed, the electronic
index is deleted on the same schedule
as the manual files or when no longer
needed whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Enforcement, Pension and
Welfare Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager. Individuals should
furnish their full name, address, and
employee benefit plan association and
should identify the employee benefit
plan by name and address.
RECORD ACCESS PROCEDURES:

Request for access to records should
follow the Notification procedure
described above. Specific materials in
the system have been exempted from
Privacy Act provisions under 5 U.S.C.
552a(j)(2). To the extent that this system
of records is not subject to exemption,
it is subject to access, contest of the
content of the record, and appeal of a
denial to access. A determination as to
exemption shall be made at the time a
request for access is received. Access
procedures are the same as the
Notification procedures described
above. Individuals requesting access
must also comply with Privacy Act
regulations on verification of identity
and access to records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:

Same as the Notification procedure
above, except individuals desiring to
contest or amend information
maintained in the system should direct
their written request to the System
Manager, state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individual defendants, witnesses, and
other individuals who have relevant
information.

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SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with subsection
552a(j)(2) of the Privacy Act, 5 U.S.C.
552a(j)(2), information maintained for
criminal law enforcement purposes in
PWBA’s Office of Enforcement or its
field offices is exempt from subsections
(c)(3) and (4), (d), (e)(1), (2), and (3),
(e)(4)(G), (H), and (I), (e) (5) and (8), (f),
and (g) of 5 U.S.C. 552a.

SAFEGUARDS:

Computer system is password
protected and accessible only to
personnel creating and maintaining the
database.
RETENTION AND DISPOSAL:

Destroyed when three months old or
when no longer needed, whichever is
later.
SYSTEM MANAGER(S) AND ADDRESS:

DOL/PWBA–12

Director of the Office of Participant
Assistance and Communications,
Pension and Welfare Benefits
Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW,
Washington, DC 20210.

SYSTEM NAME:

Publication Hotline Requests
SECURITY CLASSIFICATION:

None.

NOTIFICATION PROCEDURE:

GMR, Inc. 7203 Gateway Court,
Manassas, VA 20109.

Individuals requesting PWBA
publications via the toll free telephone
number.

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
Individuals must furnish their full
names for their records to be located
and identified.

CATEGORIES OF RECORDS IN THE SYSTEM:

RECORD ACCESS PROCEDURES:

Data regarding requests for copies of
PWBA publications that are received
through the toll free publication request
line. Data includes individual
requester’s name, street address, city,
state, zip code, telephone number, the
publication(s) ordered and the quantity,
the date the order was placed and the
date it was filled.

Same as notification procedure.
Individuals requesting access must also
comply with Privacy Act regulations on
verification of identity and access to
records (29 CFR 71.2).

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

5 U.S.C. 1135.
PURPOSE(S):

These records are maintained to
process requests made to the PWBA Toll
Free Publication Hotline for
publications.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None except those mentioned in the
General Prefatory Statement to this
document.

CATEGORIES OF RECORDS IN THE SYSTEM:

Letters from individuals seeking relief
from the 502(l) penalties, attachments
supporting their petitions for relief, the
Department’s replies thereto, and
related internal memoranda, including
notes pertaining to meetings and
telephone calls.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

29 U.S.C. 1135.

CONTESTING RECORD PROCEDURES:

Same as Notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals requesting publications.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/PWBA–13
SYSTEM NAME:

Office of Exemption Determination
ERISA Sec. 502(l) Files.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

SECURITY CLASSIFICATION:

None.

STORAGE:

SYSTEM LOCATION:

Computer storage.
RETRIEVABILITY:

Records on this system are retrieved
electronically by using the name of
requestor.

Jkt 197001

These records are maintained to
document the Department’s response to
petitioners’ requests for relief from the
section 502(l) penalties. Such penalties
are imposed upon those who are found
to have violated the fiduciary and
prohibited transaction provisions of Part
4 of Title I of ERISA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual files and computerized index.
RETRIEVABILITY:

Files are retrieved by name of
requester using a computerized index.
SAFEGUARDS:

Access to these records is limited to
authorized PWBA staff. Computer
system is password protected and
accessible only to personnel creating the
database.
RETENTION AND DISPOSAL:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

19:00 Apr 05, 2002

Individuals who have petitioned the
Secretary of Labor for relief from the
monetary penalties imposed under
ERISA Sec. 502(l).

PURPOSE(S):

SYSTEM LOCATION:

VerDate 112000

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Office of Exemption Determinations,
Pension and Welfare Benefits
Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW.,
Washington, DC 20210.

PO 00000

Frm 00120

Fmt 4701

Sfmt 4703

Manual records are maintained in the
Office of Exemption Determinations for
up to two years after case closure, then
transferred to the Federal Records
Center for retention for an additional 23
years. Electronic records are destroyed
on the same schedule as the manual
files or when no longer needed,
whichever is later.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Exemption
Determinations, Pension and Welfare

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Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above. All
requests must be in writing and mailed
or presented in person during the
Department’s normal business hours.
RECORDS ACCESS PROCEDURES:

PURPOSE(S):

To develop a listing of individuals
who have status as an investment
advisors under ERISA.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

The records must be publicly
available in accordance with ERISA.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

Same as notification procedures.
Individuals requesting access must also
comply with Privacy Act regulations on
verification of identity and access to
records (29 CFR 71.2).
CONTESTING RECORD PROCEDURES:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the system manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals requesting a 502(l)
exemption and the responses thereto.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/PWBA–14
SYSTEM NAME:

Investment Advisor Registration Data
Base.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Department of Labor, PWBA Public
Disclosure Room, U.S. Department of
Labor, Washington, DC 20210.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual records and electronic listing.

Computer system is password
protected and accessible only to
personnel creating and maintaining the
database. Manual files are stored off site
and are only available to authorized
personnel.
Manual files are destroyed when six
years old. Electronic version is deleted
on the same schedule as the manual
files or when no longer needed,
whichever is later.

DOL/PWBA–15
SYSTEM NAME:

PWBA Inventory Management Data
Base.

Director of the Office of Participant
Assistance and Communications,
Pension and Welfare Benefits
Administration, U.S. Department of
Labor, 200 Constitution Avenue, NW.,
Washington, DC 20210.

Copies of state registration forms.
Such forms vary from state to state, but
typically include name, SEC file
number, Employer Identification
number, social security number,
business address, etc.

Same as notification procedure.
Individuals requesting access must also
comply with Privacy Act regulations on
verification of identity and access to
records (29 CFR 71.2).

AUTHORITY FOR THE MAINTENANCE OF THE
SYSTEM:

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the

Frm 00121

Fmt 4701

Sfmt 4703

U.S. Department of Labor, Office of
Information Management, Pension and
Welfare Benefits Administration, 200
Constitution Avenue, NW., Washington,
DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals assigned custody of
PWBA-owned ADP equipment.
Electronic records of PWBA-owned
ADP hardware, its assigned location, the
individual assigned custody of
equipment, acquisition/disposal and
warranty data.
5 U.S.C. 301.
PURPOSE(S):

To identify the makes and models of
all PWBA owned ADP hardware, the
equipment’s current location within the
agency and the individual to whom it is
assigned.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Electronic database.

CONTESTING RECORD PROCEDURES:

PO 00000

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Jkt 197001

None.

CATEGORIES OF RECORDS IN THE SYSTEM:

RETENTION AND DISPOSAL:

RECORD ACCESS PROCEDURES:

19:00 Apr 05, 2002

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

SYSTEM LOCATION:

Investment advisers who manage less
than $25 million in assets and wish to
obtain investment advisor status under
the Employee Retirement Income
Security Act.

VerDate 112000

Investment advisors who request
investment advisor status under ERISA.

SECURITY CLASSIFICATION:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
Individuals must furnish their full
names for their records to be located
and identified.

29 U.S.C. 1002(38).

RECORD SOURCE CATEGORIES:

Records on this system are retrieved
electronically by the name of
investment advisor. A list of the name,
location, state of registration, and date
filed is available on the PWBA web-site.

NOTIFICATION PROCEDURE:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.

RETRIEVABILITY:

SAFEGUARDS:

16935

RETRIEVABILITY:

Files are retrieved using individual’s
name.

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

SAFEGUARDS:

Access to these records is limited to
authorized PWBA staff. The computer
system provides security with: (1)
Mapping rights on the network, (2)
network user logon passwords, and (3)
database passwords.
RETENTION AND DISPOSAL:

Records are destroyed when no longer
needed for administrative, legal, audit,
or other operational purposes.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Information Management,
Pension and Welfare Benefits
Administration, U.S. Department of
Labor, 200 Constitution Ave., NW.,
Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above. All
requests must be in writing and mailed
or presented in person during the
Department’s normal business hours.
RECORDS ACCESS PROCEDURES:

Same as notification procedure.
Individuals requesting access must also
comply with US Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.

Individuals who have filed a Form
5500EZ with the Department of Labor
for plan years beginning on or after
January 1, 1999.
CATEGORIES OF RECORDS IN THE SYSTEM:

Forms 5500EZ filed with the
Department of Labor for plan years
beginning on or after January 1, 1999.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

26 U.S.C. 6058(a); 29 U.S.C. 1135,
1137, 1143.
PURPOSE(S):

These records satisfy the reporting
and disclosure requirements mandated
by the Employee Retirement Income
Security Act of 1974, as amended, and
the Internal Revenue Code.
Note: This system of records is maintained
by the Department of Labor for the benefit of
the Internal Revenue Service (IRS).

Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals assigned computer
equipment and individuals assigning
the computer equipment.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

None, except for those routine uses
listed in the General Prefatory Statement
to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Original paper filings, electronic
image files of the filings, and electronic
data files extracted from the filing.
RETRIEVABILITY:

Retrieved using personal name,
taxpayer identification number, or
Social Security number; plan number;
and plan year.
Note: Only the IRS can retrieve this data.

None.

Director, Office of Information
Management, Pension and Welfare
Benefits Administration, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURE:

Individuals wishing to inquire
whether this system of records contains
information about them should contact
the system manager indicated above.
Individuals must furnish their full
names for their records to be located
and identified.
RECORD ACCESS PROCEDURES:

Same as notification procedure.
Individuals requesting access must also
comply with U.S. Department of Labor
Privacy Act regulations on verification
of identity at 29 CFR 71.2.
Same as notification procedure above
except individuals desiring to contest or
amend information maintained in the
system should direct their written
request to the System Manager listed
above, and state clearly and concisely
what information is being contested, the
reasons for contesting it, and the
proposed amendment to the information
sought pursuant to 29 CFR 71.9.
RECORD SOURCE CATEGORIES:

Individuals filing Form 5500EZ
filings.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/OSBP–1
SYSTEM NAME:

Office of Small Business Programs,
Small Entity Inquiry and Complaint
Tracking System.
SECURITY CLASSIFICATION:

SYSTEM LOCATION:
SAFEGUARDS:

Accessible only to authorized
personnel. Safeguards include both
electronic safeguards, including C2
compliant systems and passwordprotected files, and physical safeguards,
including a restricted-access facility.

DOL/PWBA–16
SYSTEM NAME:

Form 5500EZ Filings.
SECURITY CLASSIFICATION:

RETENTION AND DISPOSAL:

None.
SYSTEM LOCATION:

U.S. Department of Labor, Pension
and Welfare Benefits Administration,
Attention: EFAST 3833 Greenway Drive,
Lawrence, KS 66046–1290.

Jkt 197001

SYSTEM MANAGER(S) AND ADDRESS:

None.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

19:00 Apr 05, 2002

their respective retention periods, the
paper and electronic files are destroyed.

CONTESTING RECORD PROCEDURES:

None.

CONTESTING RECORD PROCEDURES:

VerDate 112000

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Paper filings are retained by the
system manager for 6 months, after
which time they are retained off-site for
a period of fifty years. Electronic files
are retained by the system manager for
a period of fifty years. At the end of

PO 00000

Frm 00122

Fmt 4701

Sfmt 4703

U.S. Department of Labor, Office of
Small Business Programs, Frances
Perkins Building, 200 Constitution Ave.,
NW, Room C–2318, Washington, DC
20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals who make oral or written
complaints about, or requests or
inquiries concerning, enforcement
activities under the Small Business
Regulatory Enforcement Fairness Act of
1996 (SBREFA) of the U.S. Department
of Labor (Department).

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CATEGORIES OF RECORDS IN THE SYSTEM:

NOTIFICATION PROCEDURES:

Records include the name and
address of the individuals making
complaints, requests, or inquiries
concerning enforcement activities of the
Department of Labor, and any other
information under SBREFA necessary to
respond to the complaint or request.

Mail all inquiries or present in writing
to System Manager at above address.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Subtitles A and B of the Small
Business Regulatory Enforcement
Fairness Act of 1996 (SBREFA), Pub. L.
104–121, Title II, sec. 213, 110 Stat.
858–859; 5 U.S.C. Chapter 6.

RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the system manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date of the complaint
or incident.

PURPOSE(S):

CONTESTING RECORD PROCEDURES:

Section 213 of Title II of Pub. L. 104–
121 requires each agency to establish a
program for providing informal
guidance to small entities regulated by
that agency. Section 213(c) requires the
agency to report to Congress on ‘‘the
scope of the agency’s program, the
number of small entities using the
program, and the achievements of the
program to assist small entity
compliance with agency regulations.’’
The records in this system are
maintained for the purpose of
complying with the above statutory
requirements.

A petition for amendment shall be
addressed to the system manager.

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USES:

SECURITY CLASSIFICATION:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, relevant
records may be disclosed to the Small
Business Administration (SBA) in
response to a referral from the SBA of
a complaint filed against this
Department by a small entity.

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Records are maintained electronically.
Name or Control Number.
SAFEGUARDS:

Accessed by authorized personnel
only. Passwords are used for the data,
which is electronically stored.

From the concerned individuals and
entities.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

DOL/OSBP–2
SYSTEM NAME:

Department of Labor Advisory
Committees Members Files.

Five years after case is closed.

SYSTEM LOCATION:

Offices in various components within
the Department of Labor, and also at the
Office of Small Business Programs, U.S.
Department of Labor, Frances Perkins
Building, 200 Constitution Avenue, NW,
Washington, DC 20210.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Storage methods vary between
program components, but the data will
be stored either on magnetic media or in
a manual file, both of which are secured
at all times.
RETRIEVABILITY:

SAFEGUARDS:

Access is limited to authorized
employees.
After a Committee terminates, its
records are transferred to the National
Archives and Records Administration
for permanent retention.
SYSTEM MANAGER(S) AND ADDRESS:

The system manager is the Director,
Office of Small Business Programs, U.S.
Department of Labor, Frances Perkins
Building, 200 Constitution Ave., NW,
Washington, DC 20210.

CATEGORIES OF RECORDS IN THE SYSTEM:

A request for access should be
addressed to the system manager. The
request should include the name of the
Committee.

Biographical information on
individuals who are or have been
members or are being considered for
membership on the committees. Also,
the biographical information on
individuals who have been nominated
for membership on advisory
committees.
5 U.S.C. 301.
PURPOSE(S):

To ensure that all appropriate
personal records on advisory committee
members, and nominees, are retained
and are available for official use.

Jkt 197001

None.

NOTIFICATION PROCEDURE:

Director, Office of Small Business
Programs, U.S. Department of Labor,
200 Constitution Ave., NW,
Washington, DC 20210.

19:00 Apr 05, 2002

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

Present and former members of the
advisory committees established by the
Department of Labor and candidates for
a position on an advisory committee.

SYSTEM MANAGER(S) AND ADDRESS:

VerDate 112000

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, information
in these records may be disclosed to the
General Services Administration when
necessary to comply with the Federal
Advisory Committee Act.

RETENTION AND DISPOSAL:

None.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Retrieved by member name, nominee
name or committee name, and via
identification number if electronically
maintained.

None.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

RETRIEVABILITY:

RECORD SOURCE CATEGORIES:

16937

PO 00000

Frm 00123

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Sfmt 4703

Mail all inquiries or present in writing
to the system manager.
RECORD ACCESS PROCEDURES:

CONTESTING RECORD PROCEDURES:

Individuals wanting to contest or
amend information maintained in this
system should direct their written
request to the system manager.
RECORD SOURCE CATEGORIES:

Individual members of the
committees and those persons making
nominations to the committee.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

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DOL/SOL–3

SAFEGUARDS:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SYSTEM NAME:

Files are kept in office suites that are
locked after working hours.

29 U.S.C. 1501 et seq. and the
Workforce Investment Act, 29 U.S.C.
2801 et seq.

Tort Claim Files.

RETENTION AND DISPOSAL:

SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of the Solicitor, Division of
Employee Benefits, 200 Constitution
Avenue, NW, Washington, DC 20210–
0002; Offices of the Regional Solicitors
and Associate Regional Solicitors at
various field locations set forth in the
Appendix.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals filing claims for damages
under the Federal Tort Claims Act.

SYSTEM MANAGER(S) AND ADDRESS:

Associate Solicitor for Employee
Benefits in Washington, DC, and
Regional Solicitors and Associate
Regional Solicitors in various locations
in the field.
NOTIFICATION PROCEDURE:

See system managers and addresses.

CATEGORIES OF RECORDS IN THE SYSTEM:

Federal Tort Claim Act files,
including claims forms and supporting
documents filed by claimants, agency
records, administrative reports and
supporting documents prepared by the
agency involved, internal memoranda,
legal pleadings, decisions, and other
documents received in connection with
Federal Tort Claims Act administrative
claims and litigation.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

28 U.S.C. 2671 et seq.

RECORD ACCESS PROCEDURE:

See record access procedures.

To maintain records necessary for
adjudication of claims and defense of
litigation filed under the Federal Tort
Claims Act.

RECORDS SOURCE CATEGORIES:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses contained in the General Prefatory
Statement to this document, where an
administrative claim or litigation under
the Federal Tort Claims Act is filed with
or involves allegations concerning more
than one federal agency, relevant
information in this system of records,
including documents submitted in
support of the administrative claim,
may be disclosed to the relevant agency
or agencies for their input and
independent adjudication of the claim.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

Claimants, current and former
employers, witnesses, physicians and/or
medical providers, insurance companies
attorneys, police, hospitals, and other
persons.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/SOL–5

Workforce Investment Act Tort Claim
Files.

RETRIEVABILITY:

Name of claimant.

19:00 Apr 05, 2002

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Unclassified.
Offices of the Regional Solicitors, U.S.
Department of Labor.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Claimants.

Frm 00124

None, except for those universal
routine uses contained in the General
Prefatory Statement to this document.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

Manual files.
RETRIEVABILITY:

Name of claimant.
SAFEGUARDS:

Files are kept in office suite that is
locked after working hours.
RETENTION AND DISPOSAL:

Upon completion of a case, the files
are maintained in the Office of the
Solicitor for two years, then retired to
the appropriate Federal Records Center
for three years and then destroyed.
SYSTEM MANAGER(S) AND ADDRESSES:

Regional Solicitors and Associate
Regional Solicitors, U.S. Department of
Labor. See the Appendix of this
document for the regional addresses.
NOTIFICATION PROCEDURE:

See system manager(s) and addresses
set forth in the Appendix to this
document.
Inquirer should provide his or her full
name, plus date and place of incident.
CONTESTING RECORD PROCEDURES:

RECORD SOURCE CATEGORIES:

SYSTEM LOCATION:

PO 00000

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

See record access procedures.

SECURITY CLASSIFICATION:

Claimants, current and former
employers, witnesses, physicians,
insurance companies, attorneys, police,
hospitals, other individuals.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

Tort claims, including negligence,
medical, personnel and legal reports,
summaries, correspondence, and
memoranda.

Manual files.

To allow adjudication of claims filed
under the Workforce Investment Act.

RECORD ACCESS PROCEDURES:

SYSTEM NAME:

CATEGORIES OF RECORDS IN THE SYSTEM:

STORAGE:

PURPOSE(S):

STORAGE:

To see your records, write to the office
responsible for adjudicating your claim
and describe as specifically as possible
the records sought. The inquirer should
furnish the following information:
a. Full name and address
b. Date and place of the incident or
accident
c. Claim number assigned to claim (if
known)
d. Signature
CONTESTING RECORD PROCEDURES:

PURPOSE(S):

VerDate 112000

These records are maintained as long
as a case is open. Upon conclusion of
the matter, files are maintained for two
years then transferred to the Federal
Records Center for two years and then
destroyed.

Fmt 4701

Sfmt 4703

DOL/SOL–6
SYSTEM NAME:

Military Personnel and Civilian
Employees’ Claims.

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SECURITY CLASSIFICATION:

Unclassified.
SYSTEM LOCATION:

Office of the Solicitor, Division of
Employee Benefits, 200 Constitution
Avenue, NW, Washington, DC 20210–
0002; Offices of the Regional Solicitors
and Associate Regional Solicitors at
various regional locations set forth in
the Appendix to this document.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Current or former employees of the
Department of Labor filing claims under
the Military Personnel and Civilian
Employees’ Claims Act to recover for
the loss of or damage to personal
property incident to their service.
CATEGORIES OF RECORDS IN THE SYSTEM:

Claim files, including claim forms,
accident, investigative, medical or
personnel reports, witness statements,
summaries, correspondence and
memoranda.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

31 U.S.C. 240–243.

Regional Solicitors and Associate
Regional Solicitors at various regional
locations set forth in the Appendix to
this document.
NOTIFICATION PROCEDURES:

Individuals, wishing to inquire
whether this system of records contains
information about them, should contact
the appropriate system manager. Such
person should provide his or her full
name, date of birth, and signature.
RECORD ACCESS PROCEDURES:

To see your records, write the office
responsible for adjudicating your claim
and describe as specifically as possible
the records sought. The inquirer should
furnish the following information:
a. Full name and address
b. Date and place of the loss
c. Claim number assigned to claim (if
known)
d. Signature
CONTESTING RECORD PROCEDURE:

See Record Access Procedures.
RECORDS SOURCE CATEGORIES:

Claimants, current and former
employers, witnesses, physicians and/or
medical providers, insurance
companies, attorneys, police, hospitals,
and other persons.

PURPOSE(S):

To maintain records necessary for
adjudication of claims filed under the
Military Personnel and Civilian
Employees’ Claims Act.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

None, except for those universal
routine uses contained in the General
Prefatory Statement to this document.

SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.

SYSTEM NAME:

Solicitor’s Legal Activity
Recordkeeping System.

Manual files.
RETRIEVABILITY:

Name of claimant.
SAFEGUARDS:

Files are kept in office suites that are
locked after working hours.
RETENTION AND DISPOSAL:

These records are maintained as long
as the case is open in the office handling
the claim. Upon conclusion of the
matter, files are retained for two years
and then transferred to the Federal
Records Center for three years and then
destroyed.

The central database is maintained in
the Office of the Solicitor (SOL), Office
of Administration, Management, and
Litigation Support, Washington, DC.
Computer access terminals are located
in SOL Divisional Offices in
Washington, DC, and in all SOL
Regional and Associate Regional
Solicitors Offices. See the Appendix to
this document for the regional office
addresses.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Attorneys and paralegal specialists
employed by SOL, judges assigned to
DOL cases, and individuals and/or
parties involved in the cases.

SYSTEM MANAGER(S) AND ADDRESS:

CATEGORIES OF RECORDS IN THE SYSTEM:

Associate Solicitor for Employee
Benefits in Washington, DC, and

Individual attorney and paralegal
specialist assignments, records which

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PO 00000

Frm 00125

Fmt 4701

PURPOSE(S):

To track the status of cases and other
legal work, to manage attorney and
paralegal specialist assignments, to track
the time spent litigating cases and
providing other legal services, to
prepare budget submissions and to
assist in allocating resources among
Divisional and Regional Offices.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

Selected data may be shared with the
Office of Management and Budget
(OMB) and Congress as part of the
budget submission process.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Manual and computer files.
RETRIEVABILITY:

RETENTION AND DISPOSAL:

SYSTEM LOCATION:

STORAGE:

5 U.S.C. 301.

Manual and computer files are
accessible only by authorized persons.

None.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

SAFEGUARDS:

SECURITY CLASSIFICATION:

None.

identify pending cases and opinions
requested, status of assignments, cases
and opinions, statutes enforced, client
agencies served, and time spent on
assignments.

By initials of the SOL attorney or
paralegal specialist, name of the judge,
name or social security number of the
individual involved, and/or the name of
the party involved in a case.

DOL/SOL–7

DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

16939

Sfmt 4703

Records are retained for five years.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Administration,
Management and Litigation Support/
Office of the Solicitor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:

Inquiries should be mailed or
presented to the system manager at the
address listed above.
RECORD ACCESS PROCEDURE:

A request for access shall be mailed
or presented to the system manager at
the address listed above.
CONTESTING RECORD PROCEDURES:

A request for amendment should be
addressed to the system manager noted
above and must meet the requirements
of 29 CFR 71.9.

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RECORD SOURCE CATEGORIES:

Covered individuals, case files,
correspondence files, opinion files and
miscellaneous files.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
DOL/SOL–9
SYSTEM NAME:

Freedom of Information Act and
Privacy Act Appeal Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of the Solicitor, Division of
Legislation and Legal Counsel, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

required appeal determinations and
related dispositions under the Freedom
of Information Act or the Privacy Act of
1974.
b. To disclose information to any
source from which additional
information is requested (to the extent
necessary to identify the individual,
inform the source of the purpose of the
appeal, and to identify the type of
information involved in an appeal),
where necessary to obtain information
relative to a decision concerning a
Freedom of Information or Privacy Act
appeal.
c. To disclose, in response to a request
for discovery or for appearance of a
witness, information that is relevant to
the subject matter involved in a pending
judicial or administrative proceeding.
DISCLOSURE TO CONSUMER REPORTING
AGENCIES:

None.

This system encompasses all
individuals who submit administrative
appeals under the Freedom of
Information and Privacy Acts.
CATEGORIES OF RECORDS IN THE SYSTEM:

Each file generally contains the
appeal letter, the initial request, the
initial agency determination, and other
records necessary to make a
determination on the appeal, including
copies of unsanitized records responsive
to the request. When a determination is
made on the appeal, the determination
letter is added to the file.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

The Freedom of Information Act (5
U.S.C. 552); the Privacy Act of 1974 (5
U.S.C. 552a); and 5 U.S.C. 301.
PURPOSE(S):

These records are maintained to
process an individual’s administrative
appeal made under the provisions of the
Freedom of Information and the Privacy
Acts. The records are also used to
prepare the Department’s annual reports
to OMB and Congress required by the
Privacy and the Freedom of Information
Acts.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

These records are maintained in
manual form in file folders and are
stored using the name of the individual
filing the appeal. Information about the
status of Freedom of Information and
Privacy Act appeals is also maintained
on magnetic media for use in a microcomputer.
RETRIEVABILITY:

Manual and the electronic records are
retrieved by the name of the individual
making the appeal. Electronic records
are retrieved by the name of the
appellant, the appellant’s law firm, the
original requester, the subject, the
denying officer, the disposition date,
and the case number.
SAFEGUARDS:

These records, are located in metal
filing cabinets in a lockable room with
access limited to personnel whose
duties require access. The electronic
records are located in a computer data
base.
RETENTION AND DISPOSAL:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

These records, and information in
these records, that is relevant and
necessary may be used:
a. To disclose information to Federal
agencies (e.g., Department of Justice) in
order to obtain advice and
recommendations concerning matters
on which the agency has specialized
experience or competence, for use by
the Office of the Solicitor in making

VerDate 112000

19:00 Apr 05, 2002

Jkt 197001

These records are destroyed six years
after final agency determination or 3
years after final court adjudication,
whichever is later.
Solicitor of Labor, U.S. Department of
Labor, Washington DC 20210.
Individuals wishing to inquire
whether this system of records contains
information about them should contact

Fmt 4701

Sfmt 4703

A request for access shall be
addressed to the system manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date of the Freedom
of Information or Privacy Act Appeal
and the approximate date of the
determination by the Department (if
issued).
CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.
RECORD SOURCE CATEGORIES:

Information in this system of records
comes from:
a. The individual who is the subject
of the records.
b. Official personnel documents of the
agency, including records from any
other agency system or records included
in this notice.
c. Agency officials who responded
initially to the Freedom of Information
and Privacy Act requests.
d. Other sources whom the agency
believes have information pertinent to
an agency decision on a Freedom of
Information or Privacy Act appeal.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

The Department of Labor has claimed
exemptions for several of its other
systems of records under 5 U.S.C.
552a(k)(1), (2), (3), (5), and (6). During
the course of processing a Freedom of
Information or Privacy Act appeal,
exempt materials from those other
systems may become part of the case
record in this system. To the extent that
copies of exempt records from those
other systems are entered into these
Freedom of Information and Privacy Act
appeals files, the Department has
claimed the same exemptions for the
records as they have in the original
primary system or records of which they
are a part.
DOL/SOL–13

Employee Conduct Investigations.
SECURITY CLASSIFICATION:

None.

NOTIFICATION PROCEDURE:

Frm 00126

RECORD ACCESS PROCEDURES:

SYSTEM NAME:

SYSTEM MANAGER(S) AND ADDRESS:

PO 00000

the system manager at the address listed
above.

SYSTEM LOCATION:

Offices in the Office of the Solicitor at
the National Office and in each of the

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Regional and Associate Regional Offices
of the Solicitor.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Employee(s) against whom any
allegations of misconduct have been
made or violations of law.

A request for access shall be
addressed to the system manager at the
address listed above.

Investigative report(s), sworn
affidavits, written statements, time and
attendance records, earnings and leave
statements, applications for leave,
notifications of personnel actions, travel
vouchers, 171’s, certificates of eligible,
performance appraisals, interviews and
other data gathered from involved
parties and organizations which are
associated with the case.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

To investigate allegations of
misconduct or violations of law.
ROUTINE USE OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USERS:

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 IN THE SYSTEM:
STORAGE:

Records are stored in file folders in
metal cabinets.
RETRIEVABILITY:

By name or case file number.
SAFEGUARDS:

Files are maintained in locked file
cabinets with access only to those with
a need to know the information to
perform their duties.
RETENTION AND DISPOSAL:

Records are retained for four years
following the date either: (a) They are
referred to the OIG; (b) they are
transferred to OPM/GOVT–3 Records of
Adverse Actions and Actions Based on
Unacceptable Performance; or (c) it is
determined that the allegation was
without sufficient merit to warrant
further action, after which they are
destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Office of Management, Office of the
Solicitor, 200 Constitution Avenue, NW,
Washington, DC 20210, and appropriate
Regional Offices.

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Jkt 197001

Inquiries should be sent to the system
manager noted at the address listed
above.
RECORDS ACCESS PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

VerDate 112000

NOTIFICATION PROCEDURE:

CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.
RECORD SOURCE CATEGORIES:

Hotline complaints through the Office
of the Inspector General’s hotline or
through the General Accounting Office;
incident reports submitted by
employees or members of the general
public; statements by subject and fellow
employees; and other investigative
reports.
SYSTEM EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

In accordance with 5 U.S.C.
552a(k)(2), investigatory material in this
system of records compiled for law
enforcement purposes is exempt from
subsections (c)(3); (d); (e)(1); (e)(4)(G),
(H), and (I); and (f) of 5 U.S.C. 552a,
provided however, that if any
individual is denied any right, privilege,
or benefit that he or she would
otherwise be entitled to by Federal law,
or for which he or she would otherwise
be eligible, as a result of the
maintenance of these records, such
material shall be provided to the
individual, except to the extent that the
disclosure of such material would reveal
the identity of a source who furnished
information to the Government under an
express promise that the identity of the
source would be held in confidence, or
prior to January 1, 1975, under an
implied promise that the identity of the
source would be held in confidence.
DOL/SOL–15

Solicitor’s Office Litigation Files.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Offices of the Associate Solicitors,
Office of the Solicitor, Washington, DC;
Offices of the Regional Solicitor and
Associate Regional Solicitors at various
locations.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Plaintiffs, defendants, respondents,
witnesses and other individuals who

Frm 00127

may have provided information relating
to, or who may have been involved in
matters that are part of Labor
Department litigation, where the
Department is either the plaintiff or the
defendant.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system contains records gathered
by the various Offices of the Associate
Solicitors, Regional Solicitors and
Associate Regional Solicitors. The
records may be derived from materials
filed with the Department of Labor,
court records, pleadings, statements of
witnesses, information received from
federal, state, local and foreign
regulatory organizations and from other
sources. The system also contains
records that incorporate the work
product of the various offices and other
privileged documents.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

These records are maintained for the
purpose of prosecuting violations of
labor laws, as well as for defending law
suits and claims brought against the
Department of Labor.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USE:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Litigation files are maintained in
manual files.
RETRIEVABILITY:

By name.
SAFEGUARDS:

Files are kept in office suites which
are locked after working hours.
RETENTION AND DISPOSAL:

SYSTEM NAME:

PO 00000

16941

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Sfmt 4703

Litigation files are maintained for two
(2) years after final court determination,
then transferred to the FRC where they
are kept for an additional three (3) years
and then destroyed.
However:
SIGNIFICANT LITIGATION FILES IN THE CIVIL
RIGHTS DIVISION:

Cases which (1) resulted in a major
legal precedent, or (2) involved a
complex and/or novel issue, or (3)
involved intense public interest or
controversy that usually is reflected in
a high degree of media attention are
retained permanently.

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Litigation files involving OSHA:

SYSTEM EXEMPTED FROM CERTAIN PROVISION OF
THE ACT:

OSHA litigation files are destroyed
one year after all rights of appeals have
expired.
Matters in which the Department
obtained an injunction are maintained
in SOL for two years after the matter is
closed and then transferred to the FRC
for twenty (20) years and then
destroyed. Briefs and significant
motions are retained in the office for
twenty (20) years and then destroyed.

Files are maintained for six years after
final agency action or three (3) years
after final court determination,
whichever is later.

Under the specific exemption
authority provided by 5 U.S.C.
552a(k)(2), this system is exempt from
the following provisions of the Privacy
Act: 5 U.S.C. 552a(c)(3), (d), (e)(1),
(e)(4)(G), (H), (I), and (f) of the Act.
Disclosure of information could enable
the subject of the record to take action
to escape prosecution and could avail
the subject greater access to information
than that already provided under rules
of discovery. In addition, disclosure of
information might lead to intimidation
of witnesses, informants, or their
families, and impair future
investigations by making it more
difficult to collect similar information.

BLACK LUNG FILES:

DOL/SOL–17

FREEDOM OF INFORMATION ACT AND PRIVACY ACT
LITIGATION FILES:

Files for cases before the
Administrative Law Judges are
maintained for one (1) year after the
case is closed and then destroyed. Cases
adjudicated before the Benefit Review
Board are maintained for two (2) years
after the final decision is issued and
then destroyed. Court of Appeal and
Supreme Court cases are maintained for
five years after the final decision is
issued and then destroyed.

SYSTEM NAME:

Solicitor’s Office Equipment Files.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

The records are maintained in file
folders and in computers.
RETRIEVABILITY:

Records are retrieved by the name of
the employee.
SAFEGUARDS:

These records are kept in office suites
which are locked after working hours.
RETENTION AND DISPOSAL:

The system is updated annually and
earlier records are destroyed.
SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Administration,
Management & Litigation Support, U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:

Inquiries should be directed to the
system manager noted at the address
listed above.

SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Office of the Solicitor, Office of
Administration, Management &
Litigation Support (OAMLS), U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.

RECORD ACCESS PROCEDURES:

All employees from the Office of the
Solicitor both those from the National
and the Regional Offices of the Solicitor.

A request for access shall be
addressed to the system manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Individuals requesting access must
also comply with the Privacy Act
regulations regarding verification of
identity to records at 29 CFR 71.4.

NOTIFICATION PROCEDURES:

CATEGORIES OF RECORDS IN THE SYSTEM:

CONTESTING RECORD PROCEDURES:

Inquiries should be mailed or
presented to the system manager noted
at the address listed above.

The system contains detailed records
pertaining to the chairs, desks, and
other furniture, and equipment assigned
to each employee from the Office of the
Solicitor, including National and
Regional Offices.

A petition for amendments shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.

SYSTEM MANAGER(S) AND ADDRESS:

The appropriate Associate Solicitor or
the Regional Solicitor or Associate
Regional Solicitor, Office of the
Solicitor, U.S. Department of Labor,
Room S–2002, 200 Constitution Avenue,
NW, Washington, DC 20210.

RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the system manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date for the
investigation.
CONTESTING RECORD PROCEDURES:

A petition for amendments shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.
RECORD SOURCE CATEGORIES:

Component agency investigative files;
investigators; other law enforcement
personnel; attorneys; witnesses,
informants; other individuals; federal,
states and local agencies; opinion files;
miscellaneous files.

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CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301.
PURPOSE(S):

The information is used for statistical
data and to prepare purchase orders for
furniture, equipment and accessories.
The information is also used to track
items assigned to individuals within the
Solicitor’s Office.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES USERS AND THE
PURPOSE OF SUCH USES:

None, except for those universal
routine uses listed in the General
Prefatory Statement to this document.
DISCLOSURE REPORTING AGENCIES:

None.

PO 00000

Frm 00128

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RECORD SOURCE CATEGORIES:

Agency personnel files, information
submitted by the employee, and records
from the Office of Administration,
Management and Litigation Support.
SYSTEM EXEMPTED FROM CERTAIN PROVISION OF
THE ACT:

None.
DOL/VETS–1
SYSTEM NAME:

Uniformed Services Employment and
Reemployment Rights Act (USERRA)
Complaint File.
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

Veterans’ Employment and Training
Service (VETS’) State Offices, Regional
Offices, and National Office.

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(5) years after cutoff. Destroy when ten
(10) years old.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Complainants who are veterans,
enlistees, examinees, reservists or
members of the National Guard of the
U.S. Armed Forces on active or reserve
service or training duty, and other
complainants.
CATEGORIES OF RECORDS IN THE SYSTEM:

The system of records contains data
related to civil investigations which
include: Initial investigative complaint
form, background, investigators’ fact
finding records, witness statements,
supporting documents provided by
claimants and employers, other
information relevant to a determination
of veterans reemployment rights.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

38 U.S.C. 4301 et seq.
PURPOSE(S):

Records are maintained for
enforcement of federal laws pertaining
to rights of veterans, reservists and
members of the National Guard upon
their return to pre-military civilian
employment following periods of active
and inactive military duty and related to
non-discrimination based on such
service or periods of duty.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement, relevant records and
information may be disclosed to the
employer against whom a complaint has
been made so that the complaint can
proceed to a resolution. Disclosure may
also be made when relevant and
necessary to the Department of Veterans
Affairs, to the Department of Defense, to
the Department of Justice, and to the
Office of Special Counsel when
complaints have proceeded to an
advanced stage.

SYSTEM MANAGER(S) AND ADDRESS:

Chief of Investigations and
Compliance, United States Department
of Labor, Veterans’ Employment and
Training Service, 200 Constitution
Avenue, NW, Washington, DC 20210.
NOTIFICATION PROCEDURES:

Inquiries should be directed to the
system manager noted at the address
listed above.
RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the systems manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date of separation.
CONTESTING RECORD PROCEDURES:

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The system of records contains
materials related to civil investigations
which include: Initial investigative
complaint form, background,
investigators’ fact finding records,
witness statements, supporting
documents provided by claimants and
employers, other information relevant to
a determination of veterans preference
consideration related to employment
with Federal agencies.

Records are maintained for
investigation of possible violations of
federal laws pertaining to veterans’
preference and other special
consideration related to employment
with Federal agencies.

SYSTEMS EXEMPTIONS FROM CERTAIN
PROVISIONS OF THE ACT:

ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSE OF SUCH USERS:

SYSTEM NAME:

Cutoff and removal from active file in
fiscal year when litigation is completed,
transfer to Federal Records Center five

CATEGORIES OF RECORDS IN THE SYSTEM:

PURPOSE(S):

Locked room or locked cabinets, and
passwords for electronic system.
RETENTION AND DISPOSAL:

Veterans of the U.S. Armed Forces
who believe that they have been denied
veterans preference or other special
considerations provided by law(s).

Veterans, Reserve and National Guard
members, employees, employers, former
employees, Departments of Defense,
Department of Veterans Affairs,
physicians, union officers and maybe
the public.

DOL/VETS–2

RETRIEVABILITY:

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

RECORD SOURCE CATEGORIES:

SAFEGUARDS:

Electronic and manual records.

Veterans’ Employment and Training
Service (VETS’) State Offices, Regional
Offices, and National Office.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

By name of complainant or name of
employer.

STORAGE:

SYSTEM LOCATION:

A petition for amendment should be
addressed to the System Manager.

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.

POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:

16943

SECURITY CLASSIFICATION:

None.

Frm 00129

In addition to those universal routine
uses listed in the General Prefatory
Statement, records and information may
be disclosed to the Federal employing
agency against whom a complaint has
been made so that the complaint can
proceed to a conclusion. Disclosure of
information that is relevant and
necessary may also be made to the
Office of Personnel Management and to
the Merit Systems Protection Board.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Electronic and manual records.
RETRIEVABILITY:

By name of complainant or name of
Federal agency.
SAFEGUARDS:

Secured room, or locked cabinets, and
passwords for electronic system.

Veterans’ Preference Complaint File
under the Veterans Equal Opportunities
Act of 1998 (VEOA).

PO 00000

5 U.S.C. 3330a.

Fmt 4701

Sfmt 4703

RETENTION AND DISPOSAL:

Cutoff and removed from active file in
fiscal year when litigation is completed.
Transferred to Federal Records Center
five (5) years after cutoff. Destroy when
ten (10) years old.

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SYSTEM MANAGER(S) AND ADDRESS:

SYSTEM LOCATION:

NOTIFICATION PROCEDURES:

Chief of Investigations and
Compliance, United States Department
of Labor, Veterans’ Employment and
Training Service, 200 Constitution
Avenue, NW, Washington, DC 20210.

Veterans’ Employment and Training
Service (VETS) State Directors’ Offices,
Regional Offices, National Office.

Inquiries should be mailed or
presented to the appropriate system
manager listed above.

NOTIFICATION PROCEDURES:

Service members, and their spouses,
for 180 days after separation of the
servicemember from the U.S. Armed
Forces.

Inquiries should be mailed or
presented to the system manager noted
at the address listed above.
RECORD ACCESS PROCEDURES:

A request for access shall be
addressed to the systems manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date of separation.
CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.
RECORD SOURCE CATEGORIES:

Veterans, Federal employment
applicants or employing Federal
agencies, former agency employees,
Department of Defense, Department of
Veterans Affairs, Office of Personnel
Management, union officers and
members of the public.
SYSTEMS EXEMPTIONS 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.

CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

CATEGORIES OF RECORDS IN THE SYSTEM:

Registration data on participants in
the Transition Assistance Program
(TAP) orkshops including the name,
address, social security number, and
duty station.
AUTHORITY FOR MAINTENANCE OF SYSTEM:

Records are maintained to house
achievement levels in TAP Program
workshops, develop demographic data,
and research programs effectiveness.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

In addition to those universal routine
uses listed in the General Prefatory
Statement to this document, disclosure
of records and information may be made
to the Department of Defense,
Department of Transportation, and to
the Department of Veterans Affairs so
that they may they assist the TAP
participant by sharing information.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

Electronic and manual records.
RETRIEVABILITY:

By name, state, military base, or VETS
region.
SAFEGUARDS:

Locked room or locked cabinets, and
passwords for electronic system.
RETENTION AND DISPOSAL:

Records are transferred to the Federal
Records Center three years after the end
of the fiscal year when they were
created, and they are destroyed ten
years thereafter.
SYSTEM MANAGER(S) AND ADDRESS:

Director of Operations and Programs,
United States Department of Labor,
Veterans’ Employment and Training
Service, Room, 200 Constitution
Avenue, NW, Washington, DC 20210,
and Regional Offices.

None

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Jkt 197001

PO 00000

Frm 00130

CONTESTING RECORD PROCEDURES:

A petition for amendment shall be
addressed to the System Manager and
must meet the requirements of 29 CFR
71.9.
Participants in TAP workshops.

PURPOSE(S):

SYSTEM NAME:

SECURITY CLASSIFICATION:

A request for access shall be
addressed to the systems manager at the
address listed above. Individuals must
furnish the following information for
their records to be located and
identified:
a. Name.
b. Approximate date of separation.

RECORD SOURCE CATEGORIES:

10 U.S.C. 1144.

DOL/VETS–3

Veterans’ Transition Assistance
Program (TAP) Registration System.

RECORD ACCESS PROCEDURES:

Fmt 4701

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SYSTEMS EXEMPTIONS FROM CERTAIN
PROVISIONS OF THE ACT:

None.
Appendix—Responsible Officials
National Office
The titles of the responsible officials of the
various component agencies in the
Department of Labor are listed below. This
list is provided for information and to assist
requesters in locating the office most likely
to have responsive records. The officials may
be changed by appropriate designation.
Unless otherwise specified, the mailing
addresses of the officials shall be: U.S.
Department of Labor, 200 Constitution
Avenue, NW, Washington, DC 20210.
Office of the Secretary
Secretary of Labor, ATTENTION: Assistant
Secretary for Administration and
Management (OASAM)
Office of the Solicitor
Deputy Solicitor, Office of the Solicitor
Office of the Administrative Law Judges
(OALJ)
Chief Administrative Law Judge, Office of
Administrative Law Judges, OALJ
Legal Counsel, OALJ
The mailing address for the Office of
Administrative Law Judges is: Chief, Office of
Administrative Law Judges, 800 K Street,
NW., Suite N–400, Washington, DC 20001–
8002.
Office of the Assistant Secretary of
Administration and Management (OASAM)
Assistant Secretary for Administration and
Management, OASAM
Deputy Assistant Secretary for
Administration and Management, OASAM
Director, Business Operations Center,
OASAM
Director, Procurement Service Center,
OASAM
Director, Civil Rights Center, OASAM
Director, Human Resources Center, OASAM
Director, Information Technology Center,
OASAM

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Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices
Director, Worklife Center, OASAM
Director, Human Resource Services Center,
OASAM
Director, Office of Budget, OASAM
Director, Conference and Services Center,
OASAM
Director, Safety and Health Center, OASAM
Office of the Chief Financial Officer (OCFO)
Chief Financial Officer, OCFO
Office of Small Business Programs
Director, Office of Small Business Programs
Employees’ Compensation Appeals Board
(ECAB)
Chairperson, Employees’ Compensation
Appeals Board, ECAB
Associate Deputy Secretary for Adjudication
Executive Director, Office of Adjudicatory
Services
Administrative Review Board (ARB)
Chairperson, Administrative Review Board,
ARB
Benefits Review Board (BRB)
Chief Administrative Appeals Judge, Benefits
Review Board, BRB
Director, Women’s Bureau, Office of the
Secretary
Office of Congressional and
Intergovernmental Affairs (OCIA)
Assistant Secretary, Office of Congressional
and Intergovernmental Affairs, OCIA
Deputy Assistant Secretary, OCIA
Office of the Assistant Secretary for Policy
(ASP)
Assistant Secretary for Policy, ASP
Deputy Assistant Secretary, ASP
Office of the Assistant Secretary for Public
Affairs (OPA)
Assistant Secretary, Office of Public Affairs,
OPA
Deputy Assistant Secretary, OPA
Administrative Review Board (ARB)
Director, Office of Administrative Review
Board, ARB
Office of the Inspector General (OIG)
Disclosure Officer, OIG
Bureau of International Labor Affairs (ILAB)
Deputy Under Secretary, ILAB
Associate Deputy Under Secretary, ILAB
Secretary of the National Administrative
Office, ILAB
Employment Standards Administration
(ESA)
Assistant Secretary for Employment
Standards, ESA
Director, Equal Employment Opportunity
Unit, ESA
Director, Office of Management,
Administration and Planning (OMAP),
ESA
Director, Division of Human Resources
Management, OMAP, ESA
Director, Division of Legislative and
Regulatory Analysis, OMAP, ESA
Director, Office of Workers’ Compensation
Programs (OWCP), ESA
Special Assistant to the Director, OWCP, ESA

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Jkt 197001

Director, Division of Planning, Policy and
Standards, OWCP, ESA
Director for Federal Employees’
Compensation, OWCP, ESA
Director for Longshore and Harbor Workers’
Compensation, OWCP, ESA
Director for Coal Mine Workers’
Compensation, OWCP, ESA
Administrator, Wage and Hour Division, ESA
Deputy Administrator, Wage and Hour
Division, ESA
National Office Program Administrator, Wage
and Hour Division, ESA
Deputy National Office Program
Administrator, Wage and Hour Division,
ESA
Director, Office of Enforcement Policy, Wage
and Hour Division, ESA
Deputy Director, Office of Enforcement
Policy, Wage and Hour Division, ESA
Director, Office of Planning and Analysis,
Wage and Hour Division, ESA
Director, Office of Wage Determinations,
Wage and Hour Division, ESA
Director, Office of External Affairs, Wage and
Hour Division, ESA
Director, Office of Quality and Human
Resources, Wage and Hour Division, ESA
Deputy Assistant Secretary for Federal
Contract Compliance Programs (OFCCP),
ESA
Deputy Director, Office of Federal Contract
Compliance Programs, OFCCP, ESA
Director, Division of Policy, Planning and
Program Development, OFCCP, ESA
Deputy Director, Division of Policy, Planning
and Program Development, OFCCP, ESA
Director, Division of Program Operations,
OFCCP, ESA
Deputy Director, Division of Program
Operations, OFCCP, ESA
Director, Division of Management and
Administrative Programs, OFCCP, ESA
Deputy Assistant Secretary for LaborManagement Programs, (OLMS), ESA
Employment and Training Administration
(ETA)
Assistant Secretary of Labor, ETA
Deputy Assistant Secretary of Labor, ETA
Administrator, Office of Financial and
Administrative Management, ETA
Director, Office of Financial and
Administrative Services, ETA
Director, Office of Human Resources, ETA
Director, Divisions of Federal Assistance and
Contract Services, ETA
Administrator, Office of Policy and Research,
ETA
Director, Office of Grants and Contracts
Management, ETA
Administrator, Office of Technology and
Information Services, ETA
Administrator, Office of Workforce Security,
ETA
Director, Office of Income Support, ETA
Director, Office of Career Transition
Assistance, ETA
Director, Division of U.S. Employment
Service and Americans Labor Information
Market System (ALMIS)
Chief, Division of Foreign Labor
Certifications, ETA
Administrator, Office of Adult Services, ETA
Director Office of National Programs, ETA
Director, Division of Systems Support, ETA

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16945

Director, Office of Adults, Dislocated
Workers and Trade Adjustment Assistance,
ETA
Director, Division of Trade Adjustment
Assistance, ETA
Administrator, Office of Youth Services, ETA
Director, Office of Youth Opportunities, ETA
Director, Office of School to Work, ETA
Director, Office of Job Corps, ETA
Director, Office of Apprenticeship Training,
Employer and Labor Services, ETA
Director, Office of Equal Employment
Opportunity, ETA
Occupational Safety and Health
Administration (OSHA)
Assistant Secretary, OSHA
Director, Office of Public Affairs, OSHA
Director, Directorate of Construction, OSHA
Director, Directorate of Federal-State
Operations, OSHA
Director, Directorate of Policy, OSHA
Director, Directorate of Administrative
Programs, OSHA
Director, Personnel Programs, OSHA
Director, Office of Administrative Services,
OSHA
Director, Office of Management Data
Systems, OSHA
Director, Office of Management Systems and
Organization, OSHA
Director, Office of Program Budgeting,
Planning and Financial Management,
OSHA
Director, Directorate of Compliance
Programs, OSHA
Director, Directorate of Technical Support,
OSHA
Director, Directorate of Safety Standards
Programs, OSHA
Director, Directorate of Health Standards
Programs, OSHA
Director, Office of Statistics, OSHA
Pension and Welfare Benefits Administration
(PWBA)
Director, Office of Participant Assistance and
Communications, PWBA
Office of the Assistant Secretary for Veterans’
Employment and Training (VETS)
Assistant Secretary, VETS
Deputy Assistant Secretary, VETS
Director, Office of Operations and Programs,
VETS
Director, Office of Agency Management and
Budget, VETS
Disclosure Officer, VETS
Bureau of Labor Statistics (BLS)
Commissioner, BLS
Associate Commissioner, Office of
Administration, BLS
The mailing address for responsible
officials in the Bureau of Labor Statistics is:
Rm. 4040—Postal Square Bldg., 2
Massachusetts Ave., NE, Washington, DC
20212–0001.
Mine Safety and Health Administration
(MSHA)
Assistant Secretary, MSHA
Deputy Assistant Secretary, MSHA
Chief, Office of Congressional and Legislative
Affairs, MSHA
Chief, Office of Information and Public
Affairs, MSHA

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Director of Administration and Management,
MSHA
Administrator, Coal Mine Safety and Health
(CMS&H), MSHA
Chief, Technical Compliance & Investigation
Division, CMS&H, MSHA
Chief, Health Division, CMS&H, MSHA
Chief, Safety Division, CMS&H, MSHA
Accident Investigation Program Manager,
CMS&H, MSHA
Administrator, Metal and Nonmetal Mine
Safety and Health (M/NM), MSHA
Chief, Technical Compliance & Investigation
Division, M/NM, MSHA
Chief, Health Division, M/NM, MSHA
Chief, Safety Division, M/NM, MSHA
Accident Investigation Program Manager, M/
NM, MSHA
Director of Assessments, MSHA
Director of Technical Support, MSHA
Director of Educational Policy and
Development, MSHA
Director of Standards, Regulations, and
Variances, MSHA
Director of Program Evaluation and
Information Resources, MSHA
The mailing address for the responsible
officials in the Mine Safety and Health
Administration (MSHA) is: 4015 Wilson
Boulevard, Arlington, Virginia 22203.
Regional Offices
The titles of the responsible officials in the
regional offices of the various component
agencies are listed below: Unless otherwise
specified, the mailing address for these
officials by region, shall be:
Region I
U.S. Department of Labor, John F. Kennedy
Federal Building, Boston, Massachusetts
02203 (For Wage and Hour only: Contact
Region III)
Region II
201 Varick Street, New York, New York
10014 (For Wage and Hour only: Contact
Region III)
Region III
The Curtis Center, 170 South Independence
Mall West, Suite 825 East, Philadelphia,
Pennsylvania 19106–3315
Region IV
U.S. Department of Labor, Atlanta Federal
Center, 61 Forsyth Street, SW, Atlanta,
Georgia 30303
(OWCP Only) 214 N. Hogan Street, Suite
1006, Jacksonville, Florida 32202

Region 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)

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Office of Workers’ Compensation Programs
ESA: Responsible Officials, District Directors

Region VIII

John F. Kennedy Federal Building, Room E–
260, Boston, Massachusetts 02203 (FECA
and LHWCA Only)
201 Varick Street, Seventh Floor, Room 750,
New York, New York 10014 (FECA and
LHWCA only)
The Curtis Center, 170 South Independence
Mall West, Suite 790 West, Philadelphia,
Pennsylvania 19106–3313 (FECA and
LHWCA only)
Penn Traffic Building, 319 Washington
Street, Johnstown, Pennsylvania 15901
(BLBA only)
105 North Main Street, Suite 100, WilkesBarre, Pennsylvania 18701 (BLBA Only)
Wellington Square, 1225 South Main Street,
Suite 405, Greensburg, Pennsylvania 15601
(BLBA only)
300 West Pratt Street, Suite 240, Baltimore,
Maryland 21201 (LHWCA Only)
Federal Building, 200 Granby Mall, Room
#212, Norfolk, Virginia 23510 (LHWCA
only)
500 Quarrier Street, Suite 110, Charleston,
West Virginia 25301 (BLBA Only)
425 Juliana Street, Suite 3116, Parkersburg,
West Virginia 26101 (BLBA Only)
800 North Capitol Street, NW., Washington,
DC 20211 (FECA Only)
77 P Street, NE., 2nd Floor, Washington, DC
20002 (LHWCA Only)
1200 Upshur Street, NW., Washington, DC
20210 (DC Claims Only)
164 Main Street, Suite 508, Pikeville
Kentucky 41501 (BLBA only)
500 Springdale Plaza, Spring Street, Mt.
Sterling, Kentucky 40353 (BLBA Only)
214 N. Hogan Street, 10th Floor, Room 1006,
Jacksonville, Florida 32201 (FECA and
LHWCA only)
230 South Dearborn Street, Room 578,
Chicago, Illinois 60604 (FECA and
LHWCA)
1240 East 9th Street, Room 851, Cleveland,
Ohio 44199 (FECA Only)
1160 Dublin Road, Suite 300, Columbus,
Ohio 43214 (BLBA Only)
525 Griffin Street, Federal Building Dallas,
Texas 75202 (FECA Only)
701 Loyola Avenue, Room 13032, New
Orleans, Louisiana 70113 (LHWCA Only)
8866 Gulf Freeway, Suite 140, Houston,
Texas 77017 (LHWCA Only)
City Center Square, Suite 750, 1100 Main
Street, Kansas City, Missouri 64105 (FECA
Only)
1801 California Street, Suite 915, Denver,
Colorado 80202 (FECA and BLBA Only)
71 Stevenson Street, 2nd Floor, P.O. Box
193770, San Francisco, California 94105
(LHWCA and FECA Only)
401 E. Ocean Boulevard, Suite 720, Long
Beach, California 90802 (LHWCA Only)
300 Ala Moana Boulevard, Room 5119,
Honolulu, Hawaii 96850 (LHWCA Only)
1111 3rd Avenue, Suite 615, Seattle,
Washington 98101–3212 (LHWCA and
FECA only)

1999 Broadway Street, Denver, Colorado
80202, (For Wage and Hour and OFCCP:
Contact Region VI)
(OWCP only) 1801 California Street, Suite
915, Denver, Colorado 80202
The mailing address for the Regional
Director, Bureau of Apprenticeship and
Training in Region VIII is: U.S. Custom
House, 721—19th Street, Room 465, Denver,
CO. 80202.
Region IX
71 Stevenson Street, San Francisco,
California 94105
Region X
1111 Third Avenue, Seattle, Washington
98101–3212 (For Wage and Hour only:
Contact Region IX)
Regional Administrator for Administration
and Management (OASAM)
Regional Personnel Officer, OASAM
Regional Director for Information and Public
Affairs, OASAM
Regional Administrator for Occupational
Safety and Health and Safety (OSHA)
Regional Commissioner, Bureau of Labor
Statistics (BLS)
Regional Administrator for Employment and
Training Administration (ETA) (For the
following regions: Boston, New York,
Philadelphia, Atlanta, Dallas, Chicago and
San Francisco)
Associate Regional Administrator for ETA
(For the following regions: Denver, Kansas
City and Seattle)
Regional Director, Job Corps, ETA
Director, Regional Office of Apprenticeship
and Training, Employer and Labor
Services, ETA
Regional Administrator for Wage and Hour,
ESA
Regional Director for Federal Contract
Compliance Programs, ESA
Regional Director for the Office of Workers’
Compensation Programs, ESA
District Director, Office of Workers’
Compensation Programs, ESA
Office of Federal Contract Compliance
Programs ESA, Responsible Offices,
Regional Offices

Region V
Kluczynski Federal Building, 230 South
Dearborn Street, Chicago, Illinois 60604
(FEC only) 1240 East Ninth Street, Room 851,
Cleveland, Ohio 44199

VerDate 112000

(OFCCP only) 801 Walnut Street, Room 200,
Kansas City, Missouri 64106

JFK Federal Building, Room E–235, Boston,
Massachusetts 02203
201 Varick Street, Room 750, New York, New
York 10014
The Curtis Center, 170 South Independence
Mall West, Philadelphia, Pennsylvania
19106–3315
61 Forsyth Street, S.W., Suite 7B75, Atlanta,
Georgia 30303
Klucynski Federal Building, 230 South
Dearborn Street, Room 570, Chicago,
Illinois 60604
Federal Building, 525 South Griffin Street,
Room 840 Dallas, Texas 75202
71 Stevenson Street, Suite 1700, San
Francisco, California 94105–2614
1111 Third Avenue, Suite 610, Seattle,
Washington 98101–3212

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Mine Safety & Health Administration Field
Offices And Responsible Officials
Coordinator, Small Mines/Mine Emergency
Unit

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Superintendent, National Mine Health and
Safety Academy, 1301 Airport Road,
Beaver, WV 25813–9426
Chief, Safety and Health Technology Center,
P.O. Box 18233, Pittsburgh, PA 15236
Chief, Approval and Certification Center,
R.R. 1, Box 251, Industrial Park Road,
Triadelphia, WV 26059
Chief, Information Resource Center
Chief, Office of Injury and Employment
Information, P.O. Box 25367, Denver, CO
80225–0367
District Manager, Coal Mine Safety and
Health
The Stegmaier Bldg., Suite 034, 7 N. WilkesBarre Blvd., Wilkes-Barre, PA 18702
R.R. 1, Box 736, Hunker, PA 15639
5012 Mountaineer Mall, Morgantown, WV
26505
100 Bluestone Road, Mt. Hope, WV 25880
P.O. Box 560, Norton, VA 24273
4159 North Mayo Trail, Pikeville, KY 41501
HC 66, Box 1699, Barbourville, KY 40906
Suite 200, 2300 Old Decker Road, Vincennes,
IN 47591
P.O. Box 25367, Denver, CO 80225–0367
100 YMCA Drive, Madisonville, KY 42431–
9019
Suite 213, 135 Gemini Circle Birmingham,
AL 35209
District Manager, Metal and Nonmetal Mine
Safety and Health
Assistant District Manager, Metal and
Nonmetal Mine Safety and Health:
Thornhill Industrial Park, 547 Keystone
Drive, Suite 4, Warrendale, PA 15086–7573
Suite 212, 135 Gemini Circle, Birmingham,
AL 35209
Suite 333, 515 W. First Street, Duluth, MN
55802–1302
Rm. 4C50, 1100 Commerce Street, Dallas, TX
75242–0499
P.O. Box 25367, Denver, CO 80225–0367
2060 Peabody Road, Suite 610, Vacaville, CA
95687–6696
Regional Administrator, Occupational
Safety and Health Administration (OSHA)
Area Director, OSHA:
Valley Office Park, 13 Branch Street,
Methuen, MA 01844
639 Granite Street, 4th Floor, Braintree, MA
02184
1441 Main Street, Room 550, Springfield, MA
01103–1493
One Lafayette Square, Suite 202, Bridgeport,
CT 06604
Federal Building, 450 Main Street, Room 613,
Hartford, CT 06103
40 Western Avenue, Room 608, Augusta, ME
04330
202 Harlow Street, Room 211, Bangor, ME
04401
279 Pleasant Street, Suite 201, Concord, NH
03301
Federal Office Building, 380 Westminster
Mall, Room 243, Providence, RI 02903
401 New Karner Road, Suite 300, Albany, NY
12205–3809
42–40 Bell Boulevard, Bayside, NY 11361
5360 Genesee Street, Bowmansville, NY
14026
1400 Old Country Road, Suite 208, Westbury,
NY 11590

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201 Varick Street, Room 670, New York, NY
10048
3300 Vickery Road, North Syracuse, NY
13212
660 White Plains Road, 4th Floor, Tarrytown,
NY 10591–5107
1030 St. Georges Avenue, Plaza 35, Suite 205,
Avenel, NJ 07001
500 Route 17 South, 2nd Floor, Hasbrouck
Heights, NJ 07604
299 Cherry Hill Road, Suite 304, Parsippany,
NJ 07054
Marlton Executive Park, Building 2, 701
Route 73 South, Suite 120, Marlton, NJ
08053
BBV Plaza Building, 1510 F.D. Roosevelt
Avenue, Guaynabo, PR 00968
850 North 5th Street, Allentown, PA 18102
3939 West Ridge Road, Suite B12, Erie, PA
16506–1857
Progress Plaza, 49 North Progress Avenue,
Harrisburg, PA 17109–3596
U.S. Custom House, Room 242, Second &
Chestnut Street, Philadelphia, PA 19106
Federal Office Building, 1000 Liberty
Avenue, Room 1428, Pittsburgh, PA
15222–4101
The Stegmaier Building, Suite 410, 7 North
Wilkes-Barre Boulevard, Wilkes-Barre, PA
18702–5241
844 North King Street—Room 2209,
Wilmington, DE 19801
1099 Winterson Road, Suite 140, Linthicum,
MD 21090
Federal Office Building, 200 Granby Street,
Room 835, Norfolk, VA 23510–1811
405 Capitol Street, Suite 407, Charleston, WV
25301–1727
LaVista Perimeter Office Park, 2183 N. Lake
Parkway, Building 7, Suite 110, Tucker,
GA 30084–4154
2400 Herodian Way, Suite 250, Smyrna, GA
30080–2968
450 Mall Boulevard, Suite J, Savannah, GA
31406
2047 Canyon Road—Todd Mall, Birmingham,
AL 35216–1981
3737 Government Boulevard, Suite 100,
Mobile, AL 36693–4309
8040 Peters Road, Building H–100, Fort
Lauderdale, FL 33324
Ribault Building, Suite 227, 1851 Executive
Center Drive, Jacksonville, FL 32207
5807 Breckenridge Parkway, Suite A, Tampa,
FL 33610–4249
John C. Watts Federal Office Building, 330
West Broadway, Room 108, Frankfort, KY
40601–1922
3780 I–55 North, Suite 210, Jackson, MS
39211–6323
Century Station Federal Office Building, 300
Fayetteville Street Mall, Room 438,
Raleigh, NC 27601–9998
1835 Assembly Street, Room 1468, Columbia,
SC 29201–2453
2002 Richard Jones Road, Suite C–205,
Nashville, TN 37215–2809
1600 167th Street, Suite 12, Calumet City, IL
60409
O’Hara Lake Plaza, 2360 East Devon Avenue,
Suite 1010, Des Plaines, IL 60018
11 Executive Drive, Suite 11, Fairview
Heights, IL 62208
344 Smoke Tree Business Park, North
Aurora, IL 60542
2918 W. Willow Knolls Road, Peoria, IL
61614

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46 East Ohio Street, Room 423, Indianapolis,
IN 46204
Lansing Area Director, 801 South Waverly
Road, Suite 306, Lansing, MI 48917–4200
300 South 4th Street, Room 1205,
Minneapolis, MN 55415
36 Triangle Park Drive, Cincinnati, OH 45246
Federal Office Building, 1240 East 9th Street,
Room 899, Cleveland, OH 44199
Federal Office Building, 200 North High
Street, Room 620, Columbus, OH 43215
Ohio Building, 420 Madison Avenue, Suite
600, Toledo, OH 43604
Federal Building, U.S. Courthouse 500,
Barstow Street, Room B–9, Eau Claire, WI
54701
1648 Tri Park Way, Appleton, WI 54914
4802 E. Broadway, Madison, WI 53716
Henry S. Reuss Building, 310 W. Wisconsin
Ave, Suite 1180, Milwaukee, WI 53202
903 San Jacinto Boulevard, Suite 319, Austin,
TX 78701
Wilson Plaza, 606 N. Carancahua, Suite 700,
Corpus Christi, TX 78476
834 East R.L. Thornton Freeway, Suite 420,
Dallas, TX 75228
700 East San Antonio Street, Room C408, El
Paso, TX 79901
North Starr II, Suite 430, 8713 Airport
Freeway, Fort Worth, TX 76180–7604
350 N. Sam Houston Parkway, Suite 120,
Houston, TX 77060
17625 El Camino Real, Suite 400, Houston,
TX 77058
Federal Office Building, 1205 Texas Avenue,
Room 804, Lubbock, TX 79401
TCBY Building, Suite 450, 425 West Capitol
Avenue, Little Rock, AR 72201
9100 Bluebonnet Centre Boulevard, Suite
201, Baton Rouge, LA 70809
Western Bank Building, Suite 820, 505
Marquette, NW., Albuquerque, NM 87102
420 West Main, Suite 300, Oklahoma City,
OK 73102
6200 Connecticut Avenue, Suite 100, Kansas
City, MO 64120
911 Washington Avenue, Room 420, St.
Louis, MO 63101
210 Walnut Street, Room 815, Des Moines, IA
50309
8600 Farley—Suite 105, Overland Park, KS
66212
300 Epic Center, 301 North Main, Wichita,
KS 67202
Overland—Wolf Building, 6910 Pacific
Street, Room 100, Omaha, NE 68106
1391 Speer Boulevard, Suite 210, Denver, CO
80204–2552
7935 East Prentice Avenue, Suite 209,
Englewood, CO 80111–2714
2900 4th Avenue North, Suite 303, Billings,
MT 59101
3rd & Rosser, Room 348, P.O. Box 2439,
Bismark, ND 58502
1781 South 300 West, Salt Lake City, UT
84115–1802
101 El Camino Plaza, Suite 105, Sacramento,
CA 95815
5675 Ruffin Road, Suite 330, San Diego, CA
92123
3221 North 16th Street, Suite 100, Phoenix,
AZ 85016
300 Ala Moana Boulevard, Suite 5–146,
Honolulu, HI 96850
705 North Plaza, Room 204, Carson City, NV
89701

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16948

Federal Register / Vol. 67, No. 67 / Monday, April 8, 2002 / Notices

505 106th Avenue, NE., Suite 302, Bellevue,
WA 98004
301 W. Northern Lights Boulevard, Suite 407,
Anchorage, AK 99503–7571
1150 North Curtis Road, Suite 201, Boise, ID
83706
Federal Office Building, 1220 Southwest 3rd
Avenue, Room 640, Portland, OR 97204
Pension and Welfare Benefits
Administration Regional Director or District
Supervisor
Regional Director, J.F.K. Federal Bldg., Room
575, Boston, Massachusetts 02203
Regional Director, 201 Varick Street, New
York, NY 10014
Regional Director, The Curtis Center, 170
South Independence Mall West,
Philadelphia, Pennsylvania 19106–3315
District Supervisor, Silver Spring Metro
Center, Building One, Second Floor, 1335
East-West Highway, Silver Spring, MD
20901
Regional Director, 61 Forsyth Street, 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

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Regional Director, City Center Square, 1100
Main Street, Suite 1200, Kansas City,
Missouri 64105
District Supervisor, 815 Olive Street, Room
338, St. Louis, Missouri 63101
Regional Director, 525 Griffin Street, Room
707, Dallas, Texas 75202
Regional Director, 71 Stevenson Street, Suite
915, PO Box 190250, San Francisco,
California 94119–0250
District Director, 1111 Third Avenue, Room
860, Seattle, Washington 98101–3212
Regional Director, 790 E. Colorado Blvd.,
Suite 514, Pasadena, CA 91101
Regional Administrators, Veterans’
Employment and Training Service (VETS)
Region I
J.F. Kennedy Federal Building, Government
Center, Room E–315, Boston,
Massachusetts 02203
Region II
201 Varick Street, Room 766, New York, New
York 10014
Region III
The Curtis Center, 170 S. Independence Mall
West, Suite 770 West, Philadelphia,
Pennsylvania 19106

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Region IV
Sam Nunn Atlanta Federal Center, 61 Forsyth
Street, SW., Room 6T85, Atlanta, Georgia
30303
Region V
230 South Dearborn, Room 1064, Chicago,
Illinois 60604
Region VI
525 Griffin Street, Room 858, Dallas, Texas
75202
Region VII
City Center Square Building, 1100 Main
Street, Suite 850, Kansas City, Missouri
64105–2112
Region VIII
1999 Broadway, Suite 1730, Denver,
Colorado 80202–5716
Region IX
71 Stevenson Street, Suite 705, San
Francisco, California 94105
Region X
1111 Third Avenue, Suite 900, Seattle,
Washington 98101–3212
[FR Doc. 02–7376 Filed 4–5–02; 8:45 am]
BILLING CODES 4510–20–P; 4510–21–P; 4510–23–P;
4510–24–P; 4510–26–P; 4510–27–P; 4510–28–P; 4510–29–
P; 4510–30–P; 4510–43–P; 4510–79–P; 4510–CF–P; 4510–
CH–P; 4510–CK–P; 4510–CN–P; 4510–CP–P

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